Conflict of Interest Policy

It is in the interests of the Institute, its Staff and Affiliates and all other members of the Burnet Institute community to maintain the highest possible ethical practices and standards in order to maintain public trust and confidence in the Institute. In order to act ethically and with integrity, all those who undertake duties and responsibilities on behalf of the Institute must be able to identify, and appropriately manage, conflicts of interest whether potential, actual or perceived.

The objectives of this Policy are to:

• ensure Personnel and Affiliates understand what a Conflict of Interest is and their role in avoiding conflicts of interest wherever possible; and
• where a conflict is unavoidable, know how to declare and actively manage conflicts of interest between their individual interests; and
• support Personnel in complying with their obligations under the Code of Conduct.

The policy covers all Institute Personnel in the course of their work or other activities undertaken for or on behalf of the Institute other than those employees who are local staff employed by local offices in Myanmar, Papua New Guinea or Vanuatu.

This Policy does not apply to Staff of controlled entities of the Institute as those organisations are expected to have their policies on this issue in place.

Actual Conflict of Interest

A real conflict of interest exists.

For example, a staff member assesses a tender submitted by a business in which the staff member has a financial interest.

Affiliates

People appointed in accordance with the Institute’s Appointment of Visiting and Honorary Policy, students and adjuncts.

Business Relationships

Refers to external contractual relationships, partnerships, private companies, professional networks, business names or any other commercial trading activity.

Close Personal Relationship

Refers to married/de facto partners, sexual partners, Near Relatives or close friendships between Staff, Staff and students or Staff and Affiliates. It does not include normal acquaintances between Staff, Staff and students or Staff and Affiliates. Close personal relationships can exist or develop in person or online.

See the Close Personal Relationships Guidelines for more information.

Conflict of Interest

Occurs where Personnel or Affiliates have a private interest that could improperly influence, or be seen to influence, their decisions or actions in the performance of their Institute role. A conflict of interest may be actual, potential or perceived.

Enmity as well as friendship can give rise to perceptions of a conflict of interest.  Detriment to a third party can give rise to a conflict of interest just as much as benefit to a third party.

Declaration of Interests Form

Form requiring Staff to disclose any professional affiliation, private interest or foreign connection including secondary employment, financial, business and family interests, gifts, close personal relationships and other conflicts.

Financial Benefit

A benefit in the form of remuneration, payment or gift received by a Staff member outside their ordinary remuneration. Financial benefits may include investments, ownership or directorship of any companies, consultancies, provision of goods or services, receipt of royalties or other consideration. A Financial Benefit may be real or in-kind.

Foreign Principal

A foreign government or political organisation, an organisation controlled by a foreign government or political organisation, or an individual who is controlled by a foreign government or political organisation (for full definition see section 10 of the Foreign Influence Transparency Scheme Act (2018) (Cth)).

Near Relatives

Refers to members of the immediate or extended family.

Perceived Conflict of Interest

Arises where it could reasonably be perceived that a competing interest could improperly influence the decisions or activities of Personnel or an Affiliate (whether or not that is actually the case).  For example, a staff member acts as a consultant for a business which is sponsoring research undertaken by the Staff member for the Institute.

Personnel

All members of the Burnet Board of Directors and its Committees, all employees and Affiliates.

Potential Conflict of Interest

Where Personnel or an Affiliate has an interest or obligation, whether personal or involving a third party, which has the capacity to develop a conflict with their duties or responsibilities at the Institute.  For example, a staff member has a pre- existing personal relationship with another staff member of the Institute

Private Interest

Anything that can influence Personnel or an Affiliate. Private Interests include:

• Direct interests such as personal, family, professional or business interests; and
• Indirect interests such as the personal, family, professional or business interests of individuals or groups with whom the Personnel or Affiliate is or was recently closely associated.

