Conflict of Interest Policy

A conflict of interest occurs when the personal interests of individual members of the Trinity community conflict with the interests of Trinity, conflict with their responsibility to act in the best interests of Trinity, and/or put into question the independence, impartiality and objectiveness that they are obliged to exercise in the performance of their duties.

For the purposes of this policy, “Conflict(s) of Interest” is defined as and includes the following types of conflict:

• (i) An “actual conflict of interest” emerges when an individual has personal interests which:
  • conflict with the interests of Trinity;
  • conflict with their responsibility to act in the best interests of Trinity;
  • put into question the independence, impartiality and objectiveness that they are obliged to exercise in the performance of their duties.
• (ii) A “perceived conflict of interest” may arise when an individual appears to have, in the opinion of a fair-minded and well-advised person, personal interests that are sufficient to put into question the independence, impartiality and objectiveness that they are obliged to exercise in the performance of their duties.
• (iii) A “potential conflict of interest” describes a situation that could develop into an actual or perceived conflict of interest.

 See section 5.1 of the Policy.

“Personal interests” may include (but are not limited to):

• (i) The performance of financial or other economic investments, including occupational income, shares, directorships, etc.
• (ii) Personal or family ambition, wealth or status gain.
• (iii) The achievement or realisation of particular political, academic, economic or social objectives.

The personal interests could be direct or indirect and include the interest of a Connected Person.

See section 5.3 of the Policy.

A Connected Person includes:

• an individual’s child, stepchild, parent, grandchild, grandparent, or sibling.
• an individual’s spouse/civil partner or the spouse/civil partner of any person listed above.
• a person carrying on business in partnership with them or with any person listed above.
• an institution which is controlled by them or by any person listed above.
• a body corporate in which they or any person, listed in any of the first 3 points above, has a substantial interest.
• any person included within the definition of Connected Person as set out in Section 220 of the Companies Act 2014 and the Ethics in Public Office Acts 1995 and 2001.

See section 5.2 of the Policy.

Conflicts of interest can and do arise from time to time within universities. The problem is not if conflicts of interest arise, but is if they are not managed appropriately. Failing to effectively manage conflicts of interest can negatively impact the University in terms of governance and associated reputational risk, where a conflict interferes with an individual’s actual or perceived ability to comply with their duty to act in the best interests of Trinity.

A key test to identify if a conflict of interest exists is to ask yourself the question:

Would a reasonable person, who was aware of your private, personal or commercial interest, believe that your interest is likely to interfere, or appear to interfere, with the objective judgement that you should show when performing your University duties? Would a reasonable person think that your private, personal or commercial interest, or those of a Connected Person, could conflict or appear to conflict with your University duties?

See section 6.1 of the Policy for examples of conflicts of interest that may arise.

The Conflict of Interest Policy applies to:

1. All Trinity employees, whether full-time or part-time, permanent or temporary;
2. All employees of Trinity’s wholly owned subsidiary companies;
3. Non-University employees who use Trinity funds, facilities or other resources, including Trinity’s name and reputation, to carry out teaching and/or research, and/or participate in Trinity-administered research, including retired employees, visiting faculty and researchers; consultants, suppliers, affiliated hospital staff, industrial personnel and research fellows, regardless of obligations to other companies or institutions;
4. All persons conducting teaching and/or research at or under the auspices of Trinity, including visiting faculty and researchers; consultants; suppliers; Emeritus or adjunct appointments; and research fellows;
5. Students involved in teaching and assessment.
6. All members of Trinity’s decision-making bodies and committees, including student and external members.

Trinity expects all third parties with which there is engagement in transactions or possible transactions with Trinity to adhere to the principles outlined in this policy.

See section 3 for further details.

No. Conflict of interest provisions as they relate to members of the Board and its Principal Committees are set out in The 2010 Consolidated Statutes of Trinity College Dublin and of the University of Dublin and in the Code of Conduct of Members of the Board and of Principal Committees of Board. These provisions are informed by principles and provisions contained within the Code of Practice for the Governance of State Bodies 2016 and by national legislation and are outside the scope of this policy.

