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B/8.1 Code of conduct |
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8.1.1 Application 8.1.1 ApplicationThe QUT Code of Conduct applies to members of the University community including the following:
Additionally, individuals who are associated with QUT related entities or who have been granted access to QUT property, services or infrastructure are expected to comply with any applicable provisions of this code, as are consultants and independent contractors undertaking services for QUT. Where the provisions of this code apply to all members of the University community, the general term “officer” is used. Officers are bound by this code and the code also acts as a model for ethical conduct for students (for further detail, see the Student Charter (MOPP E/2.2 )). 8.1.2 Purpose of this codeEach officer of the University plays a role in promoting QUT's values and in enhancing the reputation of QUT as influenced by these values. The values articulated in QUT's institutional plans support an environment in which ethical behaviour and practices are expected and encouraged. The Public Sector Ethics Act 1994 (Qld) declares five ethical principles as the basis of good public administration. These are:
Each University officer has obligations directly linked to these ethical principles. The obligations contained in this code define the standards of conduct required of all University officers. The code also has an educative purpose and provides examples as an aid to understanding the ethical obligations and to identifying and resolving ethical issues which arise in the performance of QUT duties or activities. Non-compliance with this code creates risks for the University and thus, the Code of Conduct has strong support from QUT's governing body, Council. The code is regularly reviewed, and updated as necessary, to ensure that it reflects the highest standards of behaviour and professional conduct. 8.1.3 Consequences of non-compliance with this codeThe code of conduct regulates the behaviour of University officers, and forms part of each staff member's conditions of employment. A staff member whose conduct falls below the standards outlined in the code will be dealt with in accordance with relevant University procedures. An alleged breach of this code by a staff member may be dealt with under the processes outlined for the management of unsatisfactory performance (see MOPP B/9.5 and the relevant enterprise bargaining agreement clauses - QUT Enterprise Bargaining Agreement (Academic Staff) , clause 43 and QUT Enterprise Bargaining Agreement (Professional Staff) , clause 48 ) or for managing misconduct or serious misconduct (see MOPP B/8.5 and the relevant enterprise bargaining agreement clause,- QUT Enterprise Bargaining Agreement (Academic Staff) , clause 44 and QUT Enterprise Bargaining Agreement (Professional Staff) , clause 49 ). Grievance resolution processes may also be invoked to manage or resolve breaches of this code in appropriate cases (see MOPP A/6.1 ). Other members of the University community who do not comply with this code may have their association with QUT terminated, or rights of access to QUT services, facilities or infrastructure may be revoked. Some breaches of this code may also have consequences for individual officers under criminal or civil provisions of the general law (for example, if the breach contravenes the Criminal Code (Qld), the Crimes Act 1914 (Cwth) or other laws such as the Anti-Discrimination Act 1991 (Qld)). 8.1.4 Respect for the law and system of governmentThis ethical principle assumes a system of government based on the rule of law and the accountability of public officers. QUT has the power to make subordinate legislation on certain topics under the Queensland University of Technology Act 1998 , and its governing body, Council, establishes the programs, policies and processes through which the University and its officers discharge legal obligations . In common with all citizens, University officers are required to observe the law. However, this obligation does not detract from the traditional right of academics to engage in free enquiry and active criticism on matters of public concern, or to pursue research within their field of expertise on matters which may be controversial or unpopular, even where this involves challenge or criticism to ideas, methods or practices of government or governmental agencies. a) Complying with the law Whilst undertaking QUT responsibilities or activities, University officers must comply with the letter and the spirit of the laws of the State and the Commonwealth or fulfil obligations required by law such as relevant registrations or certifications. QUT maintains a statutory obligations compliance framework which identifies relevant laws and legal obligations to assist QUT officers identify and comply with their obligations (see Compliance Policy MOPP A/1.3 ).
