C1. Code of Conduct

C1.1 Introduction
C1.2 Purpose of the code of conduct
C1.3 Principles
  C1.3.1 Respect for the law and system of government
     C1.3.1.1 Compliance with the law
     C1.3.1.2 Academic freedom
  C1.3.2 Respect for persons
  C1.3.3 Integrity 
     C1.3.3.1 Avoiding conflicts of interest
     C1.3.3.2 Personal relationships
     C1.3.3.3 Privacy and confidentiality
     C1.3.3.4 External activities
     C1.3.3.5 Public comment
     C1.3.3.6 Receipt of benefits
     C1.3.3.7 Research Conduct
     C1.3.3.8 Outside work
  C1.3.4 Diligence
     C1.3.4.1 Carrying out of duties and standards of performance
     C1.3.4.2 Duty of care
     C1.3.4.3 Alcohol/drug abuse
  C1.3.5 Economy and efficiency
  C1.3.6 Non-compliance with this code
C1.4 Reference
C1.5 Attachments
  C1.5.1 Conflicts of interest - relationships between employees and students
  C1.5.2 Examples of other conflicts of interest

C1.1 Introduction

C1.2 Purpose of the code of conduct

The Code aims to foster and maintain public trust and confidence in the integrity and professionalism of the University by ensuring that University Members:

• Maintain appropriate standards of conduct
• Develop those skills necessary for the efficient performance of their duties
• Maintain fairness in decision making
• Maintain and enhance the reputation of the University
• Adhere to appropriate ethical standards

The personal and professional behaviour of University Members should conform to the standards that reasonably could be expected of persons in such positions.  This includes:

• a commitment by employees to professional standards in teaching, research, administration and community involvement;
• a commitment to the ethics principles for public officials, as defined in the Public Sector Ethics Act 1994;
• the promotion of the rights of employees and students within the University;
• conduct which is professional and which has regard to the University's interests and policies;
• conduct which will not compromise either their position or the University's position;
• a commitment that the University will be regarded as the focal point of the professional life of employees;
• a commitment that academic employees will be available to ensure that the academic needs of students are met;
• the promotion of an environment that supports the pursuit of knowledge and truth.

The Code operates in conjunction with common and statute law and does not exclude or replace the rights and obligations of any individual under common and statute law.

C1.3 Principles

The obligations contained in the Code are derived from the five fundamental ethical principles as set out in the Public Sector Ethics Act 1994.  These principles are:

• Respect for the law and system of government
• Respect for persons
• Integrity
• Diligence
• Economy and efficiency

All individuals covered under the Code have obligations that directly relate to these principles.  The obligations contained in this policy define the standards of conduct required by all individuals.

C1.3.1 Respect for the law and system of government

This ethical principle assumes a system of government based on the rule of law and accountability.

C1.3.1.1  Compliance with the law

All University Members have an obligation to observe the State and Commonwealth laws and to comply with University statutes, policies and procedures. In addition, they have an obligation when travelling abroad to respect and abide by the customs and laws of the host country.

C1.3.1.2  Academic freedom

The obligation under the preceding paragraph is not intended to detract from the concepts of intellectual and academic freedom and the rights of free speech.  It is recognised and acknowledged that guarantees of intellectual and academic freedom are essential to the proper functioning of University culture. These rights are linked to the responsibilities of University Members and students to support the role of the University as a place of independent learning and thought where ideas may be put forward and opinions expressed freely.  Academic freedom however carries with it the duty of University Members to use the freedom in a manner consistent with a responsible and honest search for and dissemination of knowledge and truth. This section should be read in conjunction with Section 3.3.5 Public Comment.

C1.3.2 Respect for persons

This ethical principle covers the conduct of University Members in their dealings with others including employees of the University, students, external organisations and members of the community.  The University of Southern Queensland supports the principles of procedural fairness and values social justice, equal opportunity and the provision of a safe and supportive working environment, and as such all University Members are expected to treat others fairly, honestly and responsively, and with proper regard for their rights and obligations. 