See section 3 for further details.

If you think you have identified an actual, perceived or potential conflict of interest, you must disclose it to your line manager, in writing, by completing the Declaration of Interest Form, Part A. This form may be downloaded from the Conflict of Interest Webpage at: https://www.tcd.ie/about/policies/university-policies/conflict-of-interest-policy/. It is also in Appendix 1 to the Policy.

See section 6.2 and Appendix 1 of the Policy for further details.

The best thing to do is to make the declaration of a potential conflict of interest and this can then be reviewed by your line manager to determine if there is any conflict that needs to be managed.

The declaration form may be downloaded from the Conflict of Interest Webpage at: https://www.tcd.ie/about/policies/university-policies/conflict-of-interest-policy/. It is also in Appendix 1 to the Policy.

See section 6.2 and Appendix 1 of the Policy for further details.

In cases where the conflict of interest relates to University activities outside the control of your line manager, the conflict must be disclosed to the person responsible for those activities (such as the chair of a committee, Head of Unit, Head of School, etc).

If you don’t know who is responsible for the activity outside the control of your line manager, you should make the declaration to your line manager.

See section 6.2 of the Policy for further details.

You and your line manager should make a shared declaration of interest to the person with authority over your line manager, e.g., Head of Discipline, School, Trinity Research Institute (TRI) or Unit, the appropriate College Officer, such as the Faculty Dean, Chief Innovation and Enterprise Officer, or Dean of Research, or Head of Division (Vice-Provost/Chief Academic Officer, Chief Financial Officer, or Chief Operating Officer) or in the case of the Provost’s Directorate or if the Provost is implicated, the Secretary to the College/Director of Governance.

See section 6.2 of the Policy for further details.

In the case of a supplier for goods or services, the declaration of interest will be made to the relevant contract liaison person/Financial Services Division contact.

See section 6.2 of the Policy for further details.

When a conflict of interest relates to a committee or working group, the declaration of interest will be made to the chair and secretary of that committee or working group.

See section 6.2.6 of the Policy for further details.

In instances where the conflict of interest relates to consultancy, the declaration will be made to Trinity Innovation and Enterprise.

See section 6.2.1 of the Policy for further details.

In instances where the conflict of interest relates to Intellectual Property, Trinity Innovation and Enterprise must be notified.

See section 6.2.2 of the Policy for further details.

When a conflict of interest relates to research funding applications or research activity, the declaration will be made to Trinity Research.

See section 6.2.3 of the Policy for further information.

When a conflict of interest relates to tender processes, the declaration will be made to the Trinity Procurement Office.

See section 6.2.4 for further details.

When a conflict of interest relates to the setup of a new supplier, the declaration will be made to the Head of Discipline/School/Unit/TRI, supported by the Trinity Procurement Office.

See section 6.2.5 for further details.

You should make a Declaration of Interest through the general Declaration of Interest procedure, i.e., completing Part A of the Declaration of Interest Form and submitting it to your line manager.

See section 6.2 of the Policy.

The declaration process is one of self-declaration. It is the responsibility of each individual to declare any actual, perceived or potential conflict of interest.

Trinity acknowledges that, in general, individuals will recognise conflicts of interest and will want to ensure that there can be no perception of their receiving an inappropriate advantage and that they are personally beyond reproach.

Individuals who fail to disclose a conflict of interest will be in breach of this policy and this may result in Trinity’s disciplinary procedures (or equivalent) being activated.

See sections 6 and 7 of the Policy.

Yes. Failure to disclose a conflict of interest, or to appropriately refrain from the related activities until the management of the conflict has been resolved, constitutes a breach of this policy and may result in Trinity’s disciplinary procedures (or equivalent) being activated.

See section 7 of the Policy for details.

