Conflict Management Plan: guidance

Learn how to develop, implement and review a Conflict Management Plan (CMP) to reduce, mitigate or remove an actual, potential or perceived conflict of interest.

Contents

• 1. Introduction
• 2. When to create a Conflict Management Plan
• 3. Creating a CMP 
  • 3.1. First steps
  • 3.2. Describing the interest and current situation
  • 3.3. Developing mitigating steps
  • 3.4. Agreeing and uploading the CMP
• 4. Implementing and reviewing a CMP
• 5. Questions and contacts

1. Introduction

Broadly speaking, a conflict of interest can occur when UCL staff members or PhD students are in a position where their personal interests, personal relationships or duties to others compete (or could be seen to compete) with their obligations to UCL (section 4.1, UCL Disclosure of Conflict and Declaration of Interest Policy).

Find out more about the policy around conflicts of interest.

A conflict of interest doesn’t imply improper conduct or a lack of integrity. It’s essential, however, that conflicts are properly managed. Conflict Management Plans play an essential role here by reducing, mitigating, or removing a conflict of interest. 

Our online training on Disclosing and managing conflicts of interest at UCL can help you understand conflicts of interest at UCL.

Aims of this guidance 

This guide is designed to help staff and students understand, develop, implement and review Conflict Management Plans (CMPs). It’s not exhaustive and does not constitute policy in and of itself. It’s not intended to (and does not) limit, extend, amend or otherwise vary the position set out in the UCL Disclosure of Conflict and Declaration of Interest Policy.

This guide supports UCL’s general Conflict Management Plan template (Word). However, as each conflict of interest is unique so each CMP must be appropriate to the situation under review. The examples detailed below are for guidance only.

2. When to create a Conflict Management Plan

As soon as an actual, potential or perceived conflict of interest arises, the relevant staff member or student must immediately disclose it on UCL’s ‘Manage Conflicts and Declare Interests’ system (section 6.1, UCL Disclosure of Conflict and Declaration of Interest Policy).

Read our guide to accessing and using the system.

When the person with the external interest (the Discloser) discloses this, the system will route it to their Head of Department or equivalent (the Reviewer).

For any disclosed interests that Reviewers identify as conflicts (actual, potential or perceived), the system requires the Discloser and Reviewer to develop and upload a CMP.

For some perceived and potential conflicts, such a plan can consist of an overview of the situation and a commitment to monitor the conflict and inform the Reviewer if circumstances change. However, a more detailed CMP is required for some perceived and potential conflicts and for all actual conflicts.

By reducing, mitigating or removing a conflict, a CMP aims to protect the integrity and reputation of:

• the conflicted individual
• other staff members and students
• individual departments at UCL
• UCL as a whole
• external partners of UCL

If a Discloser has more than one conflict of interest, they should make a separate disclosure for each conflict and a separate CMP will be needed for each.

3. Creating a CMP

3.1. First steps

When developing a Conflict Management Plan (CMP), the Reviewer and Discloser should meet to discuss and agree how the conflict should be managed.

This discussion can be based on UCL’s general Conflict Management Plan template (Word).

The first section of the CMP template involves recording the details of both the Discloser and Reviewer. It also includes the Discloser and Reviewer setting out the period that the CMP will be active and agreeing the dates that they will review the plan (these dates should be recorded in the system when the Reviewer uploads the agreed plan).

A CMP must last for as long as the conflict of interest it seeks to manage. Active CMPs must also be formally reviewed on a regular basis. As a minimum recommendation, a plan should either be reviewed once a year or at the halfway point of the conflict, whichever represents the shortest period.

3.2. Describing the interest and current situation

The second section of the CMP template involves the Discloser and Reviewer describing both the situation causing the conflict and the relationship of the conflict to UCL.

It’s good practice for the Discloser to complete an initial draft of this section in advance of the meeting with the Reviewer as this helps to frame the wider CMP discussion.

When describing the situation causing the conflict, you should include as many details as possible because a CMP should form a stand-alone document containing all relevant information.

