Conflicts of Interest Policy

Purpose

The purpose of this policy is to ensure staff members identify, disclose, and manage any actual, potential, and perceived Conflicts of Interest they may have.

As a public entity, the University is committed to upholding the highest standards of integrity and professional conduct. Clear and transparent management of conflicts of interest helps protect both the University’s reputation for fair and impartial decision-making in the use of public funds, and the personal integrity of its staff and representatives.

Organisational scope

This policy applies to all members of the University community, including all University of Otago staff members (whether permanent, temporary, full or part time, emeriti or honorary), all members of the Council of the University, students (whether full time or part time), contractors, subcontractors, consultants, alumni, associates, business partners, and official visitors or guests of the University. Collectively, these groups are referred to as “Persons” for the purposes of this Policy.

Definitions

Conflict of Interest

A Conflict of Interest is any situation where a Person’s duties or responsibilities to the University conflict, or could be seen to conflict, with a personal interest. The term includes actual, potential or perceived conflicts of interest.

Actual Conflict

A Person’s professional obligation or decision is influenced by a personal interest.

Potential Conflict

A Person’s professional obligation or decision could be influenced by a personal interest.

Perceived Conflict

A Person’s personal interest could reasonably be perceived, or give the appearance of, improperly influencing that person’s professional obligations or decisions.

A Manager

Means any staff member with formal people-management responsibilities, including those who supervise or oversee other staff. This includes (but is not limited to) the Head of School, Department, Faculty, Service, Teaching unit, Section Heads,  Cost Centre Managers, Deans, Wardens of Residential Colleges, and any other role with direct reports or delegated supervisory authority. For the purposes of conflict of interest management, equivalent responsibilities may be held by Chairs/Convenors of committees or panels overseeing decisions on behalf of the University.

University

Refers to the University and, for risk oversight purposes, its subsidiaries and the Foundation Trust, to the extent that risks in those entities may materially affect the University’s interests, obligations or objectives.

Content

1. A Conflict of Interest occurs when any of the following apply:

1. A person is in a position to derive personal benefit, or to confer a benefit on a related party, from actions or decisions made in their official capacity.
2. A person’s responsibilities are, or could be affected by some other personal, financial or academic interest or duty. This can include staff-staff or staff-student relationships as referenced in the Ethical Behaviour Policy, or family members, close friends, or any related party benefiting from, or being reasonably perceived to benefit from, the decisions or official responsibilities undertaken by a person.
3. A person’s activities outside their employment with the University lead, or could lead, to material benefit for the person concerned, either directly or indirectly, to the detriment, or potential detriment, of the University.
4. A person’s activities interfere, or could interfere, with the fulfilment of their employment obligations.
5. Conflict of Interest examples include, but are not limited to:
   1. Ethical conflicts where a staff member’s professional code of conduct or code of ethics (including any higher duty owed to a professional body) may conflict with, or be perceived to conflict with, their University responsibilities.
   2. Commercial interests (e.g., company directorships, partnerships, advisory roles) and/or holding a financial interest in a supplier, contractor, or other external organisation that does or could conduct business with the University.
   3. Shareholdings (including those held by a close family member) that could benefit from, or be affected by, University decisions.
   4. Appointments to public boards, professional bodies, or committees where duties may intersect with University interests.
   5. Appointments to advisory boards, councils, or committees of other tertiary institutions, particularly where collaboration, competition, or resource allocation is involved.
   6. Provision of teaching or assessment services for other institutions that overlaps with University responsibilities.
   7. Personal relationships with individuals or external organisations supplying goods or services to the University (e.g., involvement in selection, evaluation, or contract management).
   8. Employment matters involving family members or close personal relationships (e.g., recruitment, supervision, performance, or remuneration decisions).
   9. Use of University resources (time, information, facilities, systems, intellectual property, or branding) for personal gain or non-University purposes.
   10. Gifts, benefits, or hospitality that could reasonably be seen to influence, or appear to influence, decision-making.
   11. Secondary employment or external engagements (paid or unpaid) that overlap with, compete with, or otherwise conflict with University duties.
   12. Assessing or supervising the work of a student with whom the staff member has a close personal relationship (e.g., family member, close friend, or someone well-known to them outside the University).

