External Interests Declarations

Presented by Human Resources

August 2013

Online declaration process

The External Interest Policy 2010 requires all academics and any general staff members or affiliates who are, or may be involved in decision making on the University’s behalf to complete an annual declaration of their external interests.

A secure and easy to use online process has been developed in SharePoint to enable staff to make their declaration. All parties involved in the declaration process are bound by confidentiality.

Why complete an online declaration?

To ensure inevitable conflicts are managed in an open and fair manner, that protects both the individual and the University from the appearance of impropriety.

The declaration process is based on self-assessment. It involves:

disclosing all external interests that are broadly relevant to your role

identifying whether any of your disclosed interests give rise to a conflict of interests, whether actual, potential or perceived

if you identify a conflict of interests, you will need to include in your declaration an explanation of how you plan to eliminate it, avoid it, or manage it.

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Overview of Responsibilities

Staff members will complete a declaration and (where required) include a conflict of

interest management plan

Champions are nominated staff within the faculty/unit that act as a point of contact

for staff, Reviewer, Executive Supervisor and External Interests Administrator during

the roll out period

Reviewers (HOS) play a key role in promoting the online process and ensuring their

staff complete their declarations and manage any identified conflicts of interest.

Reviewers will review the declarations of staff in their area of responsibility, and will:

endorse or decline a declaration by seeking more information

will notify the staff member that they are required to resubmit with more information

and or create a management plan to eliminate, avoid, or manage any conflict of

interests

once resubmitted will endorse the completed declaration.

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Overview of Responsibilities

Executive Supervisors (Dean) will:

determine timeframes for the implementation in the area

select the reviewers and identify which staff are required to make a declaration

approve declarations or decline declarations by requesting further information.

Role of OGC: Register and secure all declarations of conflicts of interest and any

management plans submitted by University staff.

External Interests Administrator provides technical assistance to staff in relation to

the functionality of the online form.

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Ask, Think, Act

Staff members will receive a personalised email from their executive supervisor with

a link to the form. Staff should read the External Interests Policy 2010 before making

a declaration and utilise the support information linked to the email.

Once staff receive their email they should:

log into the website using their Unikey and password, complete the form and

submit

where a conflict of interest is identified (actual, potential or perceived) a conflict of

interest management plan needs to be included

staff members should liaise with their assigned Reviewer/Supervisor with any

questions surrounding their declarations

once the staff member submits the form, a review and approval workflow is

triggered (via email)

staff can return to the system via the link in their original email at any time to check

on the status of their form.

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Declaration process - overview

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An email is sent from the executive supervisor advising staff of the University’s declaration requirement and

providing a link to the Sharepoint site and online form. The workflow via the DEI Sharepoint system is:

Staff member declares any external interests they may have and indicates if there is a conflict of interests. If so, provides management plan(s)

Reviewer endorses or requests more info from staff member

Executive Supervisor approves or requests more info. Forms with conflicts and management plans directed to GC.

General Counsel Maintains copies in University’s register

Online Information Resources

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SharePoint

All staff will log in with their Unikey and password.

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External Interests System – Homepage

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→

The On-line Form

Staff will find their Unit/Faculty, reviewer and executive supervisor in the drop

down menus

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How to complete the Declaration of external interests form

The online declaration will cover five areas:

Relationships with industry, business, professional associations and similar entities

Other research funding or relationships with research funding entities

Personal relationships (including immediate family, close friend, spouse etc.)

Other relationships

Outside earnings (academic staff only)

To assist staff there is information on the Intranet pointing to each question on the form at Instructions for completing the form

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What happens when staff submit the form?

Once staff submit their declaration it is sent to the reviewer for endorsement and

staff will not be able to make changes to it unless the reviewer requests an

amendment

Save v’s Submit: Staff can start their application and click “save” so they can come

back and complete it at a later time; however,

Staff must tick all the boxes and click “submit” for the form to be completed and

sent to the reviewer to endorse

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Declaration submitted - Notifications

Staff will receive system notifications:

once the form has successfully been submitted

when the reviewer endorses or decline the declaration

When the executive supervisor approves their declaration.

Viewing the Declaration: staff are able to view their declaration at any stage by logging into the SharePoint site. If a staff members situation changes after a period of time and they need to amend their declaration of external interests, they will need to complete a new online form.

Reviewers will receive system notifications:

once staff have successfully submitted their declarations

if the Executive Supervisor requires amendments

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Support

ICT help Desk 1st level basic support (e.g. advise users to check browser versions, clear cache, access MCS domain)

Contact the External Interests Administrator for any issues with the functionality of the on-line form or navigating DEI system

HR has developed the tools for faculties/units to implement this process. A range of support materials have been developed to provide information to staff and managers to effectively complete this process(e.g. presentation material, email templates; step-by-step guide to implementation; sample communication strategies).

Staff should liaise with their reviewer, supervisor or HR Advisor for questions about actual, potential or perceived conflicts of interest.

There are Web-based guidelines (What are external interests; Identifying and managing conflicts; How to complete the form; FAQs)

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