When describing the anticipated relationship of the conflict to the university, you should consider how it could affect:

• students (e.g. if a Discloser acts as a supervisor for a PhD student who is undertaking research for a company in which the Discloser or a family member have an interest)
• staff (e.g. if a Discloser asks a member of UCL staff to contribute to a project they or a family member lead or participate in at an external organisation)
• bids and grants (e.g. if a Discloser is involved in writing or advising on competing bids from UCL and another university for grants or funding)
• intellectual property (e.g. if a Discloser is developing intellectual property for an external company that is based on UCL’s background IP)
• research integrity (e.g. if a Discloser peer reviews work that has been developed in collaboration with a company in which they or a family member have an interest)
• contracts and procurement (e.g. if a Discloser is negotiating a commercial contract for UCL when they have a personal relationship – family, friend, or colleague – with someone in the company bidding for the contract)  
• resources and infrastructure (e.g. if a Discloser uses UCL’s laboratory equipment, IT infrastructure, or other resources to benefit an external company in which they have an interest)
• commitments to UCL (e.g. if a Discloser attends meetings for an external organisation that may prevent them, or may be perceived as preventing them, meeting their commitments to UCL).

There are some areas you should consider which are not directly covered by the Declaration of Interest and Disclosure of Conflict policy. These need to be addressed through their own processes but could still be mentioned in a CMP if relevant. They include:

• branding and promotion (e.g. the use of UCL’s logo to promote an external interest). This is covered by UCL Brand Usage Terms and Conditions.
• close personal relationships with people within UCL (e.g. two family members working in the same department). This is covered by UCL's Personal Relationship Policy, and should be declared through the routes laid out in that policy. 

3.3. Developing mitigating steps

The third section of the CMP template involves the Discloser and Reviewer discussing and recording the steps they will put in place to mitigate any identified conflict.

If there’s an actual conflict of interest, the Discloser will need to stand aside from taking any decisions on matters around the conflict (aside from developing and implementing a CMP) and must not unduly influence those making such decisions (Section 7.1 UCL Disclosure of Conflict and Declaration of Interest Policy).

Where the conflict is identified as a potential or perceived conflict, is there anything that should be monitored within this plan that could trigger an early review? If so, what’s the required action of the Discloser?

Some steps that are commonly considered to manage conflicts of interest include the Discloser being asked to: 

• remove themselves from decision-making where there’s potential for conflict (e.g. decisions about the award of studentships, purchasing on behalf of UCL, or pricing and charges for the use of UCL facilities). 
• exclude themselves from receiving documents or other information on matters relating to the conflict (e.g. correspondence about the progress of contract negotiations). 
• remove themselves from discussions of certain matters where there is a potential for conflict (e.g. competitive research bids if the Discloser is involved in two competing bids from UCL and another university). 
• resolve not to act as a supervisor to students or a line manager to staff (e.g. where a student works for an external company the Discloser’s involved with).
• refer certain matters for decision to other colleagues (e.g. pricing for the use of UCL facilities or equipment for a spinout company the Discloser’s involved with).  
• identify colleagues within the department or faculty who can provide alternative support (e.g. identifying a colleague who can provide an alterative route for appraisals). 
• ensure that UCL intellectual property is protected (e.g. removing themselves from negotiations about the licencing of UCL IP to an external company the Discloser’s involved with). 
• declare the conflict to a sponsor or third party (e.g. funding applications for a project that has been developed with an external company the Discloser's involved with).     
• publish a notice of interest. Many journals and funding bodies require a notice of interest where it relates to their interaction with academics who have a conflict, often providing templates of their own. 
• inform staff and students they are working with about the conflict and the mitigation measures in place. The level of detail provided could vary depending on the circumstances but should be confirmed in writing, for example in an email.

Where UCL has a collaboration agreement in place that deals with the management of conflicts at the other organisation as well as UCL, this agreement can be taken into account when developing mitigating steps.

The examples below cover a range of possible conflicts of interest. In each case they detail a variety of steps that could be put in place to manage the perceived, potential and actual conflict.

It’s important to note that there’s no such thing as a ‘standard CMP’: each plan needs to be appropriate to the situation under review. 

Example 1: family relationship with a service provider

In this example, the partner of a UCL staff member is employed by a company (Example Company 1) bidding for a contract to supply UCL. The UCL staff member (the Discloser) has responsibility for aspects of procurement.

Some mitigating steps that could be considered for managing the conflict of interest include the Discloser:

• removing themselves from any procurement process that could result in a commercial contract between UCL and Example Company 1 on behalf of UCL
• not promoting Example Company 1 with UCL individuals who could influence the award of commercial contracts at UCL
• not accessing or disclosing privileged information (e.g. correspondence concerning the procurement process) about UCL to Example Company 1
• informing relevant UCL colleagues and students about the conflict and the mitigation measures in place
• identifying colleagues within the department or faculty who can provide alternative support
• developing a new Conflict Management Plan if the circumstances of the conflict change

Detailed CMP clauses for example 1

These are some example clauses that may be appropriate in the context of example 1.

This plan reflects the conflict management strategy agreed between the Discloser (‘you’) and the Reviewer.