2. The following principles guide how a Conflict of Interest should be identified and managed:

1. At all times people acting on behalf of the University must behave and be seen to behave in an impartial and transparent manner.
2. The existence of a Conflict of Interest does not necessarily imply wrongdoing on the part of any person. However, any interests which could give rise to a potential or perceived Conflict of Interest must be promptly disclosed and managed and documented, in accordance with this Policy as though they were an actual Conflict of Interest. Failing to identify, disclose and manage a conflict of interest in accordance with this Policy exposes the University to legal, commercial, political and/or reputational risk and may call into question the integrity of the person involved.
3. A person must consider how an impartial observer might reasonably perceive a potential Conflict of Interest situation or relationship, whether or not any wrongdoing is involved.
4. Where Managers, supervisors, or Chairs/Convenors of committees or panels become aware of a situation that may give rise to a Conflict of Interest, they must ensure it is recognised, appropriately disclosed, and managed in accordance with this Policy, and support those involved to comply with their obligations.
5. Conflicts of interest must be dealt with quickly and transparently, that is, they must be:
   1. Acknowledged
   2. Disclosed; and,
   3. Recorded in the Conflicts of Interest Register, where appropriate
6. If a person has any doubt as to whether a potential Conflict of Interest exists, they must disclose the matter to their Manager.
7. Where a Conflict of Interest arises from a staff–staff or staff–student relationship (including a family relationship), it must be disclosed and managed under this Policy. The Ethical Behaviour Policy also applies, as it sets additional standards and requirements for managing personal relationships in the University context.
8. Potential Conflicts of Interest may raise complex issues. Staff members, and their Managers or supervisors must judge each situation that arises in a prudent manner.
9. Disclosure of potential Conflict of Interest may involve disclosing personal information. This information must be handled with due regard to the privacy of all individuals concerned and in accordance with the Privacy Policy and any applicable privacy statement.
10. If a person has a potential Conflict of Interest in a matter under consideration, they must not take part in any discussion or decision on the matter giving rise to the conflict, unless the chair/relevant manager or supervisor decides otherwise.
11. Where a person has a direct or indirect financial interest (excluding super funds managed by independent third parties) in a matter being considered, they must not take part in any decision about the matter unless authorised to do so.

3. Disclosure and Management requirements

1. Any actual, potential or perceived conflicts of interest that may affect, or may be seen to affect, a Person’s impartiality when acting on behalf of the University, must be transparently disclosed.
2. Each conflict of interest situation must be dealt with as soon as reasonably practicable after it is identified.
3. Council members and the Senior Leadership Team will be asked to disclose Conflicts of Interest on a regular basis.
4. Any person involved in a procurement process will be asked to disclose any Conflicts of Interest as part of the procurement process.
5. Where a Manager becomes aware that a staff member they manage has an actual, potential, or perceived Conflict of Interest, the Manager must ensure that the conflict is properly disclosed in accordance with this Policy and must approve and document an appropriate management plan. Both the staff member and the Manager are responsible and accountable for implementing and complying with the management plan. For committees, panels, or selection groups, the Chair or Convenor is responsible for ensuring any actual, potential or perceived conflicts are disclosed, recorded, and managed for all members of that group.
6. Managers and Supervisors across the University must help to build awareness of conflict of interest situations, and support those who report to them to comply with their obligations under this policy.

Detailed requirements for identifying, declaring, and managing actual, potential, and perceived conflicts of interest are set out in the Conflicts of Interest Procedures.

4. Disputes Procedure

1. In the event of a dispute relating to this policy arising between staff members and their Manager, either party may refer the matter to the Vice-Chancellor for review.

5. Breaches of the Policy

1. Failure to comply with this Policy may result in disciplinary action. . Non-compliance must be promptly dealt with in accordance with the Ethical Behaviour Policy (if the breach involves a University employee) or as deemed appropriate by the University and/or in accordance with any written contract for breaches by non-employees.
2. Council members are held to the same standard of integrity and impartiality under this Policy. Any breach of this Policy by a Council member will be addressed in accordance with the Council Code of Conduct, in addition to any other obligations that may apply.

Related policies, procedures and forms

• Acceptance of Gifts, Benefits and Gratuities Policy
• Conflicts of Interest Disclosure Form
• Ethical Behaviour Policy
• Fraud and Corruption Policy
• Koha Policy (Generic Māori | Southern Dialect)
• Pacific Gifting Policy, Procedures and Guidelines
• Privacy Policy and Privacy Statements
• Procurement Procedure
• Recruitment and Retention Remuneration Policy
• Risk Management Policy
• Sensitive Expenditure Policy

Contact for further information

If you have any queries regarding the content of this policy or need further clarification, contact:

Head of Risk Assurance and Compliance
Email hod.orac@otago.ac.nz