Private Interests may be:

• Pecuniary (ie financial), which includes any potential, actual or perceived financial gain or loss; and
• Non-pecuniary, which includes any tendency towards favour or prejudice resulting from personal or family relationships such as friendships, enemies, or sporting cultural or social activities.

Registrable Activities

Registrable activities are activities that must be declared under the Foreign Influence Transparency Scheme Act (2018) (Cth). These activities are conducted for the purpose of political or government influence, on behalf of a foreign principal and include:

• Lobbying the Commonwealth Government (including members of parliament, Staffers, Departments, public servants, political parties and candidates), in the sense of seeking to influence a process, decision or outcome;
• Communication activity – of any kind where information or material (in any form) is disseminated for the purpose of influencing the views and opinions of people involved in political or government processes at the Commonwealth level (including voters during an election) on behalf of a foreign principal;
• Certain disbursements of money on behalf of a foreign principal for the purpose of influencing political views or opinions.
• There are also additional registration obligations for activities undertaken by former Cabinet Ministers and recent designated position holders.

Secondary Employment

Any employment with an organisation other than the Institute and includes self-employment, independent contracting or consulting or employment by a family company.

Staff Member

All people employed by the Institute including joint appointments, whether on continuing, permanent, fixed term, casual or cadet or traineeship basis. Staff Members also include any students who are employed on a fixed-term or casual basis.

Institute Personnel and Affiliates are expected to behave in good faith and avoid Actual, Potential or Perceived Conflicts of Interest in the course of their Institute activities.

Personnel and Affiliates carrying out Institute activities and functions have a responsibility to identify, declare and manage any Potential, Actual or Perceived Conflict of Interest as they arise. Board Directors also have obligations under the Company Constitution.

Employees with Direct reports are accountable for overseeing the management of their direct reports’ conflicts of interest. Modelling good practice and promoting awareness of conflict of integrity policies and processes including this Conflict of Interest Policy.

The Institute will take a proactive approach to assessing and managing conflicts of interest. Employees with direct reports will ensure they are aware of the conflicts inherent in their team’s work and functions and will monitor the risks to which their direct reports are exposed.

1. Procurement context

Staff engaged in procurement of goods or services on behalf of the Institute, or who make decisions regarding suppliers, customers and other persons in seeking to do business with the Institute must:

• avoid Conflicts of Interest (whether actual, potential or perceived) associated with their decisions;
• declare any Actual, Potential or Perceived Conflict of Interest;
• manage any Conflict of Interest in accordance with section 1011 (Procedures for Dealing with Conflicts of Interest) below.
  Staff engaged in procurement of goods or services must not accept gifts from suppliers or potential suppliers or those who may benefit from procurement decisions.

2. Financial Conflicts

2.1 Financial conflict of interest might arise in the following situations:

• Personnel has a financial interest (including shares) in a company and holds a position in the Institute in which they could influence, or could be perceived to influence the Institute to do something which favours that company;
• within the awarding of contracts by the Institute to a company; where Personnel or an Affiliate holds a directorship of a company which is in a position to exert significant influence over the Institute;
• where the Institute is providing services to an organisation in which a Staff member has an interest;
• where a Staff member is required to perform an audit on an operation in which they have a personal interest; or
• where a Staff member owns or holds a directorship, executive position or shareholding in a company, organisation or business that has a business relationship with the Institute.

Additional examples are set out in the Appendix.

2.2 Where a Conflict of Interest in relation to a Business Relationship or Close Personal Relationship with a competitor or collaborating organisation exists, Personnel must:

1. avoid Conflicts of Interest (whether Actual, Potential or Perceived) associated with their interactions with competitor or collaborating organisations
2. declare any Actual, Potential or Perceived Conflict of Interest to their manager or other Personnel with management responsibility for the interaction;
3. manage any Conflict of Interest in accordance with section 10 (Procedures for Dealing with Conflicts of Interest) below, including by not making any material decisions in relation to the engagement.

