Policy on declaring interests, managing conflicts of interest, and gifts and hospitality

1. To promote transparency in the conduct of the University’s business;
2.  To address the potential for undue influence and/or perceived impropriety when key judgements or decisions are made on the University’s behalf; 
3. To ensure that audit trails are in place to protect the good standing of the University and all those employed by or appointed to act on its behalf.

1. This policy applies to all those employed by or appointed to act on behalf of the University, and to all activity undertaken under the University’s auspices, both in the UK and overseas. This includes:

   a. All full and part-time staff at all levels of responsibility, including those of the University’s wholly or majority-owned subsidiary and joint venture companies;

   b. Directors of companies/joint ventures in which the University has an interest;

   c. All members of Council and its sub-committees;

   d. External examiners, assessors and advisors;

   e. Those undertaking consultancy work for the University or a contract for service for the University;

   f. Students and other workers employed on a casual basis;

   g. Those associated by way of an honorary affiliation (e.g. emeritus, visiting academics).

2. For the purposes of this Policy, the terms listed below are defined as follows:

Departments: academic departments, schools and centres; professional services at University and Faculty level; and wholly or majority-owned subsidiary and joint venture companies.

Line Manager: an individual’s direct report for the activity in question. 

For the purposes of this policy, independent members of Council and its sub-committees should report to their committee Chair; the Vice-Chancellor to the Chair of Council; and the Chair of Council to the senior independent member of Council.

University Committees: Council, UEB and Senate, and their sub-committees.

Interest: any activity or association which has a potential or actual bearing on work done in the University’s name. This includes an individual’s direct interests and those of their family, partner, close personal friends and/or other external associates. Interests may be financial (e.g. consultancy, shares, property, licensing income, commission) or non-financial (e.g. potential enhancement of prospects, access to privileged information, access to facilities and/or property, Intellectual Property rights).

Conflict of interest: this arises where an individual’s interests may interfere, or be perceived to interfere, with their judgement in relation to activity taking place under the University’s auspices. This includes both corporate and academic matters. It does not imply an intention to behave improperly, but will need to be managed in order to protect the good standing of the individual and the integrity of the University’s activities.

Gift: a tangible item or other benefit given or received in the course of University activity or business. Gifts offered may range in value, and may commonly include business and branded stationery, food and drink or corporate gifts such as ornamental items.

 Hospitality: offers of refreshment, invitations to events, travel and/or accommodation in connection with University activity, both given or received. Includes hospitality offered to an individual’s family members where there is an actual or potential link to University activity.

3. The following activities are out of scope for this Policy:

a. Major and Corporate gifts to the University, which are managed by OPPA.

b. Payments to volunteers or to people involved in research, which are covered in the Policy on the Payment of Individuals for Involvement with, and Participation in, Research

c. Gifts and hospitality between the University and its staff, students and alumni, and expenses for independent members of Council and its sub-committees, all of which are covered under the University’s Travel and Expenses policy.

d. Expenses for external examiners, assessors and advisors.

e. Normal courtesies such as refreshments/accommodation received as part of training courses or conferences, or events organised by professional accreditation bodies or networks associated with an individual's core role.

f. University merchandise made available to prospective students.

g. Personal gifts between colleagues which are not linked to University activity.

1. All individuals employed by or affiliated to the University must declare any interests which have a potential or actual bearing on the work that they do under the University’s auspices, and ensure that their record is kept up to date.
2. The following individuals are required to make a formal declaration of interests on an annual basis. If they have nothing to declare, they should submit a nil return.

a. Anyone who is involved in significant decision-making on behalf of the University. This group includes:

• • • Members of University Committees (as defined above); 
    • Heads of Departments (as defined above) and their senior decision-making teams; 
    • Members of staff who are on the board of directors or who act as company secretary for wholly or majority owned subsidiary companies or joint ventures;
    • Staff who in their normal role are involved in negotiating or have a material influence on contracts, or have access to highly sensitive and commercial information (e.g. Finance, Procurement, Legal Services, OPPA).

b. Anyone who is a PI on an external research grant.