Yes. You may raise an appeal to the proposed management of the conflict through the University’s Grievance Procedure or other such University procedure as is applicable and available to you.

Where an appeal is raised, any action may be suspended until the outcome of the Grievance Procedure or other such available University procedure is determined. Individuals must desist from engaging in the related activity pending the outcome of the Grievance Procedure or other such University procedure. Failure to do so may constitute a breach of this Policy.

See section 6.3.2.1 of the Policy.

As the person receiving the written declaration of a conflict of interest, you will be the Reviewer of the declaration. On receipt of a written disclosure of a conflict of interest (as a completed Part A of the Declaration of Interest Form), as Reviewer you will take the following steps:

1. Arrange to discuss the issue with the individual(s) who has made the disclosure as soon as is reasonably practicable.
2. If necessary, consult on the issue with other relevant employee(s) at a level of seniority and expertise appropriate to address the issue (e.g. Head of Discipline/School/TRI/Unit, College Officer, etc.).
3. Having discussed the issue with the individual(s) who has made the disclosure and consulted appropriately, determine if a conflict of interest exists.
4. Having taken the steps in (i) to (iii) above, if it is determined that a conflict of interest does not exist, notify the individual accordingly and record the decision on Part B of the Declaration of Interest Form. When completed, Part B of the form should be signed by you as Reviewer and countersigned by the Head of School/TRI/Unit/College Officer as appropriate, and a copy provided to the individual, see section 6.4 of the Policy for further details.
5. Having taken the steps in (i) to (iii) above, if it is determined that a conflict of interest does exist, action will be taken to manage the conflict as set out in section 6.3.2 of the Policy and the individual should be notified accordingly and the decision recorded on Part B of the Declaration of Interest Form.

When completed, Part B of the form should be signed by you as Reviewer and countersigned by the Head of School/TRI/Unit/College Officer as appropriate, and a copy provided to the individual, see section 6.4 for further details. The individual will sign the form to indicate agreement with and acknowledgement of the decision.

See sections 6.3 and 6.4.1 of the Policy for further details.

No, you do not need to fill out the Declaration of Interest form if the actual, perceived or potential conflict of interest is relevant to the agenda items under consideration by the committee or working group. You must declare this conflict of interest, where possible in advance of the meeting, to the chair and secretary of the committee or working group. The chair and secretary will agree on an appropriate means of managing the conflict identified.

See section 6.2.6 of the policy.

The chair and secretary should agree on an appropriate mans of managing the conflict identified, such as asking the member to absent themselves from the meeting when the item is discussed so that they are not part of the decision-making process in relation to that item. The actual, perceived or potential conflict of interest must be recorded in the minutes, including the agreed approach to the management of the conflict. Where it is agreed that no action needs to be taken, this should also be recorded in the minutes.

See section 6.2.6 of the policy.

Annually in October, each School/TRI/Unit in which declarations of interest have been submitted during the preceding financial year (1 October to 30 September) will produce a summary report, using the template provided in Appendix 2 to the Policy and available to download from https://www.tcd.ie/about/policies/university-policies/conflict-of-interest-policy/, listing all Declarations of Interest submitted during that calendar year and summarising how actual conflicts of interest identified were managed.

Summary reports will be submitted to the Secretary to the College/Director of Governance at secretary@tcd.ie who will prepare a high-level summary of all recorded conflicts of interest and the management mechanisms put in place which will be presented annually to the Risk and Compliance Committee and to the Board in December for the preceding financial year, for noting and approving.

See section 6.4.2 of the Policy and Appendix 2.

Yes. The Secretary’s Office will be happy to provide support and to answer any questions you have. Please email secretary@tcd.ie and we will respond to your query.

Questions relating to any of the below should be directed to the appropriate area.

¹Conflict of interest provisions as they relate to members of the Board and its Principal Committees are set out in the Code of Conduct of Members of the Board and of Principal Committees of Board.