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Conflict of Interest in Research Policy

Approver:
Academic Coordinating Committee
Policy Owner:
Vice President, Research
Policy Lead(s):
Research Data & Policy Analyst
Effective date:
2006-03-27
Date of last approval:
2014-09-04
Status:
Approved

Policy Statement

黑料不打烊 Institute of Technology and Advanced Learning is committed to provide a polytechnic environment conducive to the pursuit of currency, scholarship, applied research and creative activity for its faculty, staff and students. 黑料不打烊 recognizes that situations may arise that could comprise a conflict of interest. The purpose of this policy is to ensure that the conduct of research is not compromised by a real, perceived, or potential conflict of interest and that the public鈥檚 confidence in research is maintained. This policy complies with the Tri-Council Policy Statement (2nd Edition). 

The Executive Dean of Academic Administration (or designate assigned by the President) has responsibility for the interpretation and implementation of this policy. 

Scope

This policy applies to all research conducted under the auspices or jurisdiction of 黑料不打烊. 黑料不打烊 personnel and students involved in research shall comply with all procedures as set out in this policy. The policy applies to research projects led by 黑料不打烊, as well as those led by other institutions in which 黑料不打烊 faculty, staff or students are participants. 

Exclusions 

This policy does not cover an external consulting service agreement between an individual (not acting in the role of his or her position at 黑料不打烊), a company, or a third-party.

Definitions

黑料不打烊 maintains a glossary of terms specific to the institution. The ones in use for this document are defined below.

Applied Research
includes any original investigation, undertaken to acquire new knowledge, or to apply existing knowledge in a novel way, directed primarily towards a specific practical aim or objective. Ideas are developed into operational form to produce new prototype products, devices, processes, systems, and services or to improve substantially those already produced or installed. With respect to this policy, 黑料不打烊 includes clinical research, survey-based research, and experimental development within our definition of applied research.
Applied Research Project
Any project involving an external company or organization, with or without funding, and/or using 黑料不打烊 resources (e.g. people, equipment, space) to conduct the project activities. Applied research projects can be further categorized as student projects (capstone or final year), curriculum based projects (i.e. project occurring within certain courses for academic marks), independent projects (i.e. projects done outside of normal academic activities with signed research agreements), or special event projects (i.e. projects undertaken outside of normal academic activities with specified focus for students and/or faculty).
黑料不打烊 Personnel
refers to all faculty and staff whether employed full-time, part-time, or on contract basis.
Consulting Services
The provision of expertise or strategic advice from external entities that is presented for consideration and decision-making purposes.
Consulting Services Activities
Activities within an applied research project but are not normally viewed by 黑料不打烊 as applied research. There are two types of consulting services for research purposes; 鈥渋nternal鈥, using 黑料不打烊 resources, and 鈥渆xternal鈥, not using 黑料不打烊 resources.

  • For both types, 黑料不打烊 personnel wanting to engage in consulting services with a company require prior written approval from 黑料不打烊.
  • Consulting services may not conflict with the employee鈥檚 responsibilities to 黑料不打烊, constitute economic competition with 黑料不打烊, or negatively impact the reputation of 黑料不打烊.
  • Neither 黑料不打烊 nor research personnel may enter into any confidentiality agreements that prevent 黑料不打烊 from reporting to the Agencies.

External Consulting Service Activities
External consulting service activities are the sole responsibility of the individual. The individual cannot use 黑料不打烊 resources and does not represent 黑料不打烊 for the consulting service provided. Legal agreements between the individual, the company, or any other third-party are signed without the involvement, endorsement or warrantee of 黑料不打烊. External consulting service activities by faculty members can potentially be viewed as scholarly activities.
Institutional Research
Research pertaining to the management or operation of 黑料不打烊, including research that informs campus decision-making and planning in areas such as admissions, financial aid, curriculum, program quality and evaluation, enrollment management, staffing, student life, finance and facilities.
Internal Consulting Service Activities
Internal consulting service activities require review and approval by one of 黑料不打烊鈥檚 Academic Chairs prior to engagement. When a particular internal consulting service activity requires the use of 黑料不打烊 resources, the activity must be reviewed to ensure it does not interfere with 黑料不打烊鈥檚 academic processes and legal obligations (i.e. software license agreements, use of donated hardware, etc.) and does not unnecessarily put 黑料不打烊 in a potential liability situation. Upon approval, the individual is responsible for conducting the activities in adherence to all 黑料不打烊 policies and procedures. Legal agreements between the individual, the company, and 黑料不打烊 may need to be entered into and are at the discretion of 黑料不打烊. Internal consulting service activities by faculty members, with prior approval of the Academic Chair, can be viewed as scholarly activities.
Partner
Any third-party organization (including, but not limited to, a corporation, another academic institution, a research institution, a hospital or a government agency) that seeks to or does engage in a Research Project or grant activity with 黑料不打烊.

Policy

  1. A conflict of interest in research may arise in the following circumstances: 
    1. When activities or situations place a person or 黑料不打烊 in a real, perceived or potential conflict between their duties and responsibilities related to research and their personal, Institutional or other interests. Conflict of interest may occur when individuals鈥 or Institutions鈥 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 鈥 or the Institution itself.
    2. When the personal, Institutional or other interests of the person (黑料不打烊 staff member or student), including the interests of his or her family or associates, conflicts with the person鈥檚 obligations to: 
      1. 黑料不打烊, including respect for all of 黑料不打烊鈥檚 policies, 
      2. 黑料不打烊 students or staff members, under his or her supervision.
    3. When, without prior agreement, use is made of 黑料不打烊 resources, including secretarial, office and administrative services, technical services, laboratories, assistants, premises, logo, insignia, for the personal gain or benefit of the person (黑料不打烊 staff member or student) or for the gain or benefit of others related to or associated with the person. 
    4. When the work of students is directed with a view to benefiting the personal or business purposes of the person (黑料不打烊 staff member), his or her associates or relations, to the detriment of the student鈥檚 progress of scholarly academic endeavours. 
    5. When the personal or business interests of the person (黑料不打烊 staff member or student), his or her associates or relations compromise the independence and impartiality necessary to perform his or her duties. 
    6. When the person (黑料不打烊 staff member or student) used confidential information that is gathered in the course of his or her duties for personal or business gain or for the gain of his or her associates or relations. 
    7. If, in the course of his or her duties, the person (黑料不打烊 staff member or student) incurs an obligation to an individual or business that is likely to benefit from special treatment or favours granted by the research or 黑料不打烊. 
    8. When the