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(1) This procedure should be read in conjunction with the Conflict of Interest Policy (policy). This procedure supports the policy in: (2) Persons to whom the Conflict of Interest policy and this procedure applies are responsible for proactively identifying conflicts of interest. (3) The determination as to whether a conflict of interest exists must take each of the following elements into consideration: (4) The Guidance Note – Identifying Conflicts of Interests has been developed to assist with identifying conflicts of interest. (5) Where it is identified that a conflict of interest exists, including circumstances where a reasonable person might perceive that a conflict of interest exists, the interest must be disclosed in accordance with this procedure. (6) Where a line manager, meeting or governance body Chair, Panel Convenor, or any other person becomes aware of a conflict of interest that has not been disclosed, they should discuss the matter with the individual and encourage full disclosure in accordance with this procedure. (7) Conflicts of Interest must be disclosed using the Conflict of Interest Disclosure Form. (8) A person in attendance at a meeting or panel that is scheduled to deal with any of the following, must declare any conflict of interest at the commencement of the meeting: (9) The disclosure may be made in a manner that does not disclose the specific nature of the conflict where this information may breach another person’s privacy, but must provide sufficient information to allow the Chair or Panel Convenor to be satisfied that the conflict can be managed without its nature being disclosed. (10) Where a conflict of interest is declared at a meeting the Chair or Panel Convenor is responsible for assessing the conflict of interest and determining the management response in accordance with this procedure. The Chair or Panel Convenor will declare at the commencement of meeting or panel deliberations that either: (11) The following information must be recorded in the meeting / panel minutes: (12) Conflicts of interest that become apparent during the course of duty or (13) A conflict of interest may be declared by any other person who becomes aware of or perceives the conflict of interest. (14) Disclosure of conflicts of interest that become apparent during an activity, process or project must: (15) The Project Manager, line manager or (16) At the commencement of employment with the (17) (18) This process will be co-ordinated by Human Resource Services. (19) Annual Disclosures will be maintained by Human Resource Services in the Personal Interests Register and in accordance with the Records Governance Policy. (20) (21) In addition to the requirements of this procedure, and in accordance with the “Disclosure of interests and management of conflicts of interests – A guide supporting the Australian Code for the Responsible Conduct of Research”, (22) Researchers are also required to disclose relevant interests to funding bodies, (23) In the context of Clause 21 and 22, relevant interests may include, but are not limited to: (24) Whilst it is the (25) Relevant interests disclosed by (26) Relevant interests that become apparent after the Grant Establishment Form is completed must be disclosed in a manner that provides specific details regarding the nature of the relevant interest, and must be made: (27) Researchers are also required to declare relevant interests on an annual basis during the research project’s active phase. (28) The Deputy Vice-Chancellor (Research and Innovation) is responsible for maintaining a record of institutional interests, when and if they become apparent, that may be perceived to affect the design, review, conduct and dissemination of (29) Staff and members of (30) Gifts of money, including gift or store vouchers must not be accepted. (31) Gifts or benefits of any value offered by (32) (33) The Disclosure of Reportable Gifts or Benefits Form should be completed within 7 working days of the reportable gift or benefit being offered. (34) The following registers will be maintained: (35) All registers must be stored in the (36) The person who has received a disclosure of a conflict of interest is responsible for: (37) Each conflict of interest disclosed must be assessed to determine any associated (38) A formal (39) Please see Conflict of Interest Risk Assessment Considerations. (40) Where the risk assessment of a conflict of interest determines the risk to be extreme (see Risk Management Framework – Consequence and Likelihood Tables, Risk Matrix), the management option must be to: (41) Where the risk assessment of a conflict of interest determines the risk to be high (see Risk Management Framework – Consequence and Likelihood Tables, Risk Matrix), the management option must be to remove the person from the relevant activity, where this is practical. Where the removal of the person from the relevant activity is not practical, the management option(s) must be: (42) Management options may involve a mix of responses. Management options considered should be: (43) The management response chosen should be tailored to the individual circumstances and ensure an appropriate level of confidentiality. (44) Please see Conflict of Interest Management Considerations to assist with identifying suitable management options. (45) Regardless of the assessed risk, the management response implemented must be documented on the Conflict of Interest Disclosure Form to record the decision taken. (46) Where the conflict of interest is assessed to be a high or extreme (47) All plans of action must be prepared in consultation with, and signed by, the conflicted person and approved by: (48) For activities or matters of high (49) For (50) For other activities or matters related to potential for (51) Plans of action to manage conflicts of interest assessed as severe or major must include a further (52) All documents relating to conflicts of interest must be managed in accordance with the Records Governance Policy. (53) Implementation of management responses must: (54) Suspected, actual or potential non-compliance with this procedure and the Conflict of Interest Policy must be reported immediately to a (55) (56) All investigations into non-compliance with this procedure and the Conflict of Interest Policy will be conducted: (57) Records of investigations and actions taken to manage non-compliance must be managed in accordance with the Records Governance Policy. (58) Person’s reporting or dealing with non-compliance with this procedure and its associated policy are required to maintain the highest level of confidentiality. (59) The University Secretary will review all Registers relevant to this procedure on an annual basis, and report any concerns as soon as possible to the Executive Leadership Team and/or Council, where relevant. (60) Where a (61) Where a (62) Complaints regarding the management of conflicts of interest will be handled in accordance with the Complaint Management Policy and its associated procedures. (63) Reports of wrongdoing in relation to a conflict of interest will be handled in accordance with the University’s Public Interest Disclosures Policy.Conflict of Interest Procedure
Section 1 - Introduction
Top of PageSection 2 - Identifying Conflicts of Interest
Section 3 - Disclosing Interests
Conflicts of Interest
Disclosure at Meetings and Panels
Disclosure Outside of Meetings
Disclosure of Personal Interests
Annual Disclosure of Personal Interests
Disclosure of Relevant Interests by Researchers
Disclosure of Institutional Interests
Top of PageSection 4 - Gifts and Benefits
Disclosure of Reportable Gifts and Benefits
Section 5 - Registers
Register
Responsibility for Maintaining Register
Conflict of Interest Register (Staff)
Human Resource Services
Conflict of Interest Register (Council)
Governance and Assurance Services
Personal Interest Register
Human Resource Services
Reportable Gifts and Benefits Register
Human Resource Services
Research Grants Interest Register
Office of Deputy Vice Chancellor (Research and Innovation)
Section 6 - Managing Conflicts of Interest
Assessing the Risk of a Conflict of Interest
Conflict of Interest Management Options
Documenting the Management Response
Implementing the Management Response
Top of PageSection 7 - Managing Non-Compliance
Section 8 - Governance
Section 9 - Complaints