Statement of policy and procedure on conflict of interest

Introduction

The University seeks to promote the advancement and dissemination of knowledge through its research and other activities and considers that the establishment of links with outside bodies, whether government departments, commerce, industry, or others, is in the public interest and will bring benefits to the University and the individuals concerned. It is however possible that such links may give rise to potential conflicts of interest. The University has therefore prepared the following guidelines and rules to assist employees in assessing whether or not proposed activities have potential for conflict of interest, and to provide a procedure for disclosure and discussion of any perceived or potential conflict.

Disclosure will not necessarily restrict or preclude an employee’s activities.

Guidelines as to conflict of interest

It is not possible to provide a comprehensive definition of the kind of circumstances which will give rise to a conflict of interest, but the following are examples of the most likely situations that will lead to perceived conflicts of interest. In any situation where an employee is uncertain as to the propriety of a given arrangement, advice should be sought from the Director of RBDO.

A conflict of interest may be defined generally as:

‘a conflict between the official responsibilities of an employee of the University and any other interests the particular individual may have, e.g. where the individual may be in a position to influence University business for actual or potential personal benefit or for that of a close family member, to seek such benefits at the expense of the University’

Conflicts of interest are not restricted to cases in which an individual actually derives some advantage. They also arise and can be equally damaging where a conflict exists or appears to exist without any consequential behavioural impact. The University’s policy on conflicts of interest does not imply any lack of trust in its staff. It is designed to protect them against criticism by ensuring that they recognise and disclose such conflict situations and take steps to avoid and/or manage them.

General examples

(a) The use of the University's research or administrative facilities to pursue personal business, commercial, or consulting activities;

(b) any attempt to restrict rights governing the timing and content of publications, other than in circumstances properly approved by the University to protect privacy, commercially sensitive proprietary information, and intellectual property;

(c) involvement in externally funded activity which might infringe the right of a student engaged in the activity to complete the degree for which he or she is registered and/or to publish freely his or her findings (other than in the circumstances referred to in (b) above);

(d) a financial interest held by an employee (or by his or her immediate relative/s or household member/s) in an external enterprise engaged in activities closely related to that employee's line of research in the University: examples of such interests are paid consultancies, paid service on a board of directors or advisory board, equity holdings in or royalty income from the enterprise. The existence of such an interest does not necessarily imply conflict, but is likely to give an appearance of conflict, and should be declared in the way set out below;

(e) a personal pecuniary or legal involvement by an employee (or by his or her immediate relative/s or household member/s), excluding a minority shareholding in a publicly quoted company in any company or commercial enterprise which is in a contractual relationship with the University or which is in the process of negotiating the terms and conditions of a contract with the University, where the employee has been concerned or connected with the placing or negotiation of the contract in question or with the research or other activity which the contract might cover.

(f) specific rules apply to employees taking Directorships and/or shareholdings

Executive Directorships

Employees of the University are not permitted to hold an executive directorship without notifying and receiving approval from the DVC and Registrar. Approval of the holding of such directorships may be given in the following circumstances:

(a) where a member of staff has satisfied the DVC and Registrar that the holding of an executive directorship is or will be necessary in order to satisfy the requirements of a recognised stock exchange listing of scientific, research-based companies; and/or

(b) where the DVC and Registrar is satisfied that approval is justified on other grounds that are consistent with the University’s values and mission.

For the purpose of this guidance, an executive directorship is one involving an active management role, whether or not including research, in the company concerned.

The holding of directorships and shares

(a) Unless formally nominated by the Commercialisation Review Panel of the University, no employee of Oxford Brookes University shall serve in a personal capacity as director or other officer of a company or commercial enterprise, the establishment of which arose out of or was connected with work done in the University, or any company or commercial enterprise in a contractual relationship with the University where the employee was involved or connected with the placing or negotiation of the contract in question.

(b) No employee shall hold any shares in a company, the establishment of which arose out of or was connected with work done in the University, or any company in a contractual relationship with the University, where the employee was concerned or connected with the placing or negotiation of the contract in question, unless such shares have been acquired following the listing of the company on a recognised stock exchange, or the allocation of shares has been approved by the Commercialisation Review Panel and the DVC and Registrar.

Disclosure and Review

It is the duty of all employees to disclose any actual or potential conflict of interest. Any employee who believes that they may have a conflict of interest should consult their line manager, and may take further advice to resolve any uncertainty from their Dean or Director and the Director of RBDO.

Conflicts of interest should be reported to the employee’s line manager, Dean or Director and recorded in the university register held by the Director of RBDO. The record of disclosure shall cover the type of potential conflict (conflict of interest or commitment), the nature of the activity, a description of all parties involved, the potential financial interests and rewards, possible violations of legal requirements, and any other information which the employee feels necessary to evaluate the disclosure. In the light of any disclosure, the Dean or Director may need to consult Legal Services, the Research and Business Development Office, the director of finance, or others to advise on issues of budget and finance, research administration, government relations, and technology transfer, as appropriate.

After appropriate evaluation, it may be determined that a proposed or ongoing research or consultancy agreement and the employee’s personal interests show no conflict or apparent conflict and are acceptable without further review. Conversely, it may be determined that some questions of propriety requiring a higher level of review have been identified. For each situation, the line manager shall create a written record of his or her determination that the situation either is acceptable, unacceptable, or requires review at a higher level. Any unresolved issues relating to an employee’s actual or potential conflict of interest shall be referred for determination to the Deputy Vice-Chancellor and Registrar.

Declarations

Employees must declare to their line manager in writing receipt of offers or gifts or benefits of any kind made to the employee in their official capacity. See guidance under Policy on the acceptance of gifts, hospitality and benefits by members of staff.

In addition to declaring any conflict or potential conflict, the following are required to submit an annual declaration of external interests to the Deputy Vice-Chancellor and Registrar :

(a) the Vice-Chancellor;
(b) Deputy and Pro-Vice-Chancellors;	via the Clerk to the Board of Governors
(c) the Board of Governors;
(d) members of the Executive Board;	via the Director of RBDO

A confidential record of all declarations made shall be maintained centrally by the Director of RBDO. In addition to declarations made under the above procedure from time to time, records shall be updated on an annual basis, and members of staff shall be required to provide updated information on request.

Disclosure

We may be subject to Freedom of Information Act requests and it is unlikely that any declarations would be regarded as confidential within the Act.