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The University is committed to the core values of Inclusion, Integrity, Collaboration and Enhancing Potential and to maintaining the highest standards in public life, as set out by the Committee on Standards in Public Life (the Nolan Committee) .

This requires everyone associated with the University to conduct themselves with integrity, impartiality, honesty and professionalism at all times, and to avoid any conflict or perceived conflict arising between their official University duties and their private interests.

The University recognises that employees and external members of Council/Council Committees are actively involved in activities outside of the University, both within Northern Ireland and overseas. It follows that such individuals may encounter situations when their personal interests could reasonably be perceived as affecting, or having the potential to affect, their ability to make impartial decisions when acting on the University’s behalf.

The aims of this policy are to:

  • Enable employees and external members of Council/Council Committees, to recognise where their personal interests conflict with, or may reasonably be perceived to conflict with, their University duties;
  • Communicate the expectations for declaring and recording actual and perceived conflicts of interest where these arise;
  • Set out the process and procedure for reviewing and managing conflicts of interest; and
  • Protect the University, and those individuals covered by the policy, against impropriety, or the appearance of impropriety, including reputational risk

Scope of the Policy

The policy applies to:

  • University employees.
  • External and co-opted members on Council/Council Committees.
  • Anyone affiliated to the University through honorary contracts (for example, visiting academics, visiting researchers and honorary academics).
  • All third parties retained by the University to perform services for, and on behalf of, the University.

In making a declaration under this policy, employees should be aware that conflicts of interest may arise from not only their own employment, investments and other activity, but also from those of their partner, spouse, close family members or close friends.

This policy does not extend to the University’s subsidiary companies – these entities are responsible for developing and maintaining their own Conflict of Interests policies and for ensuring appropriate compliance.

How do you know whether you have a Conflict of Interest?

A conflict of interest arises where an employee has a personal interest that may interfere with the duty and interests they have as a University employee or as a member of Council/Council Committees. A conflict of interest may call into question their ability to remain unbiased in their thoughts, ideas and decisions in relation to University matters and decisions.

The existence of an actual, perceived or potential conflict of interest does not necessarily imply wrongdoing on anyone’s part. Any private, personal or commercial interests which give rise, however, to such a conflict of interest must be recognised, disclosed appropriately and managed effectively in line with the procedure set out in Appendix 1.

Examples of categories of potential conflicts of interest are detailed below (this list is nonexhaustive), with further guidance provided in Appendix 2:

  • Directorships, trusteeships or election to office;
  • Financial interests such as shareholdings in companies;
  • Outside employment, business activities and temporary assignments or secondments;
  • Personal relationships in the workplace (including your own children as students);
  • Remunerated or honorary positions with other educational institutions;
  • Relationships with third parties such contractors including estates/commercial contracts;
  • Procurement including supplier decisions and contract terms:
  • Grant awards including administering and supporting grants panels:
  • Recruitment and selection of employees

Disclosure of Interests/Activities

Responsibility for disclosing potential or real conflicts of interest under this policy rests with the employee. Employees should always disclose an activity if they are in any doubt as to whether this represents a conflict of interest. Similarly, if a manager becomes aware of a possible conflict of interest, which the relevant employee appears not to have considered, the manager must bring this to the attention of the employee for appropriate consideration at the first available opportunity.

If in doubt, employees/line managers should consult their Head of School/Department/ Directorate or the University Secretary for further guidance as appropriate.

Employees are required to review, update and disclose interests relevant to their role and responsibilities on two occasions, as set out below:

  • As soon as a new interest/activity occurs. Where this happens, the employee must immediately raise this with their line manager in line with the procedure set out in Appendix 1.
  • (At least) annually, through the online Register of Interests (the Register). To support staff with this, the Office of the University Secretary will issue a communication every 5 six months reminding employees to review their online entry on the Register to ensure that this remains accurate and up to date. Those with no interests to declare must also maintain the record held within the Register by simply submitting a Nil Return.

Declarations from Members of Council/Council Committees should be referred directly to the University Secretary.

Confidentiality

Information relating to declarations of conflicts of interest will be treated as confidentiality as the law permits. The Freedom of Information (FOI) Act includes an exemption to prevent the disclosure of personal information. Whilst in the vast majority of cases, this will mean that personal information in relation to a conflict of interest will not be publicity disclosed in relation to an FOI request without explicit consent, this cannot be guaranteed.

Failure to disclose a Conflict of Interest

Failure to avoid conflicts of interest, or to adequately disclose and manage unavoidable conflicts of interest, may result in:

  • Damage to the reputation of the University and to the individual(s) involved.
  • Loss of public trust in the University and its related activities.
  • The inability of the University and/or the individual to respond to accusations of personal benefit.

Failure to declare a significant/serious interest is potentially a disciplinary matter and employees are, therefore, advised to declare such interests if they are in any doubt about relevance or materiality. Council/Council Committee members are also encouraged to raise any such matters as failure to do so could, following due process, potentially lead to removal from Council membership. Appendix 2 provides examples of a significant/serious interest.

