Procedure: Disclosure of interest

Purpose

To set out the procedural requirements for the sound management of private interests held by University Representatives as required under the Disclosure of Interest Policy.

Definitions

Definitions relevant to this procedure are available in the Disclosure of Interest Policy .

Disclosure of Interest Procedure

Examples of Interests to Be Disclosed

1. Private interests held by University Representatives may fall into the following categories or topic areas and their links to related ANU policies that University Representatives are required to comply as a result of their affiliation with ANU:

• Financial or Pecuniary Interests
• External Role or Commitment related interests (see also the Paid Outside Work (52 Day Rule))
• Close Personal Relationships (including family members, friends, and intimate partners) (see also: Code of Conduct)
• Gifts, Benefits and Hospitality (see also Fundraising & Gift Administration Policy, Fundraising & Gift Administration Procedure
• Foreign Interference (see also: Guidelines to Counter Foreign Interference in Australia’s University Sector)
• Research (see also: Responsible Conduct of Research Policy)
• Any combination of the above

Requirements and Expectations of all University Representatives

2. It is the responsibility of all University Representatives to proactively identify and disclose any Interests where they arise, ensuring updates are made to disclosures as circumstances change and evolve.
3. Interests should be disclosed via the approved forms (see Disclosure Process below).
4. If a University Representative has knowledge of a conflict of interest where it can be reasonably assumed that a disclosure has not been made by another University Representative, information should be provided to their supervisor or as per the University’s Public Interest Disclosure (PID) framework.
5. University Representatives may enter into contracts or arrangements with external entities, provided they act in the best interests of the University and disclose any instances where a commercial relationship is created (external to their ANU duties) using the DOI Framework. As part of this, when entering into a commercial relationship with an external entity, Academic staff should refer to Paid Outside work: the 52 day rule.
6. University Representatives are free to engage in activities that create private interests while working for the University, so long as policy, procedures, the Enterprise Agreement, the Code of Conduct, other contractual terms and the University’s Disclosure of Interest framework are adhered to while doing so.
7. However, where interests have the potential to – or do – create, Conflicts of Interest in relation to a University Representative’s work with the University, these should be avoided unless necessary or simply unavoidable. Where the creation of an interest that will (or will likely) lead to a Conflict of Interest is unavoidable for whatever reason, staff members must complete a disclosure using the steps outlined below.

Interest Disclosure Process

The disclosure process includes the following key steps:

Step 1

Determine whether the interest is classified as a ‘disclosable’ interest.

1. If the interest is not deemed to be a disclosable interest, no further action is required.
2. If the Interest is deemed to be a disclosable interest, Steps 2 to 5 must be completed.

Where a supervisor is involved in the interest, they cannot be involved in approving any arrangements in relation to the disclosure. In this instance, the discloser approaches their supervisor’s supervisor or seek further advice from the University Governance Office (UGO). Additionally, where no clearly articulated supervisor exists (for example in the case of a Visitor), the discloser’s primary contact at the University is considered their supervisor for the purposes of the DOI framework.

Step 2

1. If your interest is low-risk or you are not sure, please complete the eForm (see Step 3a).
2. If your interest is a medium or high risk, please complete the hard copy form (obtained by contacting disclosure@anu.edu.au) (see Step 3b).

Step 3a (e-form)

1. You will receive a PDF copy of your disclosure via email for your records, including an electronic Central Interest Register Identification (CIRID) number.
2. After completing the e-form, if more information is required, UGO will advise of any next steps. This may include providing more information or completing sections within the hard copy form.
3. If no additional information is needed, there will be no further action required.

Step 3b (hard copy form)

1. Complete Sections 1 and 2 of the hard copy form.
2. If the residual risk rating following Section 2 is Moderate or Low and no conflict exists, no further action is required (however, it remains at the discretion of the discloser’s supervisor whether an Interest Management Plan (Section 3) is completed).
3. If the residual risk rating is Moderate or Low and a conflict does exist, Section 3 must be completed by the discloser and their supervisor as an element of the interest disclosure.
4. If the residual risk rating is High or Extreme, a Section 3 must be completed by the discloser and their supervisor as an element of the interest disclosure, regardless of whether a conflict exists or not.