1. You will remove yourself from any procurement process that could result in a commercial contract between UCL or its subsidiaries and Example Company 1 on behalf of UCL or its subsidiaries.
1.1 This extends to negotiations about any other matter between UCL or its subsidiaries and Example Company 1.

2. You will not promote or seek to favour Example Company 1 with UCL individuals who are in a position to influence the award of commercial contracts at UCL or its subsidiaries.

3.You will not access or disclose privileged information about UCL or its subsidiaries to Example Company 1 or to employees, directors or major shareholders of Example Company 1.
3.1. This extends to any third party that may benefit Example Company 1.

4. You will disclose the nature of the conflict to all relevant UCL colleagues and students, along with the mitigation measures in place at UCL and Example Company 1.
[You may wish to include a list of identified people at this point. This step may also include developing a simple communications plan.]
4.1 You will disclose the nature of the conflict to any other relevant party, along with the mitigation measures in place.

5. You will immediately inform the Reviewer if the circumstances of the conflict change.
5.1. This will trigger an immediate review of the Conflict Management Plan

Example 2: employment at an external company and consultancy work

Employment at an external company

In this example, a member of UCL staff (the Discloser) holds the position of non-executive director at an external company (Example Company 2). They provide strategic advice to the company about emerging technologies in their specialist field and receive a salary for their work.

Some mitigating steps that could be considered for managing the conflict of interest include the Discloser:

• not disclosing UCL intellectual property to Example Company 2 unless this has been agreed through a formal negotiation
• only using Example Department infrastructure (e.g. laboratory equipment, IT infrastructure, and desk space) for Example Company 2’s operations when this has been agreed in advance with the Head of Department and/or UCL Estates
• removing themselves from any procurement process that could result in a commercial contract between UCL and Example Company 2 on behalf of UCL
• not accessing or disclosing privileged information about UCL to Example Company 2
• only publishing academic material pertaining to Example Company 2’s area of activity when the conflict has been disclosed to the editor of the publication
• only reviewing manuscripts pertaining to Example Company 2’s area of activity when the conflict has been disclosed to the editor of the publication
• disclosing the conflict to the funder of any bids or grants pertaining to Example Company 2’s area of activity
• informing relevant UCL colleagues and students about the conflict and the mitigation measures in place
• publishing a notice of interest
• agreeing hours of work at Example Company 2 with the Head of Department (see below for more information on Consultancy)
• identifying colleagues within the department or faculty who can provide alternative support
• developing a new Conflict Management Plan if the circumstances of the conflict change

Detailed CMP clauses for example 2

These are some example clauses that may be appropriate in the context of example 2.

This plan reflects the conflict management strategy agreed between the Discloser (‘you’) and the Reviewer.

1. You will not disclose UCL intellectual property to Example Company 2 or to employees, directors or major shareholders unless this has been agreed through a formal negotiation via UCL or its subsidiaries.
1.1. You will remove yourself from negotiations about intellectual property licensing deals between UCL or its subsidiaries and Example Company 2 on behalf of UCL or its subsidiaries.
1.2. You will recuse yourself from conversations where the IP interests between UCL or its subsidiaries and Example Company 2 are seen as competing.

2. You will only use UCL Example Department infrastructure or resources (e.g. laboratory equipment, IT infrastructure, and desk space) for Example Company 2’s operations when this has been agreed in advance with the Head of Department and/or UCL Estates.
2.1. You will remove yourself from all discussions and negotiations about the pricing and use of UCL infrastructure or resources on behalf of UCL or its subsidiaries. 

3. You will remove yourself from any procurement process that could result in a commercial contract between UCL or its subsidiaries and Example Company 2 on behalf of UCL or its subsidiaries.
3.1. This extends to negotiations about any other matter between UCL or its subsidiaries and Example Company 2 on behalf of UCL or its subsidiaries.

4. You will not access or disclose privileged information about UCL or its subsidiaries to Example Company 2 or to employees, directors or major shareholders of Example Company 2.
4.1. This extends to any third party that may benefit Example Company 2.

5. You will not publish academic material pertaining to Example Company 2’s area of activity without disclosing the conflict of interest to the editors of the publication.
5.1. If required, you will publish a notice of interest.

6. You will not review manuscripts pertaining to Example Company 2’s area of activity without disclosing the conflict of interest to the editors of the publication.
6.1. If required, you will publish a formal notice of interest.

7. You will disclose the nature of the conflict to the funder of any bids or grants pertaining to research in Example Company 2’s area of activity.
7.1. If required, you will publish a formal notice of interest.