2.3 Staff members must be impartial and be seen to be impartial in the performance of these duties and must not use information obtained in the course of their work for their own personal benefit. They must not disclose such information to a third party except where consent has been obtained or there is a legal or professional duty to disclose.

2.4 If a Staff member has a financial interest in a company or any other business venture and is in a position to influence business arrangements between that company and the Institute, such interests must be declared to the Director and recorded in accordance with Section 16 of this policy.

2.5 Secondary employment or appointment (including any honorary or adjunct appointments) of any kind, whether paid or unpaid, must be declared and approved by the delegate listed in the Institute’s delegations scheduled;

2.6 Authorised Staff members shall select and deal with suppliers, customers and other persons doing or seeking to do business with the Institute in a completely impartial manner based always on the best interests of the Institute. A Staff member shall not conduct business on behalf of the Institute with a member of their family, Near Relatives or a business entity with which the Staff member or a member of their family is associated except where such dealings have been disclosed and specific approval and written authorisation have been obtained.

2.7 Similarly, a Staff member shall not divert business of the Institute away from another supplier, customer or other person to a member of their family or business entity with which the Staff member or a member of their family is associated except where such dealings have been disclosed and specific approval and written authorisation have been obtained from the Director.

3. Close Personal Relationships

3.1 Close personal relationships may exist or develop between Staff members between a Staff member and an affiliate or between a Staff member or affiliate and another person related to the role of the Staff member of affiliate at the Institute (for example, a supplier or an applicant for a vacancy in the same work area).

3.2 The existence of such close personal relationships may give rise to actual, potential or perceived conflicts of interest or other consequences such as actual or perceived corrupt or fraudulent conduct.

3.3 Staff members are required to disclose close personal relationships on the Conflict of Interest Declaration Form. Affiliates are strongly encouraged to disclose such relationships to their supervisor or appropriate senior officer to ensure appropriate management strategies are put in place to mitigate risk to the Institute and the parties involved.

3.4 Management strategies that may be put in place include but are not limited to ensuring that:

1. one party is not the direct line supervisor of the other;
2. one party is not involved in procedures leading to the appointment or promotion of the other party or in any other procedure relating to the conditions of appointment such as the classification of that person's position or the granting of leave;
3. one party does not have access to any personal files relating to the other party;
4. the relationship between the parties does not affect, adversely or otherwise, the interests of third or other parties.
5. duties are reorganised to minimise contact, for example, ensuring that one party is not tutoring, supervising, assessing, providing pastoral care, employing, promoting, performance evaluating or professionally responsible for administering activities in which the other party is involved.

3.5 An existing Close Personal Relationship does not of itself present grounds for refusing employment, promotion, transfer or access to other benefits.

3.6 More detailed information is available in the Close Personal Relationships Guidelines.

4. Committees

4.1 As a member of a Institute working party, committee or board, Staff members and Affiliates must declare the nature, character and extent of any existing actual, potential or perceived conflicts of interest when their role commences.

4.2 Additionally, Staff members and Affiliates must disclose actual, potential or perceived conflicts of interest that arise from the ongoing business under consideration of the committee, working party or board that they are a member of.

4.3 In the case of recruitment Selection Panels, members are required to formally declare that they do/do not have a conflict of interest once candidates are known.

4.4 If in doubt, it is best to acknowledge a possible conflict of interest.

When such a conflict of interest is disclosed, the Chair (subject to the views of the Committee) will determine how the conflict will be managed, giving consideration to how to ensure fair and equitable processes throughout. Management may include but is not limited to:

1. asking the Staff member or affiliate to leave while the item of business is discussed;
2. asking the Staff member or affiliate to abstain from voting and or discussion;
3. allow the Staff member or affiliate to participate in the discussion but withdraw from the meeting before the vote or abstain from voting;
4. allow the Staff member or affiliate to stay but not participate in the debate;
5. allow the Staff member or affiliate to stay with full rights to debate and vote; or
6. replacing the Staff member or affiliate with another (particularly in the case of recruitment Selection Panels to ensure that all applicants are judged by a panel of the same size and comprising the same members).

