• Section 1 - Purpose
• Scope
• Background
• Section 2 - Policy
• Identification and Disclosure
• Managing a Conflict of Interest
• Roles and Responsibilities
• Failure to Identify, Disclose and Manage a Conflict of Interest
• ARC Funding and Applications
• Section 3 - Procedures
• Section 4 - Guidelines
• Section 5 - Definitions

Section 1 - Purpose

(1) This Policy outlines the expectations of Macquarie University and its Controlled Entities (the University) relating to the disclosure and management of conflicts of interest.

(2) The Policy specifies the principles and procedures for transparent identification and management of conflicts of interest, whilst maintaining a culture of honesty, integrity, and trustworthiness.

Scope

(3) This Policy applies to the following (referred to in this Policy as University representatives):

1. staff of the University and its controlled entities, including continuing, fixed-term and casual staff members;
2. consultants and contractors working for the University;
3. members of the University governing bodies;
4. persons holding honorary titles with the University;
5. volunteers; and
6. individuals conducting research under the auspices of Macquarie University (including Graduate Research candidates) and bound by the Macquarie University Code for the Responsible Conduct of Research.

Background

(4) This Policy is consistent with the expectations of: the Independent Commission Against Corruption (ICAC); the National Higher Education Code to Prevent and Respond to Gender Based Violence; the principles of the Australian Code for the Responsible Conduct of Research, 2018; and, as related to funded research from the Australian Research Council, the Australian Research Council’s ARC Conflict of Interest and Confidentiality Policy.

Section 2 - Policy

(5) A conflict of interest refers to circumstances in which someone’s Personal Interest/s may or does conflict with their Professional Obligations. A conflict of interest exists when a reasonable person might perceive that an individual’s Personal Interests (financial or non-financial) could be favoured over their Professional Obligations.

(6) Potential for conflicts of interest exists in all aspects of University operations including research, teaching, assessment, staffing, administration, procurement, and other commercial activity. It is important that all members of the University community act, and are seen to act, with integrity and are not inappropriately benefited by improperly using their association with the University or acting in any way contrary to public interest.

(7) It is recognised that conflicts of interest can be inherent in the nature of the activities that the University conducts. A conflict of interest in itself may not necessarily be wrong or unethical and cannot always be avoided. What is important is that relevant Personal Interests are disclosed, and all conflicts of interest are appropriately disclosed, documented and managed.

(8) All University representatives are required to perform their duties with fairness, impartiality, integrity and honesty, and to adhere to University regulations, enterprise agreements, rules, standards, codes of conduct, policies and procedures.

(9) All University representatives must:

1. submit an annual Conflict of Interest declaration using the University’s Disclosure and Management of Interests Form by the end of March. Where no conflict exists, a nil return must be completed;
2. be proactive in identifying any new or updated conflicts of interest matters at the relevant time (i.e. not just annually);
3. disclose Personal Interests in accordance with this Policy;
4. not allow Personal Interests to affect the way Professional Obligations are carried out;
5. promptly and transparently disclose a conflict of interest to their manager/supervisor or other relevant University official per this Policy; 
6. in a situation where a conflict of interest has been identified, together with the manager/supervisor or other relevant University official, develop, implement and follow the most appropriate management plan; and
7. record and update Conflict of Interest Management Plans using the Disclosure and Management of Interests Form. 

(10) In the context of undertaking research, University representatives must also consider potential conflicts of interest in the context of the Australian Code for the Responsible Conduct of Research, 2018, the Australian Research Council’s ARC Conflict of Interest and Confidentiality Policy, the Guidelines to Counter Foreign Interference in the Australian University Sector, and other related legislation.

(11) To comply with the National Higher Education Code to Prevent and Respond to Gender Based Violence all Staff must declare:

1. any existing or previous intimate relationship with another Staff member where one party has, or is likely to have, supervisory oversight or other decision-making responsibilities in relation to the other;
2. any existing or previous relationship with a current Student where they hold, or are likely to hold, actual or perceived authority over that Student; and
3. in the case of Staff working in or in connection with student accommodation facilities of the University, any resident of one of the University’s student accommodation facilities.

