Basis for Handling Conflicts

Three actions that underpin implementation of this policy are:

1. disclose always;
2. manage the conflict where appropriate; and
3. prohibit and activity when necessary to protect the public interest or the interessts of the University.

Disclosure

When is Disclosure Required?

Disclosure by a staff memeber must be made when there is potential for conflict, or the perception that a conflict may exist. Disclosure must be full and prompt, and made to the staff memeber's supervisor using the form attached. In the case of close personal relationships, either party to the relationship can make a disclosure. The primary obligation is to notify, in advance, any potential conflict. Written approval should be obtained before any commitment is made that might involve a conflict.

Conflicts Relating to Financial Interests where Students are Involved

The impact of a supervisor's conflict on students is of special concern. The University is particularly concerned about the content and quality of the training experience for students whose research is sponsored by an External Entity and whose supervisor(s) have personal interest in that business. The training experiences of students and postdoctoral fellows are expected to incorporate the values of objectivity in research and the importance of public trust. Students should not be required to participate in research that utilises an External Entity's confidential information or otherwise constrains their right to publish or communicate freely. Any exceptions, consistent with the provisions of this policy, shall be approved in advance by the Deputy Vice-Chancellor.

Before embarking on a research project, a student must be provided by the supervisor with a clear description of:

• Any External Entity support of the research to be undertaking;
• Any personal Significant Financial Interest the supervisor has in a sponsoring External Entity; and
• Any restrictions that might be imposed on the communications of research results.

Written approval from the Deputy Vice-Chancellor must be obtained before a student can be assigned to conduct research which is sponsored by an External Entity in which the supervisor has a Significant Financial Interest.

Commercial Conflicts

Potential conflicts in which the University has a particular interest and must be disclosed are:

• Fiduciary relationships
  
  Being a director, partner, or trustee is an example of the creation of a fiduciary relationship. If that relationship is owed to an External Entity there is real potential for a person's obligations to that External Entity to conflict with any obligation the may owe to the University, particularly where that person is a staff member. Staff should not be in a postition to direct University resources that can influence an External Entity's development if they are directors or shareholders in it. Potential conflicts between a person's role with that External Entity and their University role are likely to be such that the person may be unavle to hold both a University position and a position with the External Entity.
  
  Some appointments of this type require approval of Finance Committee, as well as disclosure to the supervisor under this policy: see Company Directorships, Secretaryship and Partnerships (2002/03950).

• Negotiating interests
  
  It is a potential conflict for staff to negotiate personally the terms under which any intellectual property, or other property of the University, is to be sold, licensed or transferred to an External Entity, in which the staff member has a Financial Interest. The required course of action is for a representative of the External Entity who is not a staff member of the University, or a person with whom the staff member has a close personal relationship, to be appointed to negotiate with the University, allowing negotiations to be conducted at arms length from any staff member with a Financial Interest.

• Shareholdings
  
  In some cases holding shares in a company may create a conflict including, for example, a staff member holding shares in a company controlled by one of the students or staff over whom they have responsibility. Similarly holding shares in a company that is sponsoring research at the University, where that research is managed or controlled by that staff member represents a potential conflict.

• Non-executive roles in External Entities
  
  Holding positions such as Chief Scientific Officer in companies sponsoring research at the University and conducting research at the University while simultaneously a staff member may create a conflict. Time commitments in fulfilling non-executive roles may create a conflict of commitment such that a staff member's University employment may have to revert to part time to allow both commitments to be fulfilled.

Other Conflicts Requiring Disclosure

• Remunerated or honorary positions and other connections with educational institutions which may give rise to a conflict of interest, including relevant external government or public committees, such as Research Councils, charities, Government Departments, professional bodies and training organisations.

• Prolonges absence - a staff member having a commitment outside the niversity that involves frequent or prolonged absence form the University on non-University business. The allowable exceptions are teaching or research activities performed in the course of normal OSP or other aproved leave that are routinely subject to disclosure and approval processess.

• Gifts or offers of gifts of significant value, other than official gifts, and ex gratia payments.

• Ownership or part-ownership or other interest in property in the vicinity of the University.

• Representational or other non-official interests relevant to the University (eg. election as an MLA or MP for an elctorate including all or part of the University).

• Engagements limiting the scope of activity at the University such as a staff member, as part of an arrangement with a non-University affiliated entity, agreeing to any limitations on the staff member's performance of research or teaching duties for the University (eg. through agreements containing exclusive provider, non-competition or right of first refusal clauses).

Annual Reporting

Disclosure of all consultancies, other financial interests that have the potential to create a conflict, relationships or other matters that may be perceived to raise a conflict must be formally reported at the same time as the Planning and Performance Review process is undertaken. This does detract from a staff member's obligation to report promptly, during the course of the year, any potential or actual conflict that may arise. The form annexed to this procedure should be used to report potential conflicts.

Failure to Notify and Actual or Potential Conflict

Not providing notification of a potential conflict could be regarded as misconduct.

There may be occasion when a conflict becomes known after the fact of a decision or determination. In these cases, as soon as the conflict becomes evident it must be reported to the supervisor. The University may decide to investigate the circumstances of the decision or determination, including whether a different decision or determination ought be made. The University may also determine that an investigation should be undertaken to determine whether misconduct has occured.

Managing Conflicts

Management Plan

Following a disclosure the supervisor and all relevant staff members and students, as appropriate, must devise an appropriate plan to manage or avoid the potential conflict. The supervisor and University member making the disclosure can use the process set out in the Appendix to assist in evaluating the extent of the conflict with a view to preparing a comprehensive management plan. Any party to the conflict or a relevant supervisor can consult the Conflict Advisory Officer to obtain guidance or assistance in resolving any issues.

Once a management plan is devised it must be signed by all parties and placed on appropriate University files to ensure that any decision-maker who might later deal with matters concerning the issue of the disclosure is properly informed prior to making any decisions.

Examples of Conflicts

Handling situations involving conflicts of interest or commitment can often be straightforward but cal also be difficult because of the complexity of some situations. To assist supervisors faced with making decisions on conflicts a set of examples is provided in the ANU Intellectual Property Manual. That list will be updated from time to time as experience is gained with applying this policy.

Conflict Advisory Officer

The Deputy Vice-Chancellor acts as a Conflict Advisory Officer (CAO) for the purposes of the policy. The role of the CAO is to provide advice as well as assisting to resolve conflicts unable to be resolved between the parties.

Requests for consideration of a potential or actual conflict should be forwarded to the Deputy Vice-Chancellor. Requests are to be written, set out clearly  the potential or actual conflict, the parties concerned, and the reasons(s) for requesting advice. The Deputy Vice-Chancellor may attampt to resolve the conflict or refer it to the Conflict Review Committee.

Conflict Review Committee

In doubtful or sufficiently complex cases the Deputy Vice-Chancellor may take advice from the Conflict Review Committee. The Committee, including the Chair, will be drawn by the Deputy Vice-Chancellor from the following list, depending on the nature of the conflict to be considered. The Committee will have a minimum or three members.

If the Deputy Vice-Chancellor refers a conflict to the Committee, the Committee should meet and report within thirty (30) days of a written request being received, or such further time as agreed by the Deputy Vice-Chancellor.

Potential Chairs

Deputy Vice-Chancellor
Pro-Vice Chancellor
Pro_Chancellor

Potential Members

Any Dean or Director
University Solicitor
Administrative Division Heads
Student representative
Staff representative