Step 4 (hard copy form)

1. Once all documentation associated with the disclosure has been completed, it must be submitted to UGO via disclosure@anu.edu.au.
2. UGO will respond to your submission with a confirmation email which will include a Central Interest Register Identification (CIRID) which is a unique alphanumeric sequence used to reference your Interest in future correspondence (reviews/updates etc).

Step 5

1. Once a disclosure has been made, the University Representative who made the disclosure is responsible for providing updates as they arise or become apparent.
2. Reviewing interests to ensure they remain current is also an integral part of the disclosure process.
3. All Interests must be reviewed at least annually, however, where an interest has a higher residual risk rating, that interest must be reviewed more frequently. The timeframes are as follows:

• Extreme Risks must be reviewed Quarterly
• High Risks Must be reviewed every 6 months
• Depending on the residual risk rating, the information captured in relation to the interest may be anonymised and presented to relevant University committee/s.

Periodic Disclosure Process

8. The University will occasionally request a disclosure from members of staff as a matter of routine.
9. If a member of staff does not have any interests to disclose then a ‘nil’ response should be given using the eform.

Proactive Disclosure & Seeking Advice

10. Wherever possible, advice should be sought in relation to an interest, no matter how minor the interest may seem. If there is a chance that an interest could create a conflict, seeking advice from a supervisor will ensure that the interest is evaluated objectively and managed in accordance with the University’s disclosure of interest framework.
11. If in any doubt, disclosure via the e-form is the most appropriate first step for the disclosure and discussion of an interest.
12. For additional guidance around disclosure relating to common private interests, conflicts of interest and associated scenarios, please refer to the University’s Disclosure of Interest Online Guide.
13. For information about interests and delegations please refer to the Delegations of Authority Policy and Delegations of Authority Procedure.

Escalation of Interests

14. Escalation is a key element for the proper function of the University’s Disclosure of Interest Framework. Risks with a residual rating of High or Extreme will be notified to the relevant member of University Executive.

Disclosure Requirements and Non-Compliance

15. University Representatives have an obligation to disclose and manage all private interests proactively and in good faith.
16. Failure to disclose and appropriately manage an interest may result in:

1. damage to the reputation of the University and the individual; and
2. loss of confidence in the University and its ability to perform various functions.

17. Failing to comply appropriately with disclosure obligations, including refusal to take any reasonable action as directed by supervisors to satisfactorily manage risks associated with an interest or resolve a conflict of interest may be regarded as misconduct or serious misconduct which may result in disciplinary action.
18. Where noncompliance occurs, supervisors should liaise with their local People & Culture contact to obtain advice specific to the circumstances.
19. Where People & Culture requires further advice regarding the operation of the DOI Framework, UGO should be contacted at disclosure@anu.edu.au.

Mitigating Risk

20. Interest Risk Assessment and Interest Risk Management (both completed via the hard copy form) are the primary means for minimising the risk posed by any interest to the University. There are many ways to manage any relevant risks, including:

1. Registering the interest on the Central Interest Register (CIR);
2. Restricting involvement in the exercise of the duty to which the interest relates;
3. Recruiting an objective third party to oversee part (or all) of the exercise of the duty to which the interest relates;
4. Removing the staff member to which the interest relates from all responsibilities in relation to the duty;
5. Relinquishing the private interest (such as selling financial interests); and
6. Resigning/Ceasing from the role/activity that creates the interest (either temporarily or permanently, depending on the risks associated with the interest and the longevity of those risks).

Monitoring

21. The University, through UGO and the Chief People Officer, will periodically review the University’s DOI framework to ensure its continued effectiveness.

Awareness and Training

22. The ANU will ensure that University Representatives have access to education programs during induction and as part of ongoing refresher training that is designed to raise awareness in relation to proper disclosure, handling and management of conflicts of interest by University Representatives, and to assist them discharge their responsibilities and duties.

Agents and Contractors

23. The ANU will implement appropriate systems and controls (including as part of any contractual arrangements) to ensure that conflicts of interest involving agents and contractors of the University are identified, declared and managed appropriately.

Legislation and Codes

1. Australian University Act 1991 (Cth)
2. Public Governance, Performance and Accountability Act 2013 (Cth)
3. Australian Code for the Responsible Conduct of Research