8. You will only work at Example Company 2 during the hours that have been agreed in advance with your Head of Department.
[You may wish to include the agreed hours of work here.]

9. You will disclose the nature of the conflict to all relevant UCL colleagues and students, along with the mitigation measures in place at UCL and Example Company 2.
[You may wish to include a list of identified people at this point. This step may also include developing a simple communications plan.]
9.1. You will disclose the nature of the conflict to any other relevant party, along with the mitigation measures in place.

10. You will immediately inform the Reviewer if the circumstances of the conflict change.
10.1. This will trigger an immediate review of the Conflict Management Plan.

Consultancy work

UCL academic staff can use a similar range of mitigating steps to manage the perceived, potential and actual conflicts of interest arising from any consultancy work that they undertake, either as private consultants or through UCL Consultants (UCLC).

All academic staff looking to undertake consultancy alongside their role at UCL should refer to the UCL Academic Staff Consultancy Policy.

Example 3: UCL spinout company

In this example, several members of UCL staff have co-founded a spinout company (Spinout Company). They are all shareholders in Spinout Company and may benefit financially as the company grows. The company works closely with UCL in different bids and research projects. Each co-founder (the Discloser) must develop a CMP.

Some mitigating steps that could be considered for managing the conflict of interest include the Discloser:

• removing themselves from any procurement process that could result in a commercial contract between UCL and Spinout Company on behalf of UCL 
• not disclosing UCL intellectual property to Spinout Company unless this has been agreed through a formal negotiation
• not accessing or disclosing privileged information about UCL to Spinout Company
• only using Example Department infrastructure (e.g. laboratory equipment, IT infrastructure, and desk space) for Spinout Company’s operations when this has been agreed in advance with the Head of Department and/or UCL Estates
• removing themselves from all discussions and negotiations about the pricing and use of UCL infrastructure and resources on behalf of UCL or its subsidiaries
• recusing themselves from any position where they could be perceived as prioritising the use of UCL infrastructure or resources for Spinout Company above the needs of UCL (e.g. influencing UCL’s spend on capital to the benefit of Spinout Company)  
• only publishing academic material pertaining to Spinout Company’s area of activity when the conflict has been disclosed to the editor of the publication 
• only reviewing manuscripts pertaining to Spinout Company’s area of activity when the conflict has been disclosed to the editor of the publication 
• not unreasonably withholding permission for the publication of papers from the research group 
• disclosing the conflict to the funder of any bids or grants pertaining to Spinout Company’s area of activity 
• declaring who is representing each organisation in any joint bids or grants involving UCL and Spinout Company
• removing themselves from any negotiations of price or terms for research or innovation projects involving Spinout Company as a Partner or Funder
• not acting as a primary or secondary supervisor to any PhD students involved with Spinout Company
• not taking part in discussions at UCL about any other matter concerning students involved with Spinout Company
• not acting as the sole line manager with responsibility for approvals and appraisals for any UCL staff involved with Spinout Company
• agreeing hours of work at Spinout Company with the Head of Department
• informing relevant UCL colleagues and students about the conflict and the mitigation measures in place 
• publishing a notice of interest
• identifying colleagues within the department or faculty who can provide alternative support
• developing a new Conflict Management Plan if the circumstances of the conflict change.  

Any company (including UCL spinouts) that intends to collaborate with UCL for the purposes of research, teaching or innovation must also have a formal collaboration agreement in place. 

Find out more about spinouts, startups and other companies owned or led by UCL staff and students.

Detailed CMP clauses for example 3

These are some example clauses that may be appropriate in the context of example 3.

This plan reflects the conflict management strategy agreed between the Discloser (‘you’) and the Reviewer.

1. You will remove yourself from any procurement process that could result in a commercial contract between UCL or its subsidiaries and Spinout Company on behalf of UCL or its subsidiaries.
1.1. This extends to negotiations about any other matter between UCL or its subsidiaries and Spinout Company on behalf of UCL or its subsidiaries.

2. You will not disclose UCL intellectual property to Spinout Company or to employees, directors or major shareholders unless this has been agreed through a formal negotiation via UCL or its subsidiaries.
2.1. You will remove yourself from negotiations about intellectual property licensing deals between UCL or its subsidiaries and Spinout Company.
2.2. You will recuse yourself from conversations where the IP interests between UCL or its subsidiaries and Spinout Company are seen as competing.   