4.6 Where there is a conflict of interest declared in relation to a particular issue, future committee, working party or board papers on that issue may not be made available to the Staff member or Affiliate concerned.

4.7 All declarations of interest and how the conflict is to be managed shall be recorded in the minutes of the meeting. 

5. Research

5.1 A researcher’s affiliation with or without financial involvement in any organisation (foreign or local) or entity with a direct interest in the research or the provision of materials for research may result in a conflict of interest.

5.2 A researcher must make a full disclosure of any potential conflict of interest in research. Potential conflicts of interest may include, but are not limited to any affiliation with, or financial involvement in, any organisation or entity which:

1. has a direct interest in the subject matter or materials of the researcher;
2. provides direct financial support, such as sponsorship, for a project involving the researcher; or
3. provides indirect benefits such as the provision of materials or facilities for a project involving the researcher or the support of the researcher such as by provision of travel or accommodation expenses to attend conferences.

5.3 Such disclosure must cover any situation in which the potential conflict of interest may, or may be perceived to affect any decision regarding other people.

5.4 Institute researchers are required to disclose any potential conflict of interest in research to journal editors (on manuscripts for example), readers of published work, and to external bodies from which funds are sought.

5.5 Institute researchers are required to disclose at the time of reporting or proposing research (for example in a grant application), any potential conflict of interest that has the potential to influence research and investigations, publication and media reports, or grant applications.

5.6 The CEO/Director must be informed of any disclosure of a potential conflict of interest in research as soon as reasonably practicable. Institute researchers must comply with any direction made by the CEO/Director or their delegate in relation to a potential conflict of interest in research.

5.7 Researchers may also have obligations to register certain activities under the Foreign Influence Transparency Scheme Act (2018) (Cth) if they are undertaking research or related activities on behalf of a foreign principal (for example, a foreign government or an overseas Institute or company which is in some measure controlled by a foreign government).

6. Foreign Influence

6.1 Staff must make full disclosure of any potential conflicts of interest when:

1. entering into an agreement or arrangement with a foreign organisation or entity;
2. engaging with community of international research experts or international working groups; and/or
3. undertaking International travel for research, conferences or other international collaboration.

6.2 Potential conflicts of interest may arise when Staff have an affiliation with, or financial involvement in, any foreign organisation or entity which:

1. Has a direct interest in the subject matter or materials of a researcher at the Institute;
2. Provides direct financial support to Staff, such as sponsorship, for a research project;
3. Provides indirect benefits such as materials or facilities for a project involving the researcher or the support of the researcher such as by provision of travel or accommodation expenses to attend conferences;
4. Pays for consultancy work from Institute academics, researchers or experts in a specific area;
5. Provides teachers and funding for foreign subjects or cultural outreach programs;
6. Appoints Institute academics in honorary and adjunct roles at overseas institutions.

6.3 Disclosure of the potential conflict of interest must be made as soon as reasonably practicable to the Director Corporate Services and CFO via the Governance team.

6.4 In circumstances where the nature of activities conducted are on behalf of a foreign principal, for the purpose of political or government influence, there may also be an obligation to register with the Commonwealth government under the Foreign Influence Transparency Scheme Act (2018). These registrable activities include:

1. Parliamentary lobbying;
2. Communications activity; and/or
3. Certain disbursements of money on behalf a foreign principal.

6.5 In addition, there may be obligations to disclose the foreign principals involved in communications activities, in accordance with specifications set out in the Foreign Influence Transparency Scheme (Disclosure in Communications Activity) Rules 2018.

6.6 There may also be additional registration obligations for activities undertaken by former Cabinet Ministers and recent designated position holders.

6.7 If the individual is still unsure of their obligations, advice may be sought from the Legal Services Unit before proceeding. Significant penalties may apply to individuals and/or entities who fail to register a relevant relationship.