Identification and Disclosure

(12) University representatives must proactively identify and assess their Personal Interests. Conflicts of interest can arise due to an overlap, competition or connection between the University representative’s Professional Obligations and their Personal Interests, which may have, or be perceived to have, an undue influence on the way they perform their Professional Obligations or may result in disadvantages to the University or other people.

(13) Areas where conflicts of interest commonly arise include, but are not limited to:

1. professional positions;
2. membership of committees of other organisations;
3. consultancies;
4. financial support (cash or in kind) for education or research related activities from a country other than Australia;
5. current or past associations or affiliations with a talent program from a country other than Australia (for the last 5 years);
6. current or past associations or affiliations with a government, intelligence organisation, government owned enterprise, military and/or police organisation in a country other than Australia;
7. boards of directors;
8. companies, trusts or other shareholding or ownership arrangements;
9. advisory groups;
10. professional relationships;
11. procurement;
12. decision making for recruitment, selection, and promotion;
13. outside employment (within the past 2 years);
14. family and personal relationships; and
15. financial interests, including receiving recompense in the form of cash, services, or equipment from other parties to support research activities.

(14) A material Personal Interest may also exist where an individual’s partner or immediate family member has any of the interests listed in clause 13. The term ’partner’ may refer to personal or business partners. The overriding principle for a declaration for a material Personal Interest is, if in doubt, the individual should declare the interest in accordance with the appropriate process pertaining to their role. This is to ensure that the University can take account of varied individual circumstances to ensure conflicts of interest are managed appropriately and consistently. This also ensures that, should any issues or queries arise, the individual can demonstrate that they have taken appropriate action. 

(15) Where there is uncertainty in the identification of a conflict of interest, the University representative must make a disclosure to their manager/supervisor or other relevant University official.

(16) In addition, there are specific requirements for disclosing Personal Interests (whether they do or do not constitute a conflict of interest) for:

1. key management personnel; and
2. for all University representatives in respect to countering foreign interference legislation.

(17) Examples of Personal Interests and conflicts of interest are provided in Annexure A - Examples of Conflicts of Interest.

Methods for disclosing Personal Interests and conflicts of interest

(18) The primary obligation for disclosing a Personal Interest or a conflict of interest rests with the University representative who has the Personal Interest. This does not preclude the University from identifying where a conflict of interest may exist and requiring a management plan.

(19) Personal Interests and conflicts of interest must be disclosed promptly and transparently, and a written record of the disclosure must be recorded using the Disclosure and Management of Interests Form.

(20) The methods for making and recording disclosures are outlined below. In some cases, it is appropriate for a matter to be disclosed in multiple ways.

Managing a Conflict of Interest

(21) The relevant manager/supervisor or other relevant University official must review the declaration of conflict of interest, determine whether an actual, potential or perceived conflict of interest exists and, if so, prepare a plan for managing it.

Assess the risk

(22) In developing a plan, the manager/supervisor or other relevant University official should consider the level of risk posed by the conflict of interest. Factors that should be considered when assessing the risk include:

1. the relevant work area and the type of workplace activity undertaken;
2. any overlap in the domain of the individual’s work at the University and the Private Interest; 
3. the extent of the individual’s involvement and influence;
4. how much and how easily a Personal Interest can be favoured;
5. a deviation from process or probity; and
6. potential consequences.

Consider the management options and document a management plan

(23) In managing a conflict of interest, measures that are proportionate to the nature of the conflict must be taken in order to reduce risk to an acceptable level.

(24) For many low-risk, less serious conflicts of interest, disclosure and recording may be the only management strategy required.

(25) For other more substantive conflicts of interest additional, proportionate measures may need to be taken to reduce risk to an acceptable level. Such measures must be documented in a Conflict of Interest Management Plan, as part of the Disclosure and Management of Interests Form.

(26) Declarations that could be reasonably seen to have a higher risk profile for the University should be referred by the supervisor to the Executive Dean, Deputy Vice-Chancellor or Vice-Chancellor for additional level of approval. If there is doubt or ambiguity as to the risk, a supervisor reviewing a declaration should consult with their manager or with Human Resources.

