University Policy on Acceptance of Funding where Reputational or Ethical Challenges Arise

It is difficult to legislate for the wide range of ethical challenges and/or potential reputational risks for the University that can arise when considering whether or not to accept external funding.  However, it is important for the University to set out some broad guidance, particularly as many funding providers now require that specific ethical policies are in place.  For example, some medical charities do not provide research funding for institutions that also accept funding from the tobacco industry.  This policy is intended as a guide to staff in their dealings with external funding providers and to protect the interests of all members of the Aston community where the University acts as a corporate body in accepting funding.

University Policy Statement

In considering whether or not external funding should be accepted, the following issues shall be considered:

  • is the association with the funding provider or its subsidiaries or associates likely to bring the name of the University into disrepute?
  • is there any possibility that the funding is or might be associated with illegal activities under the Proceeds of Crime Act, the Bribery Act or ant-terror financing legislation?
  • is the association with the funding provider likely to impact negatively on the University’s relationship with any other existing or likely future funding providers or collaborating institutions ?
  • what are the likely motives of the provider of funding and are they in accord with Aston's mission to be a leading research-focussed and student-centred university that takes seriously its economic and social responsibilities?
  • are any restrictions placed on the dissemination and exploitation of the results of the funded research or are there any other onerous conditions?  What is the purpose of such restrictions and are they likely to lead to any ethical issues and challenges?

If in any doubt, the potential funding recipient/principal investigator should consult with their College’s Associate Dean for Research or Executive Dean, the University Research Support Office, the Pro-Vice-Chancellor(Research), Executive Director of Campaigns, Director of Governance or the Chair of the Research Ethics Committee for guidance as appropriate. 

The policy of the University is normally not to accept funding if:

  • to the best of its knowledge, association with the funding provider or its subsidiaries or associates, or acceptance of funding from this funder, is likely to bring the name of the University into disrepute
  • there is any possibility that the funding is or might be associated with illegal activities under the Proceeds of Crime Act, the Bribery Act or ant-terror financing legislation
  • association with the provider of funding is likely to impair the University’s relationship with any other existing or likely future funding provider(s) or collaborating institutions;
  • the motives of the provider of funding are in conflict with the University's main aims, objectives and/or academic standards;
  • the suppression, delay, modification or partial publication of the results of research or scholarship by a funding provider is likely to lead to ethical issues or there are other conditions associate with the funding which are perceived to be too onerous to meet.

If any of the above apply, prior approval must be sought for acceptance of the funding from the Executive Operations Group.


Procedure


1. External Research Funding

The above-mentioned issues for consideration will be included within the University’s risk assessment for research funding applications, and the principal investigator and the Executive Dean will be asked to confirm that they have considered them and are not aware of any legal, ethical or reputational risks for the University arising from acceptance of the funding.

On confirmation of the award of funding by the funding provider, the principal investigator and the Executive Dean may occasionally be asked again to confirm that they are not aware of any legal, ethical or reputational risks arising from the acceptance of the funding.

2. Other External Funding

All offers of substantial external funding, donations or endowments for the University, must be approved at the appropriate level before they are accepted. The implications of accepting such funding, donations or endowments need to be considered in terms of:

  • the ability of the University to comply with any conditions attached to the donation or endowment
  • any potential conflict of interest and other legal, ethical or reputational risks for the University arising from acceptance of the funding

In relation to donations and endowments approval will normally be by the Executive Dean and Director of Alumni and Development, although larger donations may require consideration by the Vice-Chancellor, Finance and Major Projects Committee and Council depending upon the amounts involved. The approval levels for donations are set out in the Financial Authority Limits. If the donation or endowment is accepted, the Chief Financial Officer shall account for the monies in accordance with donor wishes and any relevant HE SORP guidance.

Approval of all other forms of substantial external funding shall be approved by the Executive Operations Group, and if necessary by the Finance and Major Projects Committee and Council depending upon the amounts involved.