7. Access to Information

7.1 Where Staff or Affiliates have access to official Institute documents and information obtained in the course of their employment, honorary or Affiliate position, they need to be aware of and maintain confidentiality and privacy of that information in order to protect the individuals concerned and to ensure the efficient operation of the Institute.

7.2 In general Staff and Affiliates should only disclose Institute information when required to do so by law, when the need arises as part of their normal duties and when called upon to give evidence in court or where the information has been officially approved for release. This restriction does not apply to Institute information which has been published and is therefore in the public domain.

7.3 Staff and Affiliate conduct must also be in line with any associated confidentiality agreement.

8. Public Comment

In some circumstances, public comment by a member of the Institute could raise questions of conflict of interest. In such cases, members of the Institute are referred to the Communications Team.

9. Use of Institute facilities and equipment

Staff members and honorary appointees are expected to use Institute facilities efficiently, carefully and honestly. Such resources should not be used for personal benefit or the benefit of a third party. Personal use should be minimal.

10. Situations which are not a Conflict of Interest

There are a number of circumstances that do not constitute a conflict of interest under this Policy, including:

1. membership of other organisations where there is no possible benefit or perception of benefit;
2. union representation or membership; or
3. Institute-approved collaborations with other organisations.

11. General Procedures for Dealing with Conflicts of Interest

11.1 A Declaration of Interests Form will be issued by People Team on commencement or employment of senior staff (or for Affiliates, upon initial engagement with the Institute) and thereafter the Governance team will seek annual declarations from senior staff and Affiliates.

11.2 Each year the Executive responsible for this Policy will request senior staff to complete a Declaration of Interests Form. All staff who are requested to complete this form are required to do so.

11.3 Where an Actual, Real or Perceived Conflict of Interest arises, the Staff member must disclosed to the Staff member's Deputy Director or Executive and to the Chair of any relevant committee. The report must be made immediately and in the case of any delay a valid explanation must be provided.

1. 11.4 Staff members who are uncertain whether or not they are placed in a situation where a potential or actual conflict of interest exists should seek advice from:

1. the Chief People Officer in relation to employment; or
2. Legal Counsel/IP lawyer for commercial related issues; or
3. Manager Research Integrity and Governance for research related issues; or
4. the Director Corporate Services/CFO in respect of all other matters.

11.5 The person to whom the disclosure is made, on consideration of all relevant information, may determine that:

• the potential for a conflict of interest of the Staff member is remote and requires no further action other than to record that the matter has been reviewed; or
• the Staff member's situation presents a conflict of interest and that conflict must be managed.

11.6 If the Staff member or Affiliate disagree, either about the presence of a conflict or about its appropriate resolution, the matter must be referred to the Director Corporate Services and CFO.

11.7 Once an assessment has been made, the Director Corporate Services and CFO must immediately notify the Staff member of their decision.

11.8 The report of the conflict of interest, the supervisor’s assessment and the resolution must be in writing and placed on the Staff member’s personnel file. The report must be provided to the Staff member and include any comment that the Staff member wishes to be recorded.

11.9 Actions to manage any conflict of interest are to be implemented immediately. These may include:

• avoid the conflict such as disqualifying the Staff member from the process to which the conflict relates or reorganising the duties of the Staff member so as to remove the conflict of interest; or
• putting in place additional processes to ensure the impartiality of the Staff member in the performance of their duties and notifying the Staff member of these processes by confidential minute.

11.10 Staff members who are authorised to continue performing their normal duties must immediately report any change in circumstances, which could affect that authorisation, to their Deputy Director or Executive. Once notified, the Director Corporate Services and CFO via the Governance team should review the situation according to the procedures set out above.

11.11 All information regarding conflicts of interest is confidential and must only be disclosed to Staff with delegated authority for dealing with and recording such matters. It is legitimate for those involved in resolving a matter to seek advice and/or assistance from people with relevant expertise as nominated in this policy.

