Introduction

A conflict of interest occurs when an individual's personal interests, relationships, or activities interfere, or appear to interfere, with their duties and responsibilities to the University. This can happen in arise in a number of situations, for example:

• Holding a financial interest in a company that does business with the University

• Participating in decision-making processes that affect someone close to you such as a relative or partner

• Engaging in external activities that compete with the University's interests or use University resources without proper authorisation

If such a situation occurs, you are required to inform the University, and we will make a decision on how best to handle this. In most cases we can put arrangements in place to mitigate the conflict of interest, for example, having others involved in the decision-making. This policy and procedure describes this in more detail.

If you do think that you could have a conflict of interest during your work for the University, report this using the Conflict of Interest Reporting Form. When you submit the form, it will alert Human Resources who will discuss this with you and your manager or Head of Department to make a decision. When a decision is made, this will be held on your personal file as a record.

If you are in any doubt, after reading the policy, you can use the same form to seek advice.

If you are unsure if you have a conflict of interest it is better to seek advice early. For further information or assistance with conflicts of interest, please contact the University Secretary's Office (governance@bath.ac.uk) or the Director of Human Resources (HR-Director@bath.ac.uk).

Definition of Conflicts of Interest

A conflict of interest occurs when an individual's personal interests, relationships, or activities interfere, or appear to interfere, with their duties and responsibilities to the University. Conflicts can be financial, non-financial, direct, or indirect. The Financial Regulations make it clear that “No member of the University nor employee shall take an active part in any discussions, negotiations or transactions involving the University in which they or their spouse, partner or any family member has an existing or potential, financial, or other beneficial interest”.

The importance of identifying and managing Conflicts of Interest

This policy exists because failure to manage Conflicts of Interest could impact our ability to operate fairly, safely and in accordance with both the law and the Nolan Principles on ethical standards in public life which are reflected in our University Code of Ethics.

It is only fair to all members of the University that we give guidance to assist transparency and avoid people being put in situations where they are making decisions which could call into question their honesty and integrity.

The University must make good use of public funds, for example by ensuring best value in any contracts into which it enters The University wishes to encourage commercial activity to create impact from our research. This will require careful management of possible conflicts between the University’s interests and legitimate personal commercial interests.

The University wishes to encourage commercial activity to create impact from our research. This will require careful management of possible conflicts between the University’s interests and legitimate personal commercial interests.

Identifying Conflicts of Interest

Situations that may give rise to conflicts of interest might include:

• Holding a financial interest in a company that does business with the University

• Participating in decision-making processes that affect a connected person

• Engaging in external activities that compete with the University's interests or use University resources without proper authorisation

As such, example potential conflicts which would need immediate disclosure might be:

• Financial Conflicts: A staff member (or connected person) holds a financial interest in a company that supplies goods or services to the University and is involved in the procurement process (Financial Regulations)

• Personal Relationships: A student is supervised by a connected person, which could affect impartiality in grading or assessment (Personal and Professional Relationships)

• External Employment: A staff member has a part-time job with a competitor of the University, potentially leading to conflicts in time commitment and loyalty (Consultancy, External Work or your contract of employment)

• Research Bias: A researcher receives funding from, or holds a position in an organisation that could benefit from the results of their research, potentially influencing the research outcomes (Research integrity and ethics)

• Intellectual Property: a researcher brings their own intellectual property from or provides University intellectual property an external body where they have a personal interest

• Use of University Resources: A staff member uses University facilities or equipment for personal projects or external business activities without authorisation

• University recruitment process: An applicant is known to a member of staff involved in the recruitment process that uses their influence to affect the outcome of the recruitment exercise

Disclosure of Conflicts of Interest

All staff and students are required to disclose any actual, potential, or perceived conflicts of interest as soon as they arise. Guidance is provided at Appendix I on issues which need to be disclosed, and those which don’t. Disclosures should be made in writing to the relevant line manager who will then determine the appropriate course of action. A decision flow chart summarising this process is at Appendix II.

There may be occasions for some staff where they are requested to disclose conflicts of interest to external parties, for example, grant funders. Staff should ensure that they have made a disclosure to the University before making any external disclosures.