3. Declarations of interests for members of Council and UEB will be made publicly available online for the academic year in question.

1. Potential or actual conflicts of interest which arise in the course of University business must be actively and proportionately managed by agreement between the individual concerned and their line manager for that activity. This applies regardless of whether or not the interest in question has already been formally declared.
2. Individuals are responsible for identifying any potential or actual conflicts of interest relating to their work for the University and raising them with their line manager for that activity. Issues may also be raised by a third party.
3. Appropriate mitigations to address the potential/actual conflicts of interest must be in place before the individual can continue to be involved in the relevant activity. If the level of risk is unacceptable, reallocation of the individual’s responsibilities and/or exit from an interest will be required.
4. Line managers must ensure that a secure, identifiable and accessible written record is kept of the conflict and the agreed outcomes.
5. More detailed policies and procedures are in place in relation to specific areas of University activity, as listed in the section below.

THIS SECTION OF THE POLICY IS CURRENTLY UNDER REVIEW

1. Gifts and hospitality play an important part in HE, for example to strengthen a business relationship or to improve the profile of the University. In particular, they form a key feature of international relationships, rooted in cultural custom and politeness.

2. Key principles for the exchange of gifts and hospitality:

1. In line with the UK Bribery Act 2010, gifts and/or hospitality must not be offered or accepted where they might be intended or perceived as an inducement to influence a decision, or as a reward for the latter. They must not be exchanged in return for benefits or favours, nor to facilitate a routine business procedure. To comply with the Bribery Act 2010, any gifts or hospitality to foreign government officials, politicians or political parties must be notified to the Registrar & Secretary or the Director of Finance. All potential breaches must be reported as set out in the University’s Anti-Bribery Policy.
2. Exchanges of gifts and/or hospitality should be avoided around key decision milestones (for example, procurement exercises or decisions relating to student admission or progress).
3. Gifts and hospitality, whether given or received, must be proportionate in terms of frequency and scale, and appropriate to the occasion. As stated in the University’s Financial Regulations (paragraph 3.3.4), the frequency and scale of hospitality accepted by staff should not be significantly greater than the University would be likely to provide in return.
4. Staff must comply with the rules governing expenditure on gifts and hospitality as set out in the University’s Travel and Expenses policy.
5. Cash must not be given or received under any circumstances.
6. Cash-equivalents may also not be given or received, with the exception of vouchers, book or other tokens offered as an incentive-based reward (for example, to respond to a survey), or received by staff as a personal gift.
7. All exchanges must be open and transparent.

3. Offers of gifts and/or hospitality which run counter to these principles should be politely declined, making reference to the University’s position. However, there may be instances where it is not possible to refuse a gift without causing offence. In such cases, staff should consider donating the gift to their department or to charity to avoid the perception of undue influence. Staff who are uncertain or concerned about the propriety of an exchange of gifts/hospitality (either given or received) should seek advice from their line manager/equivalent in the first instance (or, if the latter is also a beneficiary, from the line manager above). Further advice may also be sought from the Governance & Assurance Office in the first instance, who will refer on to the Finance Department and/or the International team as appropriate. Decision-making may be escalated via the routes set out in the flowchart provided in the Supporting Information (opposite), according to the degree of risk.

4. In order to avoid misunderstanding or offence, departments are encouraged to make the University’s policy clear to their students from the outset, and to emphasise that gifts and offers of hospitality to staff are not expected. Likewise, those organising overseas visits should seek mutual understanding in advance regarding acceptable hospitality and gifts. Further advice may be sought from the International team.