b) Complying with QUT statutes, rules, policies and decisions The authority of QUT statutes and rules (see MOPP Appendix 1(b) and Appendix 1(c) ) is derived from the QUT Act , and consequently, University officers are expected to comply with any applicable requirements. Officers must also comply with the institutional policies published in the Manual of Policies and Procedures which derive their authority from decisions or delegations of QUT's governing body, Council. Staff must comply with the Acceptable Use of Information Facilities policy contained in Schedule 1 of the Information Facilities Rules (see MOPP Appendix 1(c) and MOPP F/1.1.2 ). 8.1.5 Respect for personsThis ethical principle covers the conduct of University officers in their dealings with others, including students, staff of the University and of external organisations, and members of the public. QUT values social justice, equal opportunity and a safe and supportive working environment, and so officers are expected to treat others fairly, honestly and responsively, and with proper regard for their rights and obligations. a) Being responsive and courteous University officers are expected to act in a respectful way towards others and to be responsive, courteous and prompt in dealing with requests or inquiries from students, staff or others.
b) Avoiding discriminatory or harassing treatment of others University officers must treat all persons with whom they come in contact equitably and fairly. Distinctions, exclusions or restrictions based on sex, gender, sexuality, race, disability, religion, marital or parental status, age, political or religious conviction or any other factor that is irrelevant to a person's ability to work, study or access QUT services is unlawful discrimination under relevant anti-discrimination laws. Harassment is also unlawful under anti-discrimination laws. University officers must not engage in behaviours which may be unwelcome or which may be distressing, offensive or humiliating to others, as such behaviour may amount to harassment. The University's equity policies ( MOPP A/8 ) provide a framework of expectations for equitable treatment of others. Discrimination related grievance procedures explain in further detail the behaviours or actions which must be avoided (see MOPP A/8.5. ).
c) Respecting the privacy of others University officers must respect the privacy of others when they collect, access or use personal information in the course of their University duties or activities, and must not disclose personal information except as permitted by QUT's privacy policy (see MOPP F/9.1 ).
d) Making fair decisions University staff or committee members should observe procedural fairness ( " natural justice " ) in their decision-making by:
e) Respecting the opinions of others University officers should deal with differing opinion by rational debate, rather than by vilification, coercion, bullying or any form of intimidatory, offensive or humiliating behaviour. University officers should give fair consideration to the views and contributions of others irrespective of their status or position within the University. Grievances or disputes should be managed by following appropriate University channels (see QUT's grievance resolution policy at MOPP A/6.1 ). Invoking grievance resolution or other appropriate procedures must not result in victimisation or intimidation.
f) Supervisory behaviour A staff member with supervisory responsibilities has an important role in creating a fair and just working environment, and supervisors have a particular onus to maintain the standards of respect for others. Supervisors need to:
8.1.6 IntegrityThis ethical principle recognises that the University and its officers are placed in a position of trust and officers should act in ways which maintain public confidence in the University and which advance the good of the University community. The trust that is placed in University officers, whether in the teaching, research or administrative environments, is put at risk unless they act with honesty, impartiality and propriety. a) Identifying and managing conflicts of interest Conflicts of interest are not unusual in the exercise of public responsibility. It is important that staff and the University are able to recognise, declare and manage conflicts of interest and situations where there is a potential or perceived conflict of interest. (i) Identifying conflicts of interest University officers must ensure that there is no actual or perceived conflict between their personal interests and their University duties or responsibilities. The expectation is that officers must recognise, declare and manage conflicts of interest. A conflict of interest exists where:
Conflicts of interest include, but are not limited to, the following: Financial interests: Personal financial interests may include a pecuniary interest in a private company, a private business operated outside QUT working hours, or a partnership or business undertaking in which a person with whom an officer has a close personal relationship has a material interest as a major shareholder, director or principal. An officer must not make decisions or enter into transactions on behalf of QUT where these may impact on personal financial interests. An officer must not enter into financial transactions with QUT in a private capacity or via a private company, except as permitted by University policy.
Personal relationships: A conflict of interest exists where an officer's involvement or relationship with another person conflicts with their duties or responsibilities to QUT, for example, where an officer makes or participates in decisions affecting another person with whom the officer has a personal relationship, such as a spouse or partner, relative or family member, friend or personal associate. Decisions may relate to academic, assessment, staffing or financial matters. In the academic environment in particular, the perception that teaching and assessment are undertaken fairly and impartially is critical to the reputation of the University. A personal history of hostility with another officer or a student may also give rise to a perception of a conflict of interest.