11.12 The Institute shall take all necessary steps to ensure the confidentiality of information relating to conflicts of interest or perceived conflicts of interest.

11.13 Any person with a complaint about a Staff member acting in breach of this Policy may raise the matter with the Director Corporate Services and CFO, alternatively, where appropriate, report the matter under a relevant Institute procedure for the making of a complaint or protected disclosure.

11.14 Where a complaint is made by any person that a Staff member has breached this Policy, the complaint shall, at the discretion of the Director Corporate Services and CFO or Governance team, be investigated. If the complaint is against the Director Corporate Services and CFO, the complaint shall be managed by the Executive Director and at their discretion, be investigated.

12. Compliance with this Policy

12.1 All Staff and Affiliates are required to comply with this policy.

12.2 A Staff member or Affiliate may be directed to provide information regarding potential or actual conflicts of interest and failure to do so may be regarded as a breach of this Policy.

12.3 Any alleged breaches of this Policy will be dealt with in accordance with the applicable Institute policy document or contract in accordance with the principles of natural justice.

12.4 Where a breach of this policy has been found to have occurred:

• Staff may have their employment with the Institute terminated.
• Affiliates may have action taken against them which may include termination or non- renewal of their contract or appointment with the Institute.

12.5 The Institute treats all complaints seriously and makes every effort to expeditiously investigate complaints in accordance with the Institute’s policy documents. Where there is no relevant process for dealing with an alleged breach of this Policy, the Institute will take steps to ensure the matter is properly considered and, if proven, that appropriate action is taken.

13. Communication about this Policy

13.1 Staff members and Affiliates are responsible for identifying and reporting any conflicts of interest they may become aware of and to take action to address situations in which a conflict of interest could arise, or perceivably arise, as soon as the conflict of interest is identified, by implementing the procedures in this Policy.

13.2 The Institute is responsible for communicating the requirements of this Policy to Staff on a regular basis.

13.3 The Institute will communicate the contents of this Policy to all Personnel and clients of the Institute. This will be achieved by:

1. publication of the policy and procedures on the Institute website;
2. inclusion in Institute Staff Induction Program;
3. inclusion in relevant Staff training programs;
4. circulation to all Deputy Directors, Working Group Heads and Executives for distribution to all Staff and Affiliates; and
5. circulation to relevant Institute stakeholder.

• Code of Conduct
• Code of Research Conduct
• Disciplinary Procedure
• Whistleblower Policy

Examples of situations in which Conflicts of Interest may arise

Without limiting the possible circumstances, the following are examples of areas which may give rise to a conflict of interest:

1. decisions regarding suppliers, customers and other persons in respect of the selection and/or ongoing dealings related to doing or seeking to do business with the Institute;
2. Business Relationships or Close Personal Relationships including but not limited to directorships, affiliated positions, advisory positions with competitors or businesses operating in the same area as the Institute or one of its units;
3. decisions regarding recruitment, appointment, promotion or other personnel decisions;
4. holding paid or unpaid directorships, executive positions, shareholdings or ownership of other companies, organisations or businesses or consultancies;
5. Close Personal Relationships (including sexual relationships) with other Personnel or Affiliate;
6. researcher’s affiliation with or without financial involvement in any organisation or entity (foreign or local) with a direct interest in the research or the provision of materials for research they are undertaking, or where there is a financial interest in internal funding decisions;
7. acceptance of gifts, benefits or hospitality (see Gifts Benefits and Hospitality Policy);
8. access to Institute documents and information obtained in the course of employment;
9. secondary employment whether paid or unpaid of any kind including with other companies, organisations or businesses;
10. ownership of intellectual property;
11. membership of an organisation that comes into competition or conflict with the Institute;
12. requests for public comment including public speaking, comments on radio or television, opinions expressed in letters to newspapers or in books, journals or notices;
13. use of Institute facilities and equipment for personal benefit or the benefit of a third part;
14. being inventors or beneficiaries of institute intellectual property assets;