Conflicts of Interest Policy
Purpose:
To inform staff and trustees of the
expectations relating to any conflicts of
interest arising from engagement in activities
that may compromise or bring Adoption UK
into disrepute.
Date published:
March 2008. Reformatted April 2013
Contents:
Application of this policy
What is a conflict of interest?
Why have a policy?
Declaration of interests
Data protection
What to do if you face a conflict
Evaluating disclosures
Author:
Admin.
Date to be reviewed:
January 2015 by SLT
Appendices:
1. Examples of general conflict situations
2. Sample Conflicts of Interest form
Application of this policy
This policy applies to trustees, all employees (permanent and temporary), volunteers, sessional
workers, self-employed trainers and consultants (hereafter referred to as ‘staff’, unless indicated
otherwise).
What is a conflict of interest?
Staff will have a range of personal interests, views, beliefs, duties and responsibilities. They may also
have interests, views, beliefs, duties or responsibilities that arise from their involvement through
work or otherwise with other people, bodies or organisations. Similarly, through their involvement
with Adoption UK, in whatever capacity, they will have duties or responsibilities that arise out of that
involvement, including abiding by its policies and procedures, as well as operating in accordance with
contracts of employment, contracts for services, and accepted offers of voluntary services, and
representing the organisation and its views. Those different interests, views, beliefs, duties and
responsibilities may differ and, in some cases, may come into conflict with each other. Conflicts of
interest may arise in such situations and may affect staff members’ judgement, objectivity and/or
compromise their ability to make a decision that upholds their responsibilities towards Adoption UK.
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Conflicts of Interest Policy – April 2013
Why have a policy?
It is inevitable that conflicts of interest occur. The issue is not the integrity of the staff member
concerned, but the management of any potential to profit from a staff member’s position or for
him/her to be influenced inappropriately by conflicting loyalties or interests. Where a conflict of
interest is not properly managed, it can lead to poor decisions being made that affect the charity’s
financial viability, operation and reputation. Even the appearance of a conflict of interest can damage
the charity’s reputation, so conflicts or potential conflicts need to be managed carefully. Therefore,
Adoption UK has to take steps to ensure that it is aware of any potential conflicts of interest and to
manage or resolve any conflicts in a way which protects the charity, its members, service users and
the public interest.
All staff, and particularly Trustees and senior managers, have an obligation to act in the best interests
of Adoption UK’s membership, service users and the general public in accordance with Adoption UK’s
Trust Deed, and a range of statutory duties.
Conflicts of interest may create problems, such as:



Inhibiting free discussion;
Resulting in decisions or actions that are not in the interests of Adoption UK and the services
provided to its members and service users; and/or
Leading to improper/inappropriate conduct or action, or create the impression that Adoption
UK has acted improperly.
The aim of this policy is to protect both the organisation and the individuals involved from any
impropriety or appearance of impropriety.
Potential conflicts of interest need to be carefully considered and correctly managed. It is important
to think about potential or perceived conflicts as well as actual conflicts - they can be just as
damaging.
Appendix 1 provides examples of common situations in which conflicts of interest may arise.
Register of interests
The declaration of interests
Accordingly, Adoption UK will ask all staff to declare their interests. A declaration of interests form is
provided for this purpose, listing the types of interest staff should declare (Appendix 2).
To be effective, the declaration of interests needs to be updated at least annually and also when any
changes occur. The Personal Assistant to the Chief Executive will contact all staff on an annual basis
to update conflicts of interest. However, it is individual staff members’ responsibility to inform the
Chief Executive, or in his/her absence the Director of Services, of any changes during the 12-month
period.
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If you are not sure what to declare, or whether/when your declaration needs to be updated, please
err on the side of caution. If you would like to discuss this issue, please contact the Chief Executive or
Director of Services for confidential guidance. Interests will be recorded on Adoption UK’s register of
interests (Appendix 3), which will be maintained by the Personal Assistant to the Chief Executive. The
register will be accessible by the Board of Trustees, Chief Executive, Director of Services and the
Personal Assistant to the Chief Executive, noting any statutory requirements applicable (eg, auditing
requirements, Ofsted, the Social Services Inspectorate in Wales, the Care Commission in Scotland, the
Charity Commission for England and Wales or the Office of the Scottish Charity Regulator may need
to have access for inspection purposes).
Data protection
The information provided will be processed in accordance with data protection principles as set out
in the Data Protection Act 1998, and in Adoption UK’s Data Protection Policy. Data will be processed
only to ensure that all staff act in the best interests of Adoption UK. The information provided will not
be used for any other purpose.
What to do if you face a conflict of interest
Staff should declare any conflict of interest or potential conflict of interest at the earliest opportunity
and withdraw from participating in any discussion or decision-making that could be deemed a conflict
of interest, for example, discussions about whether a particular organsiation should be awarded a
contract where a staff member or relative has an interest in that organisation. The same applies if
staff face a conflict for any other reason. Staff may, however, participate in discussions from which
they may indirectly benefit, for example where the benefits are universal to all service users, or
where the benefit is minimal.
If a staff member fails to declare an interest that is known to the Chief Executive or Director of
Services or Chair of the Board of Trustees, then that interest will be declared on the staff member’s
behalf. Similarly, where undeclared interests are known about by other members, then these may be
reported to the Chief Executive (or, in his/her absence, the Director of Services). The staff member
will be informed that the interest has been listed in the register and will be given the opportunity to
make appropriate amendments.
Where a conflict of interest, or potential conflict, situation arises during organisational or
management decision-making, the Chief Executive (or, in his/her absence, the Director of Services)
will be informed. The Chief Executive or Director of Services will decide whether a conflict of interest
actually arises and, if so, how this will managed.
Where the issue is contentious, the Chief Executive or Director of Services may seek the views of the
senior management team in coming to a decision and it is likely that s/he would need to discuss the
matter directly with the relevant staff member.
In some instances, it may be necessary to seek the views of the Board of Trustees or refer the issue to
the Board for a decision. This will be essential where the conflict of interest relates to the Chief
Executive.
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In the event of the Board of Trustees having to decide upon an issue in which a member of staff has
an interest, all decisions will be made by a simple majority vote (with the Chair holding the casting
vote, if necessary). In relation to the Board of Trustees, it must be quorate (see Trust Deed) for a
decision to be made. In coming to its decision, the Board of Trustees may interview the relevant
member of staff to obtain further information about the nature of the interest, and any potential
conflict.
In the event of the Board of Trustees having to decide upon an issue which an individual Trustee has
an interest, the interested Trustees may neither participate in the discussions leading to the decision
nor vote on matters affecting their own interests. However, in coming to its decision, the Board of
Trustees may interview the relevant Trustee to obtain further information about the nature of the
interest, and any potential conflict.
All decisions under a conflict of interest will be recorded by the Personal Assistant to the Chief
Executive (or an appropriate staff member appointed for the purpose of taking minutes) and
reported in the minutes of the meeting. The report will record:



The nature and extent of the conflict;
An outline of the discussion;
The actions taken to manage the conflict.
Full disclosure of relevant information and the establishment of a record are in the best interests of
both Adoption UK and its staff. It demonstrates good faith on the part of the staff member and
protects his/her reputation and that of Adoption UK.
Disclosure will not necessarily restrict or preclude a staff member's activities. In fact, activities that
may at first appear questionable may be deemed acceptable and permissible when all facts regarding
the activity are examined. Disclosure in all cases shall include the type of potential conflict (conflict of
interest or commitment), the nature of the activity, a description of all parties involved, the potential
financial interests and rewards, possible violations of legal requirements, and any other information
which the staff member feels necessary to evaluate the disclosure.
Evaluating disclosures
When presented with the facts of a given situation, the Chief Executive, or in his/her absence the
Director of Services, must first determine if there is legitimate cause for concern related to the
inappropriateness of behaviour or evidence of bias by the professional activities of the trustee, staff
member, volunteer, self employed trainer or consultant. The list of questions in Appendix 1 is
suggested for this initial determination.
If it appears that there is genuine cause for concern, the Chief Executive or Director of Services must
ascertain whether appropriate controls are in place to deal with possible conflicts.
If the Chief Executive or Director of Services is uncertain as to the correct way in which to deal with a
situation, they should refer the matter to the Chair of the Board of Trustees or seek independent
guidance.
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The consequences of a failure to comply with this policy will be dealt with by the Chief Executive,
including where necessary via appropriate disciplinary procedures, except in situations relating to the
Chief Executive, which will be dealt with by the Board of Trustees.
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Appendix 1
Examples of general conflict situations
Activities that appear to present potential conflicts of interest or commitment
(note that this appendix is not intended to be a statement of unacceptable practice, but rather a nonexhaustive list of example situations):
Personal gain or benefit
There are a wide range of situations where staff members may be able to gain or benefit personally,
financially or otherwise, through their or their family/friends’ involvement with other people,
organisations or businesses. Common situations that should be included on the register of interest
are as follows:

Staff members’, or their family/friends’, involvement with people, organisation or businesses with
which Adoption UK contracts, either to secure services or to provides services (eg, suppliers such
as printers, designers, editorial freelancers, stationery suppliers, office goods, IT providers,
mailing houses, consultants, or local authorities, voluntary adoption agencies).