Personal benefits: A conflict will arise where an officer stands to gain a personal benefit or advantage (such as the maintenance or enhancement of personal or professional reputation or the receipt of a personal benefit such as a gift). Gifts or benefits may be perceived as inducements to act in a particular way, thus creating real or apparent conflicts of interest. This type of conflict of interest situation will also arise when the advantage or benefit will be conferred on a person with whom the officer has a close personal relationship.
Conflicts between duties to QUT and other organisations: A conflict may also arise where a University officer, commonly a committee member, is an officer at another organisation which may be commercially involved with QUT, which makes decisions which impact on QUT or which could be regarded as in competition with QUT (for examples, see QUT's corporate governance guidelines at MOPP A/1.2 ). Officers may also be members of political parties, professional or other interest or charitable groups and, while engagement with the broader community is generally encouraged, such involvement with other organisations must not be allowed to conflict with University duties.
(ii) Declaring and managing conflict of interest situations It is important that conflict of interest situations, once recognised, are declared and resolved in a way which promotes propriety and integrity. Consequently, as soon as a University officer becomes aware of an actual conflict of interest or a situation which gives rise to a potential or perceived conflict of interest, they must take steps to declare and resolve that conflict situation. In the case of committee members, the appropriate processes for disclosing and resolving the conflict are described in QUT's corporate governance guidelines (see MOPP A/1.2.3 ). A staff member facing a conflict of interest situation (whether actual, potential or perceived) must notify their supervisor in writing. Sufficient information should be provided to enable that officer to understand the nature and seriousness of the conflict situation, but the supervisor has a responsibility to manage the privacy aspects with appropriate care. In the case of conflicts of interest related to research, the conflict situation should also be declared to the relevant officer specified in the QUT Code of Conduct for Research (MOPP D/2.6.7 ). The supervisor is responsible for assessing the conflict situation and QUT's risk exposure. This assessment should take into account community perceptions (even where no actual conflict is found to exist), reputational risk to QUT, potential legal exposure and relevant public accountability requirements (such as Financial Management Standards or State Procurement Policy) and University policies and procedures. In some cases, the supervisor may need to seek advice from another senior staff member. Where a conflict of interest exists, the senior officer should identify, in consultation with the staff member, appropriate strategies to manage the situation. The strategies decided upon must be documented. Merely declaring the conflict situation without taking further steps to resolve the situation will almost always be insufficient. It may be necessary to remove the staff member from any involvement in the matter giving rise to the conflict situation. However, there may be occasions where this may not be feasible (for example, where a research project or student supervision relies on a staff member's specific expertise), and in these cases, continued involvement by the staff member must occur only where sufficient supervision, control or accountability mechanisms are put in place. Strategies may include restricting the staff member's involvement in the matter and recruiting a disinterested third party to oversee part or all of the processes involved in the matter. Again, these measures must be documented. A staff member may also choose to relinquish the private interest that gives rise to the conflict.
University officers are expected to place entries on the appropriate conflict of interest register as required by relevant University policies and procedures (see MOPP A/1.2.3 for the register of disclosed interests, D/2.6.7 regarding the research conflicts of interest register and G/2.3 for the register of significant and reportable gifts). b) Avoiding improper use of position Improper use of an officer's position with QUT includes actions which may result in detriment to QUT or which result in real, potential or apparent advantage to an officer, or any other person or organisation. For instance, by virtue of their position or role at QUT, University officers have access to confidential or private information or information not generally available. This information must only be used for legitimate University purposes. The nature of student-staff interactions, and the role of supervisors and managers, place many staff in a position of power over other staff and students. This imbalance of power creates the potential for undue influence of the student or more junior staff member, due to age or other factors such as the capacity to influence outcomes. In particular, the development of sexual relationships where a power imbalance exists creates the potential for abuse of position and for conflicts of interests. A position of power must not be abused and staff must use their official position properly and honestly.
c) Adhering to principles of research integrity Research is a core function of the University and research integrity ensures that QUT's research output contributes to knowledge, scholarship and community needs. Staff must adhere to the principles outlined in the QUT Code of Conduct for Research (see MOPP D/2.6 ). These principles relate to responsible and accepted research methodology and practice, research collaboration and authorship, and the role of staff who provide research training as supervisors of research students or trainees.
