“By creating we think, by living we learn” Patrick Geddes
Introduction
1. The establishment of links between University employees and outside bodies - whether Government departments, commerce, industry, or others - is not only in the public interest but also benefits the University and the individuals concerned. However it is possible that such links may give rise to potential conflicts of interest. The University has therefore prepared the following guidelines and rules to help individuals assess whether or not proposed activities could cause a conflict of interest, and to outline the procedure for disclosure of any perceived or potential conflict.
2. In addition to the guidelines set out below, there may be occasions, particularly with regard to externally funded research projects, where those external funders, or government or other agencies controlling those funders, may impose additional requirements in relation to conflicts of interest. Where appropriate, the University has developed specific guidance for these relationships, which is set out in Schedule 1 to this Code. Members of staff linked to such projects with specific guidance are expected to comply both with the University's general guidance and the specific guidance related to the external funder.
Guidelines as to Conflict of Interest
3. It is not possible to define all the circumstances which may cause a conflict of interest, but the following are examples of situations giving rise to a perceived conflict of interest. In any situation where an individual is uncertain as to the propriety of a given arrangement, advice may be sought from the Secretary of the University.
(a) 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, except in circumstances properly approved by the University to protect privacy, commercially sensitive proprietary information, and patentable inventions.
(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 (except in the circumstances referred to in sub-paragraph (b) above).
(d) A financial interest held by an individual (or by his or her immediate relative(s) or household member(s)) in an external enterprise engaged in activities closely related to that individual's line of research in the University. Examples of such interests are paid consultancies, paid service on a board of directors or advisory board, or 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.
(e) A personal involvement in any company or commercial enterprise which is in a contractual relationship with the University, or which is in the process of negotiating a contract with the University, where the employee has been concerned or connected with placing or negotiating the contract in question or with the research or other activity which the contract might cover.
(f) Application by family members or friends for employment in the University or in a related company, where an individual is in a position to influence the appointing process. (Note: the University operates specific rules on the appointment of close relatives in the same department.)
(g) Receipt of gifts or hospitality by an individual (or by his or her immediate relative(s) or household member(s)) from a company or organisation offering goods or services to the University.
4. There are in addition certain circumstances which give rise to such clear conflicts that the University Court has adopted the specific rules set out below.
Executive Directorships
5. 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.
6. No member of staff shall hold any executive directorship without express approval by the Principal (or, in the case of the Principal, by the Chairperson of Court). Approval for such directorships may be given in the following circumstances:
(a) where the holding of an executive directorship is or will be necessary to satisfy the requirements of a recognised stock exchange for the listing of scientific, research-based companies; and/or
(b) where approval can be justified on other grounds, although such approval will only be given in exceptional cases.
7. In either case, consent will be given only if it is evident that the appointment will comply with the University's general conditions relating to the holding of other appointments.
Holding of Directorships and Shares by Administrative Officers of the University
8. For the purpose of these rules administrative officers are defined as staff of the University's student and academic support services, faculty and departmental administrative staff, and others employed by the University in academic-related grades.
9. Unless formally nominated by the University to do so, no administrative officer shall serve in a personal capacity as a 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 administrative officer was concerned or connected with placing or negotiating the contract in question.
10. Any administrative officer nominated by the University to serve as the director of a company shall be deemed to accept the nomination in the discharge of his or her duties as an employee of the University, and shall decline to accept any director's fee.
11. No administrative officer 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 administrative officer was concerned or connected with placing or negotiating the contract in question - unless such shares have been acquired following the listing of the company on a recognised stock exchange.
Declarations
12. It is the duty of all employees to disclose any actual or potential conflict of interest. The procedures for disclosure are explained below. Failure to disclose an actual conflict of interest may result in disciplinary action.
13. A declaration as to any conflict of interest will be sought by the University at the funding award stage in connection with any externally funded research project. Application for permission to undertake other activities will require the individual concerned to declare any conflict of interest before permission will be granted. Disclosure should be made in writing and should be directed to the Secretary of the University. This procedure will also apply in other situations giving rise to a potential conflict of interest.
14. In addition to declaring any conflict or potential conflict in accordance with paragraph 12 above, individuals occupying the following positions shall be required to submit an annual declaration of external interests:
15. A record of all declarations made shall be maintained centrally by the Secretary of the University.
16. In addition to declarations made from time to time under the terms of paragraph 12 above, records shall be updated regularly and members of staff shall be required to provide updated information on request.
17. If a conflict of interest or a potential conflict of interest has been disclosed, the individual concerned shall discuss a possible resolution with the Secretary of the University. Any unresolved matter shall be referred to the Audit Committee for advice; in cases of particular difficulty the matter shall be referred to the Court.
October 2012
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