Under charity law, Trustees cannot be spouses or dependent relatives of existing employees or
others who are receiving financial reward from Adoption UK (under the “common purse”
principle), as the Trustee would then be gaining financial benefit from the employee’s salary or
the payment of other financial benefits.
Other examples include
1. Relationships that might enable a staff member to influence Adoption UK’s dealings with an
outside organisation in ways leading to personal gain or to improper advantage for anyone. For
example, a staff member could have a financial interest in an enterprise with which Adoption UK
does business and be in a position to influence relevant business decisions. Ordinarily such
problems may be resolved by full disclosure as well as making appropriate arrangements that
clearly exclude that staff member from participating in the decisions.
2. Situations in which the time or creative energy a staff member devotes to extramural activities
appears substantial enough to compromise the amount or quality of his/her participation in the
work of Adoption UK.
3. Activities for which a staff member is personally remunerated (from an external source) that
involves, or might reasonably be perceived to involve, Adoption UK’s name, computer time or
other resources, facilities and equipment.
4. Activities that violate or might reasonably be perceived to violate any of the principles governing
Adoption UK’s work, insofar as these principles are relevant to individual behaviour (for further
reference, see Adoption UK’s Core Values and Beliefs document).
5. Providing training, or other professional services, to other organisations which draw upon or use
the information and knowledge available to the staff member in the course of their role and
might reasonably be seen as services which should be commissioned from and/or provided by
Adoption UK.
6. Any gifts or hospitality received in connection with their role in Adoption UK. (This should always
be disclosed to Line Manager – see Staff Handbook).
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7. Managing or monitoring a contract in which a staff member has an interest. Monitoring
arrangements for such contracts will include provisions for an independent challenge of bills and
invoices, and termination of the contract if the relationship is unsatisfactory.
Situations where personal judgement may be affected
Common situations may include:
 Recruitment and selection – any staff involved in the recruitment and selection of staff should
make the Appointing Manager aware in situations where they know personally any candidate for
a post with Adoption UK.
 Friends or family of staff members may work or be involved with other organisations working in
the field of adoption, which Adoption UK may work with, but may not be engaged in any
contractual relationship.
Activities that clearly present serious problems and would be incompatible with Adoption UK
policies - unless explicit permission has been sought and granted for the activity and Adoption UK’s
interests have been protected:
1. Failing to meet fully Adoption UK’s responsibilities (eg, other employed work, serving on
committees) due to involvement in external activities (whether paid or unpaid).
2. The use for personal profit of unpublished information emanating from Adoption UK’s work or
research, or other confidential Adoption UK sources, or assisting an outside organisation by giving
it unreasonably exclusive access to such information; or consulting under arrangements that
impose obligations that conflict with Adoption UK’s Intellectual Property Policy or with Adoption
UK’s obligations to ‘funded’ projects.
3. Circumstances in which research or consultancy that could and ordinarily would be carried on
within Adoption UK is conducted elsewhere to the disadvantage of Adoption UK and its legitimate
interests.
4. Using Adoption UK resources to conduct work or research that is sponsored by an entity in which
a staff member or his/her family member holds a substantial financial interest.
5. Serving in an executive or managerial capacity or holding significant financial interests in forprofit or not-for-profit entities doing business with Adoption UK. Serving on the board of directors
or major advisory committee of an external entity which is in direct conflict with Adoption UK’s
Statement of Purpose.
6. Utilising Adoption UK’s staff members in consulting activities without authorisation.
7. Directing purchasing opportunities to a company (or an associated entity) or organisation owned
by a staff member‘s family.
8. Making professional referrals to a business in which a staff member, or a member of his/her
family, has a financial interest, while acting in the context of his/her Adoption UK duties
9. Conducting personal business activities involving other staff members.
10. Where a staff member is a user of Adoption UK’s services, or the carer of someone who uses
Adoption UK’s services, s/he should not be involved in decisions that directly affect the service
that s/he, or the person s/he cares for, receives.
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Appendix 2
Sample Conflicts of Interest form
As a member of Adoption UK’s staff (ie, Trustee, employee, self-employed trainer, sessional worker,
volunteer, or consultant), you are required to act in the best interests of Adoption UK. However,
inevitably, staff have a wide range of interests in private, public and professional life and these
interests might, on occasions, conflict (for example: acting as a Trustee for another charity or being
involved in other paid work).
Adoption UK is obliged to review any possible conflicts when preparing its annual report so we ask
you to supply the following details:

Have you or people connected with you through family, business or another charity, an
interest in a contract or transaction with Adoption UK (for members of staff who are
prospective adopters, adoptive parents or foster carers, please do not include any family
membership of Adoption UK)?

Have you or any person connected with you derived any pecuniary benefit or gain from
Adoption UK (however, please note the following, employees do not need to declare their
regular salary payments, trainers do not need to declare training fees and expenses paid to
them, and all staff do not need to declare the reimbursement of work-related expenses)?

Do you take part in any other activities, paid or voluntary, that might conflict with, or affect,
Adoption UK’s work? If yes please give details.

Please list anything else that might be a Conflict of Interest.
Name:
…………………………………………………………………………….
Role:
……………………………………………………………………………
Signed:
…………………………………………………………………………. Date: ……………………………….
Please return to the PA to the Chief Executive by <insert date>
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