3. You will only use UCL Example Department infrastructure or resources (e.g. laboratory equipment, IT infrastructure, and desk space) for Spinout Company’s operations when this has been agreed in advance with the Head of Department and/or UCL Estates.
3.1. You will remove yourself from all discussions and negotiations about the pricing and use of UCL infrastructure or resources on behalf of UCL or its subsidiaries.
3.2. You will recuse yourself from any position where you could be perceived as prioritising the use of UCL infrastructure or resources for Spinout Company above the needs of UCL (e.g. influencing UCL’s spend on capital to the benefit of Spinout Company).

4. You will not access or disclose privileged information about UCL or its subsidiaries to Spinout Company or to employees, directors or major shareholders of Spinout Company.
4.1. This extends to any third party that may benefit Spinout Company.

5. You will not act as a primary or secondary supervisor to any PhD students involved in Spinout Company.
5.1. You will not take part in discussions or decision-making at UCL about any other matter concerning UCL students involved in Spinout Company.
[You may wish to include details of specific matters that you will recuse yourself from here, including the award of studentships, IP ownership, and so on.]

6. You will not act as the sole line manager with responsibility for review and completion of probations and appraisals for any UCL individual involved in Spinout Company.

7. You will not publish academic material pertaining to Spinout Company’s area of activity without disclosing the conflict of interest to the editors of the publication.
7.1. If required, you will publish a notice of interest.

8. You will not review manuscripts pertaining to Spinout Company’s area of activity without disclosing the conflict of interest to the editors of the publication. 
8.1. If required, you will publish a formal notice of interest.

9. You will not unreasonably withhold permission for the publication of papers from the research group.

10. You will disclose the nature of the conflict to the funder of any bids or grants pertaining to research in Spinout Company’s area of activity.
10.1. You will declare who is representing each organisation in any joint bids or grants involving UCL or its subsidiaries and Spinout Company.
10.2. If required, you will publish a formal notice of interest.

11. You will remove yourself from any negotiations of price or terms for research or innovation projects involving Spinout Company as a Partner or Funder.

12. You will disclose the nature of the conflict to all relevant UCL colleagues and students, along with the mitigation measures in place at UCL and Spinout Company.
[You may wish to include a list of identified people at this point. This step may also include developing a simple communications plan.]
12.1. You will disclose the nature of the conflict to any other relevant party, along with the mitigation measures in place at UCL and Spinout Company.

13. You will only work at Spinout Company during the hours that have been agreed in advance with your Head of Department.
[You may wish to include the agreed hours of work here.]

14. You will immediately inform the Reviewer if the circumstances of the conflict change.
14.1. This will trigger an immediate review of the Conflict Management Plan.

3.4. Agreeing and uploading a CMP

When the CMP has been agreed by both the Discloser and Reviewer, the Reviewer should upload the final version to UCL’s ‘Manage Conflicts and Declare Interests’ system accessed via www.ucl.ac.uk/myhr. The Reviewer also needs to record the plan’s start, end and review dates in the system.

Uploading the CMP and inputting these dates ensures that there’s a permanent record of the plan. This will help to evidence the steps put in place to manage the conflict if any questions should arise at a later stage.

Here’s a user guide to assist with the disclosure system.

4. Implementing and reviewing a CMP

Once the CMP has been agreed and uploaded, the Discloser must implement the plan and the Reviewer must review its effectiveness (section 7, UCL Disclosure of Conflict and Declaration of Interest Policy).

Section 1 of the template requires Disclosers and Reviewers to set a date for review of the CMP. Active CMPs should be formally reviewed regularly to ensure their continued efficacy. As a minimum recommendation, a plan should either be reviewed once a year or at the halfway point of the conflict, whichever represents the shortest period. 

Any required amendments to the CMP should then be retained and recorded in the system, alongside the original plan.

It’s important to note that new aspects of a conflict can arise at any point. The Discloser and Reviewer should review and update a CMP template as soon as the circumstances of the conflict change.

In this way, a CMP is an active process rather than a static document.

When implementing a CMP:

• Disclosers should:
  • adhere to the steps laid out in the CMP 
  • store a copy of the initial CMP and any revised versions
  • keep a record of the CMP’s implementation 
  • escalate any unforeseen issues to the Reviewer as soon as they arise. 
• Reviewers should: 
  • ensure compliance with the CMP
  • store a copy of the initial CMP and any revised versions
  • provide ongoing advice and guidance to the Discloser
  • schedule formal CMP reviews with the Discloser
  • keep a record of review activities
  • ensure that the initial CMP and any revised versions are passed on to a new Reviewer (e.g. a new Head of Department), as and when required. 

5. Questions and contacts

For any questions relating to CMPs, you can contact discloseconflicts@ucl.ac.uk