University Members are expected to:

• promote a high standard of respect for all students, employees and the general community;
• treat other employees and students with courtesy and fairness;
• be responsive and prompt in dealing with other employees, students and the general community;
• when supervising employees, create a fair and just working environment;
• observe procedural fairness when engaged in decision-making;
• not engage in discriminatory conduct on grounds such as gender, sex, race, disability, cultural background, religion, age or political conviction;
• not engage in behaviour which may reasonably be perceived as harassment, bullying or intimidation;
• have respect for cultural differences; and
• respect the privacy of others in the collection, use and access of personal information whilst performing University duties or activities.

C1.3.3  Integrity

This ethical principle recognises that University Members are placed in a position of trust and are expected to be honest and impartial when carrying out their duties to maintain public confidence in the University and to advance the good of the University community. 

C1.3.3.1 Avoiding conflicts of interest

Employees and University Council and Committee members must avoid situations in which their private interests, whether pecuniary, personal or otherwise, might reasonably be thought to create an actual or perceived conflict of interest with their duties to the University.  There is an expectation that individuals must recognise, declare and manage potential or perceived conflicts of interest.

Any matter that could directly or indirectly compromise the performance of duties, or conflict with the University's interests, must be immediately disclosed to the employee's supervisor or other senior employee in the first instance and steps taken to resolve the conflict situation.  Where an employee is unsure about the potential for a conflict, they should discuss the situation with their supervisor or other senior employee as appropriate.  Further advice should be sought from the University Legal Office.  Where there is a clear case of conflict, the individual must withdraw from the situation giving rise to the conflict.

Situations that may generate a conflict of interest can arise out of:

• personal/sexual relationships with students
• personal/sexual relationships with other employees
• personal/sexual relationships with persons with whom the University is dealing , for example contractors or tenderers
• personal financial interests in matters which involve the University 
• outside employment that may compromise the integrity of the University
• use of confidential information obtained in the course of University duties
• external activities and public comment, ie. nominating for and contesting political elections

Where a University Member has a concern regarding an actual or perceived conflict of interest involving other members of the University community, this must be reported to the University Legal Office.

C1.3.3.2 Personal relationships

Employees must disclose to the University, any situation which may require them to supervise, teach and/or assess a student with whom they currently or previously have had a personal, commercial, familial or other significant relationship. Where a relationship has created or has the potential to create a conflict, the employee must immediately terminate any supervisory or assessment role and make alternative arrangements for the supervision/assessment of the student's work. Refer to C1.5.1 for procedures associated with conflicts of interest between employees and students.

Employees must also disclose to the University any personal relationships with a current or prospective employee which may give rise to an actual or perceived conflict of interest.  Examples of a conflict of interest may include:

• influencing the selection, appointment or promotion of employees
• impinging on employment related decisions where one employee is in a supervisory relationship to another.

Employees who become involved in a situation where a personal relationship is a source of actual or perceived conflict of interest must disclose this to their supervisor in the first instance and withdraw from the situation giving rise to the conflict.

C1.3.3.3  Privacy and confidentiality

University Members must respect the privacy of others and ensure that personal information is accessed and used only for University purposes and not disclosed except where authorised by legislation.  Employees who have access to such information have a duty to maintain the confidentiality, integrity and security of such information, irrespective of the storage medium.  Any actual or suspected misuse of private information must be reported to a supervisor or other appropriate person.

C1.3.3.4 External activities

University Members may be members of political parties, professional or other interests or charitable groups, and engagement with the wider community is encouraged provided that the involvement does not conflict with their duties.

University Members must ensure that they disclose and manage any potential conflicts of interest that may arise as a result of any duties owed to other organisations, eg. as a member of a board of directors of another organisation.

C1.3.3.5 Public comment

Public comment by University Members in their capacity as private citizens is permitted provided that any such comment makes it clear that the view expressed is their own and not necessarily the view of the University.  Where public comments are offered by academic or research employees it is expected that such comment will normally lie within their field of expertise.  Public comment on any University management issue must be made by the Vice-Chancellor or a person authorised by the Vice-Chancellor. Comment on matters concerning the University Council must be made only by the Chancellor or the Vice-Chancellor.

C1.3.3.6 Receipt of benefits

University Members should discourage the receipt of any gifts or benefits in connection with their employment or position except where this may arise in an official capacity.  In this case, all such gifts or benefits must be disclosed in accordance with the Financial Management Practices Manual procedures.

