FAQ for Heads of Institutions and Departmental Administrators
Q. Why does the University have a Conflict of Interest Policy?
The mission of the University of Cambridge is to contribute to society through the pursuit of education, learning and research at the highest international levels of excellence. Accordingly, many staff of the University are actively engaged in external activities, both within the UK and overseas. These activities may for example include: providing expert advice and media commentary; serving on the boards of public and private sector organisations; partnerships with business, charitable foundations, and healthcare; collaborative research and development; consultancy work; spin-out companies; and outreach work. Alternatively, someone with a close personal connection to a member of staff may have such associations. In addition, many staff - or those with a close personal connection to them - will also be affiliated to, and owe duties to, one or more of the Colleges within the collegiate University.
Because of these activities, most staff will almost certainly encounter situations during their careers when personal interests could reasonably be perceived as affecting, or having the potential to affect, their ability to make impartial decisions on the University’s behalf. This does not imply improper conduct or lack of integrity. What is important is that all such conflicts are disclosed, reviewed and (if necessary) managed in order to avoid the risk of decisions being, or appearing to be, improperly influenced and to prevent damage to the reputation of the individual or the University.
The aims of the University’s Conflict of Interest Policy are to:
- enable staff, plus student and external committee members, to recognise where their personal interests conflict with, or may reasonably be perceived to conflict with, their University duties (see Section C);
- communicate the expectations for declaring and recording such conflicts (see Section D); and
- set out the processes for managing conflicts of interest in order to ensure that business decisions are made objectively and in the best interests of the University (see Section E).
Most organisations have policies on disclosing and managing conflicts of interest: this Policy is consistent with those of other UK universities. It does not differentiate between conflicts that arise from domestic or oversees interests.
Q. Who does this Policy apply to?
Section B of the Policy states that the Policy applies to all those working within the University at all levels (whether paid or unpaid), as well as to student and external members of University committees or equivalent bodies. All individuals who fit the above definition are encouraged to read the Policy and the relevant FAQs.
Q. What are the main features of the Policy?
The Policy distinguishes between two types of disclosures, which are recorded in two different types of register:
- Heads of Institutions, plus members and regular attendees of the University’s principal, central, decision-making bodies, are required to declare any interests which constitute existing or potential conflicts with their University duties annually via an online declaration of interests form. The form is administered by the Governance and Compliance Division and the declarations are recorded in Committee or School-based registers of interests;
- all other members of staff only need to disclose conflicts of interest with their University duties when they first arise or become known, including when it is recognised that a conflict might reasonably be perceived. These conflicts are recorded in the institution's register of conflicts of interests.
‘Declarations of interest’ is a standing item at the beginning of every committee meeting, so that members can declare any conflicts of interest in relation to that specific agenda. Both the declarations and any mitigating actions should be minuted.
This approach recognises that for the large majority of members of staff at the University it is sufficient to declare conflicts of interests with their University duties when they arise. The approach also reduces the administrative burden on institutions.
Q. What are institutions asked to do?
Faculties, Departments and other institutions are asked to implement the Policy by:
- bringing it to the attention of all staff, plus student and external members of their institution’s committees;
- advising how individuals should declare any conflicts of interests with their University duties (for example, by email to the Head of the Institution or via a webform) and reminding them on an annual basis to declare any new conflicts or significant changes to previously declared conflicts;
- ensuring that an up-to-date register of conflicts of interests and associated mitigating actions is maintained for their institution;
- determining, in liaison with the declarer, how to manage each conflict within their local context;
- recording the agreed actions in the register and confirming the outcome in writing to the declarer;
- undertaking an annual review of actions for previously declared conflicts to ensure they remain relevant; and
- checking that ‘Declarations of Interest’ is a standing item on the agendas of the institution's committees, and that any declarations and mitigating actions are minuted.
See the flow chart below for an outline of the process.
Q. Who should I consider when deciding how to manage each disclosure?
Section E of the Policy sets out some possible ways of managing conflicts of interest. These range from a simple record of the declaration, through more active management plans to (in extreme cases) avoidance of the conflict. In some cases it may be sufficient to simply note the disclosure in the institution’s register as you judge that no further action is required. Please note that the Head of Institution has discretion to implement other solutions that are compatible with the principles in Section E.
In deciding on the most appropriate management plan for each disclosure you may like to consider:
- whether the activity is in the interests of the University?
- is the activity potentially detrimental to the University, either financially or reputationally?
- how potentially material is the conflict?
- is there any gain, financial or otherwise, to the individual or to any of their close personal connections?
- can the activity be kept separate from the individual’s University duties?
- is the conflict straightforward to manage?
Q. How should actions be recorded and communicated to the individuals concerned?
In accordance with Section E of the Policy, the Head of the Institution (or their delegate) should: decide on the course of action for each declared conflict, confirm this to the declarer in writing, and record it in the institution’s register of conflicts of interests (see the template in Appendix 2).
The institution’s register of conflicts of interests should be stored securely, with access restricted to those who have a legitimate reason to use it. It should be treated confidentially insofar as the law permits.
The retention period for declarations in the central declaration of interests system is now ten years: institutions may wish to set the same retention period for their registers. Wider statements about the uses made of the personal data of staff, students and others are published at https://www.information-compliance.admin.cam.ac.uk/data-protection.
Q. Are institutions expected to publish their register of conflicts of interests?
There is no expectation that institutions should publish their registers of conflicts of interest. However, some institutions choose to publish all their conflicts of interest (at a high level) online on their group leaders’ web pages.
Q. Do interests that are declared at meetings need to be recorded in the institution’s register of conflicts of interests?
Interests and mitigating actions that are declared at committee meetings can just be recorded in the minutes if the conflict relates to a particular item and is unlikely to recur. However, if the Chair thinks that the interest represents a standing conflict of interests they should recommend that it also be included in the institution's register of interests.
Q. Is there a template for letting staff know about the Conflict of Interest Policy?
You are welcome to use or adapt the following wording when emailing staff about the Conflict of Interest Policy:
I am writing with a reminder of what we need to do to comply with the University-wide Conflict of Interest Policy. Most of us will encounter situations during our careers when personal interests could affect, or could reasonably be perceived as affecting, our ability to make impartial decisions on the University’s behalf. This does not imply improper conduct or lack of integrity. What is important is that all conflicts arising from such interests are disclosed, reviewed and (if necessary) managed in order to avoid the risk of decisions being, or appearing to be, improperly influenced and to prevent damage to the reputation of the individual or the University.
If you have not already done so, please familiarise yourself with the Policy and the FAQ for members of institutions. Please let me know by email [or however the Head of Institution prefers staff to disclose conflicts] at the earliest opportunity if any conflicts of interest arise with your duties to the University (including when you recognise that a conflict might reasonably be perceived). We can then agree what actions (if any) are necessary to manage each conflict. We will record both the conflict and the mitigating action in [the institution/department's] register of conflicts of interest. Please also let me know if there have been any material changes to previously declared conflicts.
New starters are asked to read the Conflict of Interest Policy as part of the induction checklist. If you have any new starters in your team throughout the year please convey the above information to them.