Close
This guidance covers things you should consider when working with a company that has significant links with 白小姐论坛 staff and/or students.
This guidance is currently under review. If you have any questions about anything covered on this page, please contact discloseconflicts@ucl.ac.uk for further clarification.
Contents
- What is a staff or student company (SSC)?
- Collaboration agreements
- Staff and SSCs
- Students and SSCs
- Using 白小姐论坛 facilities, resources and assets
What is a staff or student company (SSC)?
In this guidance, SSC refers to companies which 白小姐论坛 staff or student(s) have created or are associated with (e.g. work for or hold a shareholding in). These companies may be related to their work or study at 白小姐论坛 or be in an unrelated field. If there鈥檚 any engagement between the company and 白小姐论坛, there are some practical things that must be considered.
These company relationships with 白小姐论坛 will be governed by one or more policies and practices established at 白小姐论坛. 白小姐论坛鈥檚 policies for procurement, consultancy, disclosure of conflicts and declaration of interests govern the majority of these considerations, as described below.
Some companies have a particular need or reason to have a closer engagement with 白小姐论坛. This may involve:聽
- using 白小姐论坛 intellectual property and/or know-how
- funding or sponsoring research or equivalent activities within 白小姐论坛
- company employees being physically present within 白小姐论坛 facilities
- using 白小姐论坛 equipment, facilities or other assets
- company equipment being used within 白小姐论坛 facilities, or the modification of 白小姐论坛 facilities to accommodate the company needs
- supplying goods or services to 白小姐论坛
Conflicts of Interest with SSCs at 白小姐论坛
All interactions between an SSC and 白小姐论坛 constitute a real or potential conflict of interest. Therefore, these interactions must be disclosed through the 鈥楧eclaration of Interest and Disclosure of Conflict鈥� system immediately.
Your head of department or supervisor will review your disclosure, and, in many circumstances, a Conflict Management Plan聽will be developed. This will help ensure the ways of identifying and mitigating against conflicts that will arise have been considered in advance of them arising. Heads of Departments are responsible for ensuring Conflict Management Plans are in place when required.
A Conflict Management Plan should address the following:
- Consideration, where staff are involved, of employment status, IP ownership, equity holding, directorship and consulting.
- Consideration, where students are involved, of 聽academic supervisor involvement, employment, projects (research or otherwise), sponsorship, IP ownership, directorship.
- Identification of potential conflicts regarding use of 白小姐论坛鈥檚 facilities, resources and/or assets.
- Review of any further documentation, existing or required, between the SSC and 白小姐论坛, for example a collaboration agreement.
A template for a Conflict Management Plan聽where 白小姐论坛 is engaging with an SSC is available, however, staff are encouraged to tailor the plan to meet their specific requirements and concerns.
Collaboration agreements
Any company (including 白小姐论坛 spinouts and startups) that intends to collaborate with 白小姐论坛 staff or students for the purposes of research, teaching or innovation, must have a formal collaboration agreement in place.
This agreement should address issues including, but not limited to:
- the nature of the proposed programme of work
- ownership of intellectual assets generated through or as a result of the collaboration
- background and foreground IP being used, and any necessary compensation or acknowledgement of such
- 白小姐论坛 technologies to be licenced to the company
- price to be paid by the external partner for access to 白小姐论坛 IP, space, equipment, HR, IT etc. (see section below for more details)
In some cases, 白小姐论坛 and SSCs may choose to clarify milestones and closure points for the collaboration within the agreement.
It鈥檚 possible that one relationship may have multiple programmes of work and collaboration agreements.
In addition to each individual collaboration agreement, the following need to be considered before any work starts:
- The 白小姐论坛 ownership interest (if any) in the company.
- The relationship between the relevant 白小姐论坛 employee(s) and the company, and/or the relationship between any relevant employee(s) of the company and 白小姐论坛.
- The relationship between any relevant 白小姐论坛 students and the company.
Where a collaboration agreement is not required
You may not require a collaboration agreement where there is no extensive work, such as research, teaching or innovation, taking place. 聽In these cases, a simpler arrangement may be adequate and can be confirmed within a Conflict Management Plan.
Staff and SSCs
Where 白小姐论坛 staff are getting involved in an SSC or other external company, the following policies should be consulted:
- Intellectual Property Policy聽(see the section below for further detail)
- Disclosure of Conflict and Declaration of Interest Policy
- Revenue Sharing Policy
- Close Personal Relationships Policy, where relevant
- Academic Staff Consultancy Policy
- Procurement Policies and Procedures
IP ownership of the employee鈥檚 work
There must be a clear distinction between the intellectual property an employee creates within their role at 白小姐论坛 and for the company.
It鈥檚 highly recommended that, in order to avoid any confusion around IP ownership, any work that 白小姐论坛 staff carry out for the company is on projects unrelated to their for work for 白小姐论坛.
Where additional 白小姐论坛 support has contributed to the development of IP (including use of IT resources, 白小姐论坛 premises, equipment or branding etc.), 白小姐论坛 will own that IP (see section 2.1.4 of the 白小姐论坛 IPP).