University Members must disclose to the University any financial interest they may have in any organisation from which the University proposes to obtain services or equipment or enter into any contract which would result in a financial transaction. 

University Members must ensure that where contracts are proposed through their area of expertise with external organisations, that any close personal relationship between an employee and an officer of that organisation must be disclosed.

C1.3.3.7 Research conduct

Employees undertaking or assisting research should do so in a manner consistent with intellectual honesty and the public interest.  Research should be designed to enhance knowledge in the particular field of scholarship, it should employ sound methodology, and the accuracy and integrity of data should be safeguarded.  Harm to experimental subjects must be avoided, and the ethical principle of voluntary informed consent to research participation by human subjects must  be respected.  The ideas, information or intellectual contribution of others must be acknowledged appropriately and the intellectual property of others respected.

C1.3.3.8 Outside work

Employees are permitted to engage in outside work, paid or unpaid, in accordance with the University's policy on Extra Remunerative Activities.  Employees must ensure that applicable approvals are sought and obtained.  Outside work must not be undertaken which may cause a conflict of interest with University duties.

C1.3.4  Diligence 

This ethical principle requires University Members to exercise proper care and attention in performing their duties, to carry out their duties to the best of their ability and to ensure that University resources are used economically and efficiently.  This includes the following:

C1.3.4.1 Carrying out of duties and standards of performance

All University Members will:

• carry out official decisions and policies faithfully and impartially
• carry out official directions and policies in a faithful and impartial manner
• seek high standards in teaching, research, community service, administration and governance
• create a safe work environment
• adhere to professional codes of conduct where applicable
• report fraudulent or corrupt conduct appropriately
• take reasonable steps to protect confidential information 
• take reasonable steps to ensure compliance with the University's intellectual property policy 
• give due credit to the contributions of employees and students
• assess all students' work fairly and objectively
• maintain their professional skills and keep up to date in their area of expertise
• ensure they are informed of University policies and guidelines

C1.3.4.2 Duty of care

Proper care and attention should be exercised when undertaking activities, in particular where others will rely on the advice or information offered.  Employees have a duty to take reasonable care and to avoid causing harm to others and must follow safe working practices and actively promote safe working conditions. Supervisors and managers are responsible for ensuring that activities within their areas are undertaken with due diligence for health and safety of employees, students and others.

C1.3.4.3 Alcohol/drug abuse

University Members must ensure that personal use of alcohol or other drugs does not affect the performance of their duties or the safety and well-being of others.

C1.3.5 Economy and efficiency

University Members have a responsibility to ensure that University resources are used efficiently and effectively and for legitimate purposes and waste should be avoided.

Email and internet activity by employees must be conducted in a professional manner for legitimate University business and with due regard and respect for other persons.  It is recognised that employees occasionally may need to use University resources for private purposes, eg. making the occasional telephone call.  Employees must ensure such use is kept to a minimum.

Employees must comply with the Financial Management Practices Manual on financial and asset management.

Equipment and materials should be treated with care and secured against theft.

C1.3.6 Non-compliance with this code

The Code regulates the behaviour of University Members and also forms part of each employee's employment conditions.

Where a University member is aware of or suspects a breach of this Code, they must immediately report the breach in accordance with University policy and procedure.

Failure to comply with the Code's provisions will be managed and dealt with under the relevant University policy and procedure and employment contracts as applicable.  A failure to comply with this Code may result in disciplinary action.

Individuals other than employees who do not comply with this Code may have their association with the University terminated, or have their right or access to USQ services, facilities or infrastructure revoked.

Some breaches may also have consequences for individuals under criminal or civil jurisdictions.

The University may take action against a person(s) making a frivolous or vexatious complaint.  Any employee found to have made such a complaint may be subject to the University's disciplinary procedures according to the provisions of their relevant employment contract.