Approval, Reporting and Monitoring

Under the Delegated Authority Framework consideration and approval of the University’s Conflict of Interests Policy is formally delegated to the Audit and Risk Committee. Building on this, the Audit and Risk Committee is required to receive an annual Conflict of Interests report each year, reflecting on the implementation of the policy and any required amendments to ensure that this remains up to date and aligned with best practice.

The Office of the University Secretary is responsible for overseeing the implementation of the Conflicts of Interests Policy and for maintaining an institutional Register of Interests. It is the responsibility of all employees to ensure that their entry on this Register is current and properly reflects their personal circumstances.

This policy will be subject to continuous review and we welcome feedback to improve the policy. Please send any queries or comments to the Office of the University Secretary.

Other Relevant Policies

This policy should be read in conjunction with the following University policies and procedures:

Further Information

For further information on this policy, please contact the Office of the University Secretary at universitysecretary@ulster.ac.uk

Appendix 1 - Conflicts of Interests Procedure

1. Purpose

As set out in the Policy, employees and external members of Council/Council Committees are required to declare any professional, commercial, academic, or other interest that may conflict with the interests of the University, or which may be seen, by reasonable members of the public, to influence or bias judgement when discussing or reaching decisions. Individuals are best placed to know their responsibilities within the University and within other bodies and where these have the potential to conflict.

The Office of the University Secretary will maintain an online Register of Interests. It is the responsibility of all employees and members of Council/Council Committees to ensure that their entry on this Register is regularly updated to reflect any changes in their personal circumstances.

Any action or involvement or interest which may be seen to lead to a conflict of interest should be disclosed immediately and acted upon as set out below.

Full disclosure, supported by effective monitoring and conflict management, is critical in the prevention and resolution of conflict situations. Full disclosure of relevant information is in the best interests of both the institution and the individual, given that this demonstrates good faith on the part of the individual and protects their reputation and that of the University.

2. Declaring and managing interests – Employees

Employees are personally responsible for disclosing potential and real conflicts of interest and/or activities to their line manager. To do this, the employee should arrange to meet with their line manager – at the earliest opportunity - to discuss any new interest/activity and any potential for this to impact or conflict with their role in the University. The employee should be as open and transparent as possible throughout this process.

There are three possible outcomes arising from this discussion:

  • Agreement that no real or perceived conflict of interest exists and that the new interest/activity should proceed as planned;
  • Agreement that a real or potential conflict of interest exists but that steps can be taken to manage this and to mitigate any risk exposure. Where this is the case, the line manager and employee should agree clear mitigations through which this situation will be managed and document this agreed plan of action accordingly.
  • Agreement that a very real conflict of interest exists and that this creates too significant a risk to be supported by the University.

This discussion, and any agreed action to manage conflicts arising, should subsequently be recorded on the Register of Interests.

The Register of Interest is an online tool which allows employees to register and confirm their interests quickly and easily online.

Once an entry is submitted, the employee has the opportunity to save a copy of this and a copy is also shared with their line manager for information and action as appropriate.

The Line Manager should advise their Head of School/Director of all disclosures where a decision has been taken that a conflict of interest requires to be managed or cannot be supported.

The Head of School/Director may also serve as an advisor to employees who are uncertain regarding the appropriateness of a given activity or management of a given disclosure. In formulating a decision, the Head of School/Director may also need to consult with other appropriate Senior Officers within the University if the declaration is considered to identify a significant/serious conflict of interest.

If during the assessment, any interests are declared, and mitigation agreed, the employee and line manager should arrange to revisit these regularly – at least every six months - to determine if the agreed mitigations are indeed supporting management of the associated risks. More frequent updates may be requested as necessary, in particular where impacted events occur e.g., renewal of contracts.

3. Declaring and Managing Interests – External Lay Members of Council/Council Committees

Lay members of Council/Council Committees are personally responsible for disclosing potential conflicts of interest and/or activities. Any potential or real conflict should be disclosed, in the first instance, to the University Secretary, in their capacity as Secretary to Council.

The University Secretary may also serve as an advisor to members of Council/Council Committees who are uncertain regarding the appropriateness of a given activity. The University Secretary will evaluate any disclosure received, in consultation with the ViceChancellor and Chair of Council where appropriate.

4. Roles and Responsibilities

As stated, employees and external lay members of Council/Council Committees will be required to review, update and disclose interests relevant to their role and responsibilities annually, or as soon as interests change. See the process flowchart below for more information.

Conflict of Interest Flowchart

Appendix 2 - Definitions and Examples

Perceived or actual conflicts of interest

  • A perceived conflict of interest is one that a reasonable person would consider likely to compromise objectivity. For example, a member of the Audit and Risk Committee, whose sibling is a senior figure in the firm performing the University’s internal audit, has a conflict of interest as the possibility of being influenced exists.
  • A potential conflict of interest is a situation which could develop into an actual or perceived conflict of interest. For example, where an employee is a trustee of a charity that is not currently linked to the University, or seeking collaboration with the University, but that charity has an interest in research and is known to regularly seek collaborations with universities.