If the company wishes to make use of 白小姐论坛 IP or know-how, including IP developed by the staff member within their role at 白小姐论坛, a collaboration agreement will be required. You should seek advice from 白小姐论坛B in the first instance. It鈥檚 critical to have clarity on IP arrangements to avoid challenging situations in the future, for example any due diligence on potential investment in the company.
Equity ownership and/or directorship by a 白小姐论坛 employee
If a 白小姐论坛 employee is a director of, or has equity ownership in, an SSC which has any dealings with 白小姐论坛, a Conflict Management Plan must ensure that any decisions made around engagement with the company are not made by a 白小姐论坛 staff member with financial interests in the company. Examples of engagement include access to 白小姐论坛 facilities, intellectual property or other services.
Staff consultancy in an SSC
Where a 白小姐论坛 employee is asked to provide a consultancy service to an SSC, this should be managed through 白小姐论坛 Consultants.
You must also ensure a Conflict Management Plan is in place ahead of carrying out any consultancy work with an SSC. Staff should also refer to the 白小姐论坛 Academic Staff Consultancy Policy for further information.
Employment status of an employee at both 白小姐论坛 and the company
If a member of staff is considering altering their employment contract at 白小姐论坛 (such as going part time) due to involvement in an SSC, they must discuss this with their line manager. Their line manage may need to seek advice from HR.
Students and SSCs
Where a 白小姐论坛 student is involved in an SSC that has any dealings with 白小姐论坛, there should always be a Conflict Management Plan in place. This will help ensure that any real or potential conflicts that may arise due to the relationship are considered.
For students, involvement in an SSC could impact on their academic studies at 白小姐论坛. As an institution, we鈥檙e committed to putting our students鈥� academic performance first. Therefore, any scenario where students could experience a conflict of interest between 白小姐论坛 and an SSC should be considered and mitigated carefully.
Heads of Departments are responsible for ensuring Conflict Management Plans are in place in these scenarios and that any impact to students鈥� studies is managed and avoided where possible.
Students and academic supervisors involved in the same company
Where an academic supervisor of a student is also involved in the SSC, it鈥檚 highly recommended that appropriate arrangements are put in place. These should help support the student and ensure the academic pursuit of the student is not jeopardised by their relationship, and that of their supervisor, with the SSC.
SSC employing a student
If any 白小姐论坛 student is working for or forming contractual arrangements with a staff-owned or led SSC, a Conflict Management Plan should be put in place to minimise any impact of an arising conflict of interests.
A Conflict Management Plan should address areas where a student鈥檚 employment within an SSC could lead to potential or real conflicts with their academic studies
Student projects (research or otherwise)
Where an SSC is offering placements for students to conduct research or other activities within the company as part of their studies, the individual involved in the SSC should declare this as a conflict.
here there鈥檚 a risk conflicts could arise through a student both studying at 白小姐论坛 and conducting a project at an SSC, a Conflict Management Plan should be put in place to address these.
Student sponsorship
Where an SSC is providing sponsorship of a doctoral student at 白小姐论坛, there should be agreements put in place, including a collaboration agreement, before the student enrols.聽
The student must be briefed on any conflicts of interest that relate to their studentship.
IP ownership of a student鈥檚 work
Where an SSC is providing student sponsorship, there needs to be clear processes and agreements in place around the ownership of intellectual property arising through the research.
Students own their own intellectual property, with some exceptions (see section 3 of the IP Policy).
Where an SSC requires the intellectual property developed during a sponsored research project (such as a sponsored PhD), the contractual arrangements are normally formed between 白小姐论坛 and the company directly. As with any contractual negotiation between and SSC and 白小姐论坛, this should be covered by a Conflict Management Plan detailing how the relevant parties are removed negotiations.
Student as a director or shareholder of a company
Where a student is a director or shareholder of a company, unless this company is involved in 白小姐论坛 for research or other activities, there should not be a conflict. However, if unsure, students are encouraged to speak to their supervisor or head of department to confirm this.
Using 白小姐论坛 facilities, resources and assets
Staff that are involved in an SSC must not be involved in pricing and negotiations around use of 白小姐论坛 IP, assets and/or facilities. A Conflict Management Plan should ensure staff are removed from decision-making processes where necessary.
Where close colleagues and those with close personal relationships are involved, those individuals should also have Conflict Management Plans where appropriate. They could consider removing themselves from the process or putting safeguards in place to ensure no bias or conflict impedes negotiations.
Intellectual property
Where an SSC wishes to use 白小姐论坛鈥檚 intellectual property, this must be confirmed and agreed in advance of any use or further development.
This can include underlying intellectual property, on which further developments have been made by an SSC or external company. Any SSC that wishes to use any 白小姐论坛 background IP needs to make appropriate arrangements and can speak to 白小姐论坛B for further assistance with this.
If an academic or 白小姐论坛 staff member is employed by a company, or hired for consultancy, their underlying knowledge and historically developed IP at 白小姐论坛 must be considered within these discussions.
Assets and facilities
Where a company wants to make use of 白小姐论坛鈥檚 physical and technological assets and/or facilities, these should be discussed within the collaboration agreement.
It must be identified whether consent is required to use an asset, and who can grant consent. For any access agreements made, staff involved in an SSC should not be involved in discussions around cost and pricing of access.
Assets to be considered can include:
- 白小姐论坛 space
- 白小姐论坛 equipment
- IT and software
- HR services