(27) For research-related conflicts of interest, the management plan must address any required disclosure to funding bodies (such as the Australian Research Council (ARC) and NHMRC), research participants, publishers and journal editors, collaborators and the public.

(28) Conflict of Interest declarations involving University start-ups/spin outs and other companies in which the activity overlaps with an area of activity at the University require additional approval by a relevant senior delegate in the Office of the Deputy Vice-Chancellor (Research).

(29) Recommended management strategies in relation to a conflict of interest include:

(30) Assessment and advice on appropriate management strategies can be sought from relevant stakeholders, e.g. Human Resources, General Counsel, Group Risk, Deputy Vice-Chancellor (Research) etc.

Implement and monitor

(31) The primary responsibility to adhere to the Conflict of Interest Management Plan rests with the University representative who has a conflict of interest.

(32) Their manager/supervisor (or other relevant University official) also has a role to monitor that the Management Plan is implemented and followed.

(33) This includes monitoring any changes in a conflict of interest (including as a result of changes to professional standards or regulatory developments), and if required, reassessment of the Management Plan.

(34) The Conflict of Interests Management Plan should be recorded and updated as needed using the Disclosure and Management of Interests Form.

(35) The Head of Department/School or Unit Head will sign off on all conflict of interest declarations for oversight and visibility.

Escalation of issues

(36) If an issue arises and it cannot be adequately mitigated or resolved by the manager/supervisor (or other relevant University official overseeing the matter), the manager/supervisor must refer the matter to the Chief People Officer, who will triage or manage the matter as appropriate.

(37) For research related conflicts of interest, if the matter cannot be adequately mitigated or resolved by the manager/supervisor (or other relevant University official overseeing the matter), the manager/supervisor must escalate it to the Deputy Vice-Chancellor (Research).

Managing privacy

(38) Conflicts of interest can involve the disclosure of information that may be private in nature, such as details about personal finances and relationships. Personal information arising from any disclosure as required by this Policy will be managed in accordance with the Privacy Policy.

Roles and Responsibilities

Responsibilities of University Representatives

(39) University representatives play an important role in identifying and managing conflicts of interest and they must:

1. ensure that they are aware of their obligations under this Policy (as well as the equivalent policies and procedures of external bodies relevant to their work/role);
2. conduct themselves in accordance with University regulations, enterprise agreements, rules, standards, policies and procedures including Codes of Conduct (Student Code of Conduct/Macquarie University Code for the Responsible Conduct of Research);
3. submit an annual Conflict of Interest declaration using the University’s Disclosure and Management of Interests Form. Where no conflict exists, a nil return must be completed;
4. maintain records of activities that may be relevant to the assessment of whether a conflict of interest exists;
5. comply with the disclosure of interest policies and procedures of relevant external bodies;
6. manage or arrange their Personal Interests as far as reasonably possible to ensure that conflicts of interest can be identified proactively;
7. disclose Personal Interests as outlined in this Policy;
8. identify, disclose, and manage conflicts of interest, in a timely manner, in consultation with their manager/supervisor, or other relevant University official (e.g. Committee Chair), as appropriate;
9. if they are unable to raise the conflict of interest with their manager/supervisor or other relevant University official due to the nature of the conflict of interest, raise the issue with the Chief People Officer. For research-related conflicts of interest, the issue must be raised with the Deputy Vice-Chancellor (Research); and
10. develop a Conflict of Interest Management Plan in consultation with their manager/supervisor, or other relevant University official (e.g. Committee Chair) as appropriate, and implement and follow it.