C1.4 References

Australian National University, Code of Conduct
University of Queensland, Code of Conduct, 1.50.1
Queensland University of Technology, Code of Conduct, Policy B/8.1

C1.5 Attachments

C1.5.1  Conflicts of interest - relationships between employees and students

Examples of situations between employees and students which may be vulnerable to potential conflicts of interest, abuse of a position of trust or dependency could arise in the context of, for example:

• selection for entry into any University course
• assessment
• selection for prizes or scholarships
• project, practicum, or dissertation supervision
• disciplinary matters
• determining access to resources

C1.5.1.1 Procedures relating to conflicts of interest between employees and students

(a) Employees must disclose to the Head of School/Department in the first instance, any situation which may require them to supervise, teach and/or assess a student with whom they currently or previously have had a personal, commercial, familial or other significant relationship. The Head of School/Department, in ensuring that the risk of conflict of interest or abuse of trust is minimised, makes initial inquiries of the affected parties to determine the risk of breach of trust or abuse.

(b) The parties involved may discuss the circumstances confidentially with the University Equal Opportunity Office, Student Equity Office or Student Guild.

(c) Any student or employee who has reason to believe that they have been unfairly advantaged or disadvantaged through a conflict of interest or breach of trust arising from a personal, commercial, familial or other significant relationship should inform the relevant Head of School/Department.  Once notified, prior to taking further action, the relevant Head takes the following action:

• if there is an allegation of sexual harassment, refer to HR Policy H3: Discrimination and Harassment Complaint Resolution for Employees;
• if there is an allegation of financial impropriety, seek advice from the University Legal Office and refer to University Calendar, Section 1.9 Policy on Fraud and Corruption Control if the conflict relates to matters of a fraudulent nature;
• if the matter relates to Intellectual Property impropriety, seek advice from Intellectual Property Officer;
• if the matter relates to student academic misconduct, refers to the academic regulations in the University Calendar;
• if the matter appears to be misconduct on the part of the employee, seek advice from Human Resources and refer to HR Policy H2: Disciplinary Action for Misconduct or Serious Misconduct;
• if the matter involves other breach or conflict of interest including criminal activity, refer the matter to the Vice-Chancellor.

(d) Where a relationship has created or has the potential to create a conflict, the Head of School/Department must make arrangements for the employee to immediately terminate any supervisory or assessment role and make alternative arrangements for the supervision/assessment of the student's work.

(e) Failure by an employee or student to declare a potential or perceived conflict of interest may result in disciplinary action.

(f) When there is a potential or perceived conflict of interest that affects the Head of School/Department then the declaration of the conflict of interest shall be made to the Dean; where the potential or perceived conflict affects the Dean, then the declaration of the conflict shall be made to the Deputy Vice-Chancellor (Scholarship).

C1.5.2 Examples of other conflicts of interest

Examples of other conflicts of interest may include, but are not limited to, the following:

(a) Financial conflicts of interest

• An employee is a director of a company engaged by USQ to undertake a consultancy
• A supervisor involved with one of their employees in private business arrangements
• An academic employee supervises a research student on a project in which the academic has a financial interest in the research results
• An academic employee specifies a book they have written and from which they derive royalties as a prescribed text
• An academic employee undertakes private tutoring of USQ students in circumstances where this could reasonably be expected to be part of their normal teaching duties

(b) Personal relationships creating conflicts of interest

• The spouse or partner of a manager applies for a position in the same faculty or section where the manager is in a position to influence the selection outcome
• An academic employee teaches a close friend or relative
• A supervisor has a close personal relationship with an employee whom they directly supervise
• An employee develops a sexual relationship with a student where the employee has the potential to influence outcomes for that student (refer to Attachment C1.5.1 for further details)

(c) Personal benefits creating conflict of interest situations

• An employee responsible for purchasing consumables receives a gift from a sales representative of a supplier company
• An academic employee is asked to audit the performance of a research project if they are or have been an investigator or participant on the project

(d) Conflicts with outside duties

• A committee member is a government official in an agency which has responsibility for some aspect of policy affecting the University
• An academic employee teaches at another university without obtaining approval through the University's Extra Remunerative Activities policy

C1.5.2.1 Procedures relating to other conflicts of interest

The procedures for reporting and managing instances of conflicts of interest specified in C1.5.2 are outlined in Section C1.3.3.1.  However, in instances where financial conflicts of interest may be of a fraudulent nature, the procedures for reporting and managing such instances are outlined in the University Calendar, Section 1.9 Policy on Fraud and Corruption Control.