Private, personal or commercial interest:

  • Financial interest refers to anything of non-trivial monetary value, including, but not limited to, pay, commission, consultancy fees, equity interests, forgiveness of debt, property, royalties, and intellectual property rights. Examples include payments, benefits in kind, equity interests, gifts, hospitality or intellectual property rights.
  • Non-financial interest refers to any non-financial benefit or advantage, including, but not limited to, enhancement of an individual’s career, education or professional reputation; access to privileged information or facilities. Employee and other committee members should therefore consider who they are acting for, and whether there are any competing motivations or interests that could influence them or be seen to influence them.

Relative or friend:

Any member of an employee’s close family (i.e. partner, spouse, civil partner, parents, siblings or children), close personal friend or family connection with whom the employee has a relationship which is likely to appear, to a reasonable person, to influence their objectivity.

Significant/serious conflicts of interest

Include but are not limited to, an employee using their University position to:

  • Influence a contract or other favourable terms for a company in which they, or a relative or friend, had a financial interest;
  • Influence employment, promotion, admission to a course of study, educational progression or other financial or non-financial benefit for a relative or friend; or
  • Obtain financial or non-financial benefits for him/herself or for a relative or friend in return for providing an advantage, or potential advantage.
  • Compromise research objectivity or independence in return for financial or non-financial benefit for them or for a relative or friend.
  • Use University resources or confidential information obtained through their University position for personal financial or non-financial benefit, or benefit to a relative or friend.
  • Conduct business, employment or activity with the University, which adversely affects the employee’s ability to perform their duties.

Common types of Conflicts of Interest

Roles with heightened risk in relation to conflicts of interest are provided below.

Procurement of Goods and Services

The Procurement Act 2023 requires the University to obtain specific conflicts of interest declarations from employees and external advisors/consultants/those who influence a decision made by or on behalf of the University in relation to a procurement process. This requirement encompasses pre-market engagement, tendering, contract award, ongoing contract management and contract expiry involved in the management and operation of the University’s approved purchasing regulations in line with the University’s Procurement Policy.

Further information on the obligations arising from the Procurement Act 2023, are available in the University’s Procurement Policy, guidelines and procedures on the Procurement website.

Recruitment and Selection of Employees

A potential conflict of interest can occur where a panel member has a business relationship, a family relationship or a private/personal relationship with an applicant or some other substantial relationship which may call into question their ability to objectively assess the applicant. Where such a relationship is identified, the panel member should declare this to the Resourcing Partner and/or the Chair of the panel and should take no further involvement in the selection process.

Please note that a normal working relationship does not constitute a conflict of interest e.g. if you are the manager of one of the applicants or if you work on the same team as one of the applicants, this does not of itself constitute a conflict of interest.

Teaching and Assessment

A conflict of interest in teaching & assessment arises when an employee undertaking teaching and assessment or similar activities is in a position to, or is perceived by others to be able to, make a biased decision or act in a way that is unduly in favour of or against a student, in comparison to another student of similar circumstance and ability.

To ensure that teaching activities are of good quality and that assessment is reliable, consistent, fair and valid, the University and its employees must take reasonable steps to identify, manage and mitigate these actual or perceived conflicts of interest. Teaching and assessment activities could include, but are not limited to, lecturing, tutoring, facilitating, demonstrating, advising, supervising, marking, examining, moderating, or participating in, or chairing, a Board of Examiners.

Further information and guidance are available in the University Assessment Code of Practice.

Research Integrity

University employees should maintain the highest standards of integrity in the conduct of research. The complete, objective and timely dissemination of new findings through publications is essential for research integrity. Conflicts of interest and the potential for personal gain must not jeopardise, nor appear to jeopardise, the integrity of research activities, including the choice of research, its design, the interpretation of results, or the reporting of such results.

Financial Interest

University employees have a responsibility to respect and promote the financial interests of the University. Employees should, wherever possible, ensure that the University receives appropriate financial return from the following activities:

  • The provision of research and consultancy services, conducted through the University.
  • The use or commercialisation of its intellectual property.
  • The use of other resources and assets, including equipment, technical employee and facilities.
  • The use of its financial resources in relation to the purchase of goods and services, as outlined in the University's Financial Regulations.

External Board and Organisations

Employees and external lay members of Council/Council Committees, in discharging their University responsibilities, owe their primary commitment and allegiance to the University. Individuals holding external appointments will be obliged to act in the best interests of that external body and, on occasion, these duties may conflict with the individual’s obligations as a member of the University.

Where an appointment to an external board is approved through the appropriate procedures, the individual, in consultation with their Head of School/Director, must ensure that any conflict of commitment is effectively managed. This also applies to academic and professional services employee undertaking assignments through the University’s Consultancy Policy.

The examples provided above are not meant to be exhaustive.