Conflict of Interest - Guidance

• Staff of the University serving on other bodies or committees and who have financial or other personal interests in companies or organisations on which the body is expected to pass judgement. Members of such bodies will typically be asked by those bodies to declare financial interests and to absent themselves from any decisions related to those interests.
• Authors submitting a paper must disclose any 'significant financial interest' or other relationship with the manufacturers of any commercial products or providers of commercial services discussed in the manuscript and any financial supporters of the research. The intent of such disclosures is not to prevent an author with a significant financial or other relationship from publishing a paper, but rather to provide readers with information upon which to make their own judgements.
• Staff holding directorships or shareholdings in a personal capacity with a named company that the University or one of its subsidiary companies might do business with.
• A staff member takes part in the negotiation of a contract between the University and a company, where the staff member or his or her family or a close personal friend has a financial or non-financial interest (e.g. a directorship or shareholding) in that company.

• A researcher develops a research or commercial proposal, which at least in part, could be delivered by a company that they have an interest in (financial, managerial, shareholder or owner).
• The researcher has a financial interest in the company sponsoring the research, this being exacerbated if the value of the researcher's interest may be affected by the outcome of the research.
• A researcher holds a directorship or is a significant shareholder of a company (Company 1) and through their University research activities has access to privileged information relating to another company (Company 2) that may be operating in a related field. Company 1 should be informed of such a potential conflict before the researcher makes use of that information in connection with Company 1 or discloses anything to them. The researcher is also likely to have an obligation of confidentiality to Company 2 which they should not breach.
• The researcher holds a position in an enterprise (e.g. as director) that may wish to restrict (or otherwise manage) adverse research findings for commercial reasons or not wish to publish the results of the research. This is not only a potential conflict of interest but has a potential impact on academic freedom for other researchers.
• A researcher or a related body in which the researcher has an affiliation or a financial interest may benefit, directly or indirectly, from dissemination of research results in a particular way (including any unwarranted delay in or restriction upon publication of such results).
• Some research funding agencies set specific disclosure requirements related to financial interests. They may require, for example, direct notification to them or to University officials where a principal investigator's financial interests might reasonably appear to be affected by the outcomes of the research.
• Some types of research, e.g. clinical trials, also require additional declarations related to financial interests. Researchers need to be aware of and comply with those specific requirements. Further information can be found in the terms and conditions of the grant or contract. Researchers should contact the Research and Innovation Office if they are in any doubt as to the requirements.

• Staff with a close personal or familial relationship with a student or a student's family who may be involved in decisions about that student's admission, teaching, supervision or academic progress or the award of any scholarship, prizes or other grants to the student. If the staff member attends a meeting of the board of examiners where the student is being assessed, the interest should be declared.
• Doctoral student supervisors with a personal or familial connection to the student.
• A member of staff who is in a position to judge or evaluate the quality of a student's work, holds a financial stake or a formal position in any student-run, owned or controlled commercial venture whilst that student is enrolled at the University.
• Undertaking teaching, examination or assessment duties at other Universities (paid or unpaid).
• A postgraduate research student receiving support from a company in which his/her academic supervisor has a financial interest or position. This would require a change to the supervisory team (e,g. an additional supervisor to assure independency).
• A member of staff supervising a taught undergraduate or postgraduate student where the member of staff develops a research or commercial interest in the IP developed by the student and enters into negotiation with the student prior to the student graduating. Staff should note that University policy is that such students own their own IP and that they should not be pressured into giving up those rights.

• Staff carrying out work on a self-employed basis for another organisation that may be connected to the University or its subsidiaries.
• Staff advising external partners (individuals, companies or organisations) either through LUEL or in a private capacity (subject to the University’s External Work Procedures) and in doing so, disclose IP or make arrangements regarding the generation of new IP for that external partner where the IP is owned by the University and not by themselves.
• Staff seeking to influence the pricing of work favourably for an external organisation in which they have a financial or non-financial interest, resulting in a discount below market rate, without other justification. This also may have Subsidy Control implications.
• Staff involving taught students (undergraduate or postgraduate) in consultancy activities and assuming their IP can be utilised. However, students (not being an employee of the University) own their own IP and so this assumption should not be made nor should the students be pressured by staff into handing over rights to that IP to others.
• Staff acting in dual roles in terms of commissioning work and then supplying services.
• Undertaking external work that rightly should be delivered by / through the University as it uses, or could use, University IP / facilities / staff / resources / brand etc. i.e. acting in competition with the University.

Staff are reminded that as a founder in a SpinOut, their role should not result in influence being brought to bear or decisions being made which could result in a conflict of interest with their responsibilities and duties as employees of the University (as per the examples above). In terms of IP, this could mean:

• Staff having a financial interest or other personal interest in a spin-out or in an organisation to which the University has licensed or is seeking to license University IP.
• Staff involved in a SpinOut or Licensing collaboration using their relationship with colleagues at the University to secure preferential treatment in terms of IP and confidentiality in student projects (whether Undergraduate/Postgraduate/Postgraduate Research).

Staff should note that where a SpinOut is formed based on IP that they have generated, or where a licence is agreed with an external company based on such IP, that they are entitled to a share of the income arising to the University from the licence (see IP Policy, Conditions of Service and SpinOut Policy for more details). Hence the above financial interest may apply even if staff have no other direct interest in a licensee.

In such cases:

They should normally play no executive role in any decisions made between the University or its subsidiaries and such spin-outs or IP licensees. If it is believed that there are exceptional circumstances to argue for such involvement, prior permission must be sought by the Dean and then from the Pro-Vice-Chancellor (Research and Innovation). The proposed conflict of interest plan/approach to be put to the Dean and then the Pro-Vice-Chancellor (Research and Innovation) must aim to protect the reputation of the academic(s), their research group(s) and the University and ensure compliance with company law.

The Financial (Procurement) Regulations apply where a SpinOut could deliver a contract for goods or services.

Individuals should be aware that conflicts will exist when procuring services or goods from an organisation that they or a close friend or family member have a role in.

• Staff must ensure the probity of all financial transactions. The sale or supply of goods by the University or the purchase of goods or services by the University must be carried out in accordance with the University’s Financial Regulations. Staff should not normally be involved in supply or purchase decisions in relation to any external organisation in which they or any members of their family or any person with whom they have a close personal relationship have a financial interest or in any way have the capacity for personal gain. If there are exceptional circumstances that prima facie require such involvement, the following process should be followed:

• the person should disclose, in writing to their line manager, the nature of the transaction, the potential conflict and the method proposed to manage the conflict;
• they and their line manager must formulate a proposed plan/approach that protects the University and ensures compliance with the law and the integrity of the transaction(s) and the individuals involved; and the line manager must then seek approval of that plan from the relevant Dean / Director.

• All purchases for the supply of goods or services should comply with the University’s Financial (Procurement) Regulations including the Ethical Procurement regulations. Where a conflict of interest could occur, those responsible for making the decision should take particular care in deciding which supplier or contractor to choose. So as to be able to show impartiality, individuals should take appropriate steps to ensure value for money. Advice may be sought from the Head of Commercial Finance. The appropriate Procurement Category Manager generally manages all £60k+ (inc. VAT) procurement exercises, ensuring that all tender evaluation panellists complete the Declaration of Interests form. In any event, the appropriate Category Manager must be asked to advise where there are any potential conflicts of interest, including where potentially perceived, ahead of embarking on a procurement exercise.

In terms of procurement, a primary risk area for potential conflicts of interest, the University’s processes prompt declarations of interest. Tender evaluation panellists for £60k+ (inc. VAT) contracts are required to complete the Declaration of Interests form, and the New Supplier-Contract Award Approval Form requires confirmation that there are no unmitigated conflicts of interest for those who were involved in the procurement process.

Certain scenarios may lead to opportunities for conflict and so individuals need to remain cognisant of this.

• Participating in the appointment, hiring, promotion, supervision or evaluation of a person with whom the staff member has a close personal relationship. All staff recruitment should be carried out in accordance with the University's Recruitment Guidance.
• A spouse works at the University (please note that the point here isn’t that this is inherently bad, simply that a conflict exists and needs to be managed should the two roles directly or indirectly influence on another or interact)
• An academic chairs a University committee which is to consider the allocation of funds to be shared between a number of Schools, including their own.
• Being the editor of a journal (including membership on an editorial board)

• Where there is a family or personal relationship between two members of staff, Council or Committee members; neither member of staff should be involved in any decision or process affecting the other, including promotion, remuneration, discipline, governance or grievance.

• The holding of any other appointments such as membership of governing bodies of other education institutions, charity trusteeships and other public appointments.

Managers, Deans, and Directors are responsible for monitoring compliance within their areas, both with this policy and with management plans for identified Conflicts of Interest. An annual compliance check will be conducted after the annual reminder is issued.

All individuals associated with the University must report potential Conflicts of Interest and any concerns about non-compliance or unethical conduct. Reports should follow our Raising Concerns process via our Whistleblowing policy.

Post hoc assurance checks will identify gaps in compliance and understanding. The insights gained will be used to improve the policy and supporting materials.

Non-compliance with this policy, the supporting procedures, or management plans for Conflicts of Interest is serious and may lead to disciplinary actions, including dismissal for staff in severe cases.

Determine if the situation could potentially influence your judgment or actions, or whether it could be perceived to influence them.

If you believe a conflict exists, promptly disclose it to your line manager.

Provide details of the conflict in writing, including any potential impacts and details of how you propose to manage it.

You should complete the my.HR Conflict of Interest form which includes a section to evidence:

• Declaration of Conflict of Interest
• The date of the declaration
• Confirmation of the date of discussion with the line manager
• The likely duration of the conflict
• A summary of the potential conflict and action taken/to be taken

Some instances will need to be dealt with by agreeing on how the conflict can be managed to mitigate the risk, safeguard against prejudice toward University activities, and provide continuing oversight. For example, Staff of the University serving on other bodies or committees who have financial or other personal interests in companies or organisations on which the body is expected to pass judgement. Members of such bodies will typically be asked by those bodies to declare financial interests and to absent themselves from any decisions related to those interests. By standing back from decisions in this conflict, the staff member would manage their Conflict of Interest effectively and protect their own and the University’s reputation.