Code of conduct for managing conflicts of interest

1.0  INTRODUCTION

Birkbeck values the importance of staff engaging in diverse commercial and public activities which benefit the College and further the academic interests of staff. Such activities should in no way conflict with the interests and obligations of the College.

Birkbeck also recognises that personal relationships may exist or develop within the College. The College values and relies upon the professionalism and integrity of its staff and students; should an employee conduct such a relationship, his/her behaviour must be appropriate. For managing conflicts of interest in relation to personal relationships, please see Relationships at Work policy.

2.0 SCOPE

The Code of Conduct applies to all staff. Although this document does not provide an exhaustive list of activities that sit within the boundaries of the Code, it does however outline the main areas of activity within the College where a conflict of interest (see section 4 Guidance for a detailed definition) may arise, other than personal relationships which are addressed under the Relationships at Work policy.

3.0 PROCEDURE

3.1  DISCLOSURE OF INTEREST

In accordance with section 3.6 of Birkbeck’s Financial Regulations, any member of staff who becomes aware of any personal, financial or other beneficial interest resulting from an interaction or transaction carried out on behalf of the College, must at the earliest opportunity, disclose the information, stating the nature of the interest to the College Secretary or Director of Finance. In the event that an employee has an interest in a business which may trade or supply services to the College, he/she must declare the interest to the College Secretary or Director of Finance.

3.2 MANAGING CONFLICTS OF INTEREST

All employees must avoid any action, which may lead to a potential or actual conflict of interest. There are four areas where this particularly applies under this code:

3.2.1 Research, contracts and other services (including academics engaged in external private-led consultancy work)

The College recognises and supports work with external agencies (such as charities, commercial companies or organisations). In bidding for or negotiating external contracts and grants, staff members must declare any personal or financial link with the external agency.

Birkbeck also acknowledges the value of consultancy work whether college or private-led where there are clear protocols and guidance in place to formally manage the process. Conflicts of interest should be addressed at the earliest opportunity to ensure that fair and transparent decisions are taken.

Academic staff must first seek the permission of their Executive Dean (or nominee) prior to engaging in external private-led consultancy work so that the work can be assessed alongside existing college commitments. Academic staff must provide notification of any changes/issues which emerge during the completion of a project/contract which may give rise to a conflict of interest.

3.2.2 Fraud, bribery and corruption

In accordance with the UK Bribery Act 2010, employees or those engaged to work on behalf of Birkbeck must not accept/make: inducements, direct or indirect monetary rewards for engaging in or refraining from a particular activity or engage in a corrupt act by showing favour or disfavour whilst managing a contract where he/she is carrying out an official role on behalf of the College. Individuals can face up to 10 years' imprisonment if convicted of carrying out a bribe or a corrupt act. The College may also be liable for unlimited fines, exclusion from tendering for public contracts and face damages to its reputation if it is found to have engaged in any form of corruption.

3.2.3 Procurement

It is the responsibility of the employee to identify and formally disclose any actual, potential or perceived instance of a conflict of interest. A conflict of interest may occur when employees who undertake procurement on behalf of the College are influenced or appear to be influenced by a personal or private interest that could lead to the individual gaining a personal advantage or avoiding a personal disadvantage. Therefore, employees in a position to recommend/short-list contractors, initiate or place orders or award contracts, must declare a personal interest in a supplier, in writing to the Director of Finance.

3.2.4 Inducements, hospitality and gifts

Birkbeck acknowledges that hospitality and gifts may be offered to staff from suppliers, potential suppliers and other sources. Birkbeck’s Financial Regulations state that ‘under no circumstances may inducements, monetary or otherwise, be accepted from suppliers or potential suppliers (or their agents). Any offer of such inducements should be reported to the College Secretary without delay.’ If an employee is uncertain as to when it is appropriate to accept an offer of a gift, hospitality, political or charitable donation, the offer should be declined or consent should be sought from the College Secretary (see Birkbeck Financial Regulations for further details).

Staff who breach or do not adhere to the provisions outlined in this Code of Conduct, particularly if they are engaged in the procurement or management of goods, services and/or contracts (as outlined in section 3.2.2, 3.2.3 and 3.2.4) may face disciplinary action (see Disciplinary and dismissal procedure), depending on the level of seriousness and nature of the issue. Staff need to be aware that an act of accepting gifts from students might be construed as an inducement to provide favourable treatment.

3.3 REGISTERING CONFLICTS OF INTEREST

Staff engaged in any activity with a potential, perceived or actual conflict of interest are advised to contact HR for assistance in assessing the risk and identifying an appropriate course of action.

Academics should declare their private-led consultancy work to their Executive Dean (or nominee) and other relevant parties and identify any potential and/or actual conflicts of interest. The Birkbeck Financial Regulations and Code of practice on academic staff engaged in private-led consultancy work highlight the need to disclose any significant issues that might constitute a conflict of interest at the point of approval. This initial disclosure and any on-going disclosure must provide sufficient information to enable the College to make an accurate and objective evaluation of the potential risk. 

The College encourages staff to raise matters of concern responsibly if they have reasonable grounds for believing there is serious malpractice, illegal or dishonest behaviour. Where appropriate, staff should use the relevant college policy, such as the Public interest disclosure (whistleblowing) policy, to raise concerns.

Where the College owns the intellectual property or other property involved in a commercial venture, the academic must seek advice from the Research Office, and agreement must be reached with the Executive Dean before work begins.

Executive Deans (or nominees) in faculties and the Directors of Professional Services should ensure that line managers take the necessary steps to ensure that members of staff are aware of and where applicable, implement the provisions in this Code of Conduct. Executive Deans must also ensure that all conflicts and potential conflicts of interests are correctly identified and declared and entered in the College register, where appropriate.

3.4 MONITORING COMPLIANCE

Employees should take reasonable steps to identify or prevent risks associated with managing conflicts of interest. All records and documents relating to transactions with third parties such as suppliers, clients and business associates should be scrutinised to identify risks and ensure their accuracy and compliance with current regulations.

It is the responsibility of the College Secretary or Director of Finance to ensure that a record of declared interests is maintained and reported to the Governors on an annual basis.

4.0 GUIDANCE

Employees and line managers may seek guidance on the implementation of this policy on a confidential basis from the Principal HR Business Partner.

4.1 DEFINITIONS

In the scope of this policy, a relationship refers to a business/commercial/financial relationship.

For the purposes of this Code of Conduct a conflict of interest arises where the interests (personal or private) of an employee or individual operating on behalf of the College conflicts with the best interests or poses a significant risk to the best interests of the College.

Birkbeck reserves the right to review, revise, amend or replace the content of this Code and/or introduce new codes from time to time, subject to good practice principles of consultation where applicable, to reflect the changing needs of the College and to comply with legislation.

5.0 RESPONSIBILITIES

The following have responsibilities under this policy:

Date of last review: July 2025