Record-keeping

5. Departments must maintain their own Gifts and Hospitality register at a local level in electronic format, using the template provided in the Supporting Information (see column opposite). Registers for Council and its sub-committees and for UEB will be kept by the Governance & Assurance Office on behalf of the Registrar and Secretary. For University-level international visits, staff are advised to use the register maintained by the International team in order to help maintain an overview of the University’s global relationships.

6. Where gifts/hospitality are given or received over the value of £40 per person  (including the cumulative value of repeated low-level instances over a short period of time), the member of staff concerned must (a) inform his/her line manager, and (b) record the transaction in the relevant local Gifts and Hospitality register. This may be done at group level where appropriate. Where the exchange of gifts/hospitality is a regular occurrence between two parties, staff may choose to register all exchanges for the sake of transparency. If in doubt, staff are advised to make a declaration.

7. All gifts/hospitality which are declined as counter to University policy must also be recorded, regardless of value.

8. Staff are responsible for submitting complete and accurate information to the relevant register in a timely fashion. It is entirely acceptable for individuals to keep modest items such pens, keyrings or food/drink for personal use. Symbolic corporate gifts such as ornamental items should be retained by the University (for example, to display within the relevant department) and their location noted in the relevant gift/hospitality register.

1. Implementation of this Policy is supported by:

• Procedures for declaration of interests
• Managing conflicts of interest: generic procedure
• Gifts and hospitality: supporting guidance
• Annual declaration of interests and managing conflicts of interest: a guide for University-level committee secretaries
• Principles and procedures for offering, accepting and recording gifts and hospitality: briefing for Council members

2. This Policy should be read in conjunction with the following policies and procedures:

• Financial Regulations
• Travel and Expenses Policy
• Anti-Bribery Policy
• Policy on Personal Relationships
• Recruitment Policy
• Code of practice and principles for good ethical governance 
• Policy on work with outside bodies by members of University staff
• Policy on assessment, examiners, marking and feedback
• Policy and process for the appointment of examiners for research degrees
• Recruitment of external assessors for new taught programme proposals

Implementation

Heads of Department are responsible for: 

a. Bringing this Policy to the attention of new staff/staff appointed to new roles, and to the whole Department on an annual basis as prompted by the Governance & Assurance Office;

b. Ensuring that the Policy is implemented within their Department;

c. Promoting a culture of reflection and declaration.

Records Management

1. The University’s central Register of Interests and any records relating to handling of conflicts of interest may only be accessed in pursuit of legitimate University business, as determined by the University Secretary, and in line with data protection law and policy. Senior managers and/or their authorised representatives, and University Committee chairs/secretaries may request sight of any returns from their area to the central Register of Interests, in order to monitor compliance and/or manage potential conflicts of interest from the outset. 
2. Gift/Hospitality Registers must be available internally for inspection in pursuit of legitimate University business, as determined by the University Secretary, and in line with data protection law and policy. Any external sharing of data from Registers must be approved by the University Secretary, with reference to any relevant exemptions.
3. All records relating to this policy must be retained for six years following the end of the relevant academic year.

Policy Review

This Policy and the associated Procedures will be reviewed every five years after it comes into effect, or earlier should the Policy Owner and Policy Manager decide that this is necessary.

1. If a member of the University has concerns relating to a potential breach of this Policy, these can be raised in the first instance with the line manager for the individual/activity in question. Advice may be sought from the Governance & Assurance Office. 
2. Any concerns regarding independent members of Council and its sub-committees, including the Chair, should be reported directly to the University Secretary for discussion with the senior independent member of Council, or in the case of any concerns regarding the latter, discussion with the Chair of Council.
3. Concerns can also be raised via the University’s Speak Up (Public Interest Disclosure) policy.
4. Cases which involve potential financial misconduct must be referred to the Finance Director immediately. 
5. Cases with potential implications for research integrity must be referred to the Head of Policy, Integrity and Performance. 
6. Where individuals are not formally employed by the University and are found in serious and/or repeated breach of this policy, the University will consider the need to terminate the association.