Responsibilities of Managers/Supervisors, or other relevant University officials (including Committee Chairs)

(40) Managers/supervisors, and other relevant University officials (e.g. Committee Chairs) play an important role in encouraging appropriate behaviour to manage conflicts of interest and must:

1. be aware of the requirements of this Policy (and the equivalent policies and procedures of relevant external bodies);
2. ensure direct reports complete a disclosure and management of interests form on an annual basis using the Disclosure and Management of Interests Form by the end of March each year;
3. manage any conflicts of interest disclosed to them in accordance with this Policy and monitor compliance with the disclosure of interest policies and procedures of relevant external bodies;
4. develop and implement a Conflict of Interest Management Plan in consultation with University representatives, where appropriate;
5. record any Conflict of Interest Management Plan’s via the Disclosure and Management of Interests Form;
6. if they become aware of a conflict of interest that may be significant or require action outside this Policy, raise the issue with the Chief People Officer or Deputy Vice-Chancellor (Research) for research-related matters; and
7. ensure that all matters are treated confidentially and in accordance with the Privacy Policy.

Responsibilities of the University

(41) To ensure that conflicts of interest are identified, disclosed, and managed, the University will:

1. take steps to provide an environment where individuals are aware of their obligations under this Policy and can disclose Personal Interests and any conflicts of interest per this Policy;
2. promote and support a positive approach to the management of conflicts of interest by building an organisational culture that supports fairness, impartiality, integrity, and honesty through appropriate communication, training, and enforcement activities;
3. maintain confidentiality in the management of any conflicts of interest as far as reasonable;
4. ensure that any personal information pertaining to conflicts of interest is collected, stored, used or disclosed in accordance with the Privacy Policy; and
5. provide a sound framework, including policies and procedures, to guide individuals in the exercise of their professional responsibilities to address the risks associated with conflicts of interest.

Failure to Identify, Disclose and Manage a Conflict of Interest

(42) Failure to identify, disclose, or manage conflicts of interest or other breaches of this Policy, can lead to:

1. misconduct or other disciplinary proceedings against the individual as a result of a breach of University regulations, enterprise agreements, rules, standards, codes of conduct, policies, and procedures;
2. investigation, assessment and management of the matter in accordance with the Macquarie University Research Code Complaints, Breaches and Investigation Procedure;
3. disciplinary action, termination of employment, removal of role/duties or any other action in accordance with the applicable industrial instrument and/or contract of employment;
4. action by agencies such as the Audit Office of NSW, Independent Commission Against Corruption (ICAC), and the NSW Ombudsman;
5. legal action against the individual or the University; and/or
6. suspension or cancellation of research or research funding.

ARC Funding and Applications

(43) As an administering organisation, the University’s failure to follow proper process in the disclosure and management of conflicts of interest may be in breach of ARC Grant Guidelines, ARC Grant Agreements and legislative requirements, including under the Australian Research Council Act 2001, that require compliance with this Policy.

(44) Researchers involved in ARC-funded projects who do not follow proper processes in disclosing and managing their conflicts of interest may also be in breach of the Code, which in some serious cases, may amount to research misconduct. The University is required to investigate such matters and report to the ARC on any research integrity breaches or research misconduct in accordance with the ARC Research Integrity Policy.

(45) Under ARC Grant Agreements, the ARC can terminate funding for a project if the University commits any breach of an Agreement which the Commonwealth considers is not capable of remedy; or if the ARC considers that the integrity of its grant selection processes, funding recommendations and/or funded research projects are compromised.

Section 3 - Procedures

(46) Nil.

Section 4 - Guidelines

(47) Nil.

Section 5 - Definitions

(48) The following definitions apply for the purpose of this Policy:

1. Personal Interest means any interest other than specific Professional Obligations as a University representative. Personal Interest may be personal, familial, material, other professional or organisational interest, which can bring, or be perceived to bring, financial or non-financial benefits. It may be pecuniary, involving an actual or potential financial gain, or non-pecuniary without any financial element, such as personal academic standing and reputation, or advancing the interests of associated individuals or groups (including friends, relatives, or competitors).
2. Professional Obligations mean obligations, responsibilities or duties performed as a University representative, whether academic, research, or professional. These responsibilities include being aware of and acting within the laws, regulations, enterprise agreements, rules, standards, codes of conduct, policies, and procedures that apply to their conduct at the University. It also includes power, authority, duty, or function that is conferred on the individual as a University representative.