Research commercialisation issues: Academic staff may develop intellectual property during their research at QUT which is suitable for commercialisation via a spin-off company. Ownership of intellectual property is determined in accordance with QUT's intellectual property policy (MOPP D/3.1 ) and structured arrangements for the creation of spin-off companies must be developed. The academic staff concerned will have a financial interest in the spin-off company, however, share acquisition by the supervisor of the relevant academic staff or by other staff of the University must not occur until the spin-off company is publicly listed. When research is contracted back to QUT by the spin-off company (to improve or develop the intellectual property), there must be a clear delineation between research for the company and related research at QUT (in terms of staff and physical location, infrastructure, etc) to avoid potential conflicts of interest or breaches of confidentiality arrangements. Further advice on these arrangements may be obtained from the Office of Commercial Services. d) Reducing fraud, corruption or maladministration Corrupt or fraudulent conduct is not tolerated at QUT. QUT's corruption and fraud control policy (MOPP B/8.6 ) outlines activities and responsibilities which reduce the risk of such conduct at the University. University officers have the responsibility to report suspected fraud, corrupt conduct or maladministration of which they become aware to appropriate University and/or external authorities. Procedures for doing so are described in the statement on official misconduct (MOPP B/8.2 ) and QUT's whistleblower's protection management policy ( B/8.3 ).
8.1.7 DiligenceThis ethical principle requires University officers to exercise proper care and attention in performing their University activities and to carry out their duties to the best of their ability. University officers are expected to seek high standards in teaching, research, community service, administration or governance. QUT's organisational values promoting responsiveness, informed decision-making and health and safety in the conduct of work and study are consistent with this ethical principle. a) Acting in a professional and conscientious manner University officers are expected to carry out their duties in a professional, responsible and conscientious manner, and to be accountable for their conduct and decisions. Staff should maintain their professional skills and keep up-to-date the knowledge associated with their area of work or scholarship. Staff should be aware of the performance standards expected of them for their duties.
b) Exercising proper care and attention University officers have a responsibility to exercise due care in undertaking their activities, especially where information or advice will be relied upon by others. University officers must ensure that personal use of alcohol or other drugs does not affect their performance or the safety or well-being of others and staff should not perform duties whilst under the influence of alcohol or drugs which will affect performance (see the University's policy on the use of alcohol at MOPP H/3.6.4 ). University staff must not allow outside work or activities to interfere with the performance of their University duties. For the University's policy on private outside work and consultancies, see MOPP D/7 .
c) Creating a safe working environment All staff have an obligation to follow safe work practices, to avoid actions which may harm themselves or others and to report hazards in the work environment (for greater detail on health and safety requirements, see the University's health and safety policies at MOPP A/9 ). In addition, managers and supervisors are responsible, within the limits of their authority, for ensuring that activities within their area are undertaken with the exercise of proper diligence for the health and safety of staff, students and others.
8.1.8 Economy and EfficiencyIn line with QUT's values which promote an efficiently managed environment, this ethical principle requires University officers to ensure that University resources are used economically and efficiently and in a manner and for purposes consistent with the University's goals and priorities. a) Using resources for University purposes All officers have a responsibility to ensure that University resources are used only for legitimate purposes and are not wasted or abused, and that expenditure is consistent with University policy and appropriately authorised. Guidance on appropriate financial and asset management is found in the MOPP ( Chapter G ) and in the Financial Procedures Manual . Staff are encouraged to identify and report to supervisors areas of duplication and other obviously inefficient practices or procedures. Staff must comply with QUT's policy on use of University resources and intellectual property when undertaking private outside work (see MOPP D/7.1 ).
b) Safeguarding University property All staff are expected to treat University property with due care and to ensure that it is secured against theft and misuse.
Related DocumentsMOPP B/8.6 Corruption and fraud control policy Register of Disclosed Interest Procedures Modification History
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