External Interests Declarations. Presented by Human Resources August 2013

Transcription

1 External Interests Declarations Presented by Human Resources August 2013

2 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. 2

3 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. 3

4 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. 4

5 Ask, Think, Act Staff members will receive a personalised 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 . Once staff receive their 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 ) staff can return to the system via the link in their original at any time to check on the status of their form. 5

6 Declaration process - overview An 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 6

7 Online Information Resources 7

8 SharePoint All staff will log in with their Unikey and password. 8

9 External Interests System Homepage 9

10 The On-line Form Staff will find their Unit/Faculty, reviewer and executive supervisor in the drop down menus 10

11 The online declaration will cover five areas: How to complete the Declaration of external interests form 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 11

12 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 12

13 Staff will receive system notifications: once the form has successfully been submitted when the reviewer endorses or decline the declaration Declaration submitted - Notifications 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 13

14 Support ICT help Desk 1 st 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, templates; step-bystep 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) 14