Managing Conflicts of Interest

Once a conflict of interest is disclosed, the following steps should be taken to manage it:

• Assessment: The line manager or supervisor will assess the nature and extent of the conflict in accordance with the following table:

• Record Keeping: All disclosures and actions taken to manage conflicts of interest must be documented and retained for audit purposes using the Conflict of Interest Reporting Form. Where a specific approval has been sought, and given, this should be retained on the individual’s personal file in Human Resources. Records should be kept confidential and only shared with individuals who need to know

• Action Plan: An action plan will be developed to mitigate or eliminate the conflict. This may include recusal from decision-making processes, divestment of financial interests, or other appropriate measures. The action plan must refer to the specific situation or project, not be simply generic controls

• Monitoring: The situation will be monitored in accordance with the agreed plan to ensure that the conflict is effectively managed and that the action plan is followed. Monitoring frequency needs to be considered in light of the seriousness of the conflict and key decision-making milestones

Groups at Higher Risk

The University, through risk assessment has identified specific groups who we perceive at being of higher risk of being in situations where conflicts of interest may arise. This section identifies those groups and the specific actions which are required to manage those risks.

Staff with Key Decision-Making Roles

The University Secretary also runs an annual process to identify potential Conflicts of Interest with the following groups and holds the University’s Register of Declaration of Interests:

This data is scrutinised by the Financial Probity Standing Group and feedback provided to relevant areas if required. A report is provided to the University Executive Board regarding any systemic issues or proposed changes to procedure. These staff will only be expected to declare further if a conflict of interest arises.

Staff Leading Research (PI/CoI)

Staff leading and working on research projects, whether internally or externally funded, will generate intellectual property, and there are many situations where Conflicts of Interest may arise. The guiding principle is that researchers (or other staff engaged in such work) should always declare any potential conflicts of interest up front and keep their Head of Department advised of any changes. The procedures operated by Research and Impact Services (RIS) require those initiating research projects, seeking ethics approval or applying for grants to check for Conflicts of Interest. These must be managed in accordance with Table 1 above.

Research staff also need to be aware that, in the situation where research involves human participants, declarations of interest must also be made to participants.

Staff Undertaking Procurement Activities

Staff procuring services are at particular risk if there is a perception that they may directly or indirectly benefit from a decision of the University to place contracts with an external body with which they have some relationship. The procedures operated by Procurement include a check for Conflicts of Interest and this is referenced on the Procurement Code of Conduct that applies to all staff making purchases. Any significant Conflicts of Interest will be escalated through Procurement.

Awareness

The University will provide resources to help staff and students understand their responsibilities regarding conflicts of interest and how to manage them effectively.

Annually the University will write to all staff reminding them of the need to be alert to Conflicts of Interest and asking them to ensure that they are familiar and compliant with relevant policies.

Non-Compliance

Failure to disclose or manage conflicts of interest appropriately may result in disciplinary action, up to and including termination of employment or expulsion from the University.

Review and Updates

This document will be reviewed periodically to ensure it remains current and effective in line with the policy schedule. Updates will be communicated appropriately.

Appendix I: Guidance on issues which need to be disclosed

If there is a Conflict of Interest, declare through this process:

• Paid work outside the University, including as an employee, worker, agent, consultant or otherwise in a self-employed capacity

• Directorship (Executive and Non-Executive), whether remunerated or not (including spin-out and dormant companies)

• Trusteeships or participation in the management of charities and other voluntary bodies

• Public appointments

• Elected Office

• Other payments received, pecuniary interests or other interests (financial or otherwise) which might interfere with the staff member’s independent judgement in University matters or which might reasonably be perceived as likely so to interfere

• Pay, Commission, Consultancy Fees, Equity Interests and Forgiveness of Debt

• Membership of a board, committee or other organisation where interests may conflict with those of the University

• Shares held in any company (5% or more shareholding) where the share value might be affected by a University decision

• Any work or other commitment outside the University which might significantly impact on your time commitment to your University duties

• Over-dependence on a particular company for research funding which could result in that company either formally or informally influencing the direction of the research or the dissemination of results

• Role in a company who is a partner in a research project

• Interests as above held by immediate family members, partners, or persons with whom the member of staff has a close personal relationship (known as ‘connected persons’)

• Connected persons with whom the member of staff has a close personal relationship, who have provided consultancy to the University or any of its subsidiary companies

There is no need to declare through this process:

• Any interest through being an employee of the University

• Academic roles such as external or visiting examiner

• Work authorised using the Consultancy Policy

• Membership of a sports club, charity, voluntary body, trade union, political party. However, a person who holds a position of authority (e.g. Board member), even if unpaid, must declare this if that organisation has a link to the University and a conflict of interest could exist

Appendix II: Flow chart on determining the correct course of action

A flow chart on determining the correct course of action is available as an appendix to this Policy and Procedure.