Archived in January 2013 Schedule 14: Conflicts of Interest in Research

This information has been archived. Visit the  Agreement on the Administration of Agency Grants and Awards by Research Institutions page for current information.

1. Objective

Agencies and Institutions have an interest in ensuring that the conduct of research is not compromised by real or perceived Conflicts of Interest (COI). This Schedule is aimed at ensuring and maintaining the public’s confidence in research.

1.1 Conflict of Interest

Conflict of Interest (COI) may arise when activities or situations place a person or Institution in a real, perceived or potential conflict between their duties or responsibilities related to research and their personal, Institutional or other interests. Conflict of Interest may occur when individuals’ or Institutions’ judgments and actions in relation to research are, or could be, affected by personal, Institutional or other interests, including, but not limited to, business, commercial or financial interests, whether of individuals, their family members, their friends, or their former, current or prospective professional associations – or of the Institution itself.

Effective Institutional COI policies:

1. promote transparency, thereby increasing public trust in the research enterprise;
2. create a culture of trust in the research community;
3. help to educate the Institution’s community;
4. strive to reduce the negative impact of COI; and
5. ensure visibility and consistent application of measures to prevent and deal with COI.

1.2 To Whom Does an Institutional COI Policy Apply?

The Institution’s COI Policy is to apply to faculty, undergraduate students taking part in research, graduate students, postdoctoral fellows and other personnel involved directly or indirectly in research, including, but not limited to, research associates, technical staff, adjunct professors, visiting professors, and institutional administrators and officials representing the Institution who are referred to in this Schedule as “Institutional Personnel.”

Agencies encourage research Institutions and their affiliated Institutions to ensure that their COI Policies are harmonized internally.

2. Responsibilities

2.1 Responsibilities of the Institution

In regard to Conflict of Interest, the Institution agrees to:

1. develop and maintain a written Institutional Policy on COI;
2. implement and administer the Institutional COI Policy consistently and effectively and advise the relevant Agency, on request, of how the Policy is being implemented and administered;
3. stipulate clearly to whom its Institutional COI Policy applies and that it applies to all Institutional Personnel;
4. ensure that all individuals to whom a given Policy applies are appropriately informed of their obligations and responsibilities under that Policy;
5. make every reasonable effort so that COI situations are disclosed and appropriately managed prior to any commitment or expenditure of research funds;
6. put in place processes that provide for effective management of COI;
7. disclose in writing to the relevant Agency any COI that may affect a decision about a specific application or request for a grant or award; and
8. ensure that appropriate and effective COI Policies are in place to protect all research trainees.

2.2 Responsibilities of the Agencies

Each Agency is responsible for:

1. Establishing policies for monitoring and managing those COI situations that arise in peer-review and competition processes of the Agency; and
2. promoting the development of sound policies and practices for the disclosure and management of COI by providing resource information to Institutions, such as, examples of and criteria for “good practices” and elements of an effective Institutional COI Policy.

3. Resolution of Issues of Non-Compliance

In the event circumstances arise in which an Institution appears to be or are found to be in non-compliance with the Agency policy under this Schedule, the Agency will follow the procedures described in Schedule 8 at the entry level appropriate to the situation.

4. Transfer of Funds

When a Primary Institution transfers grant or award funds to a Secondary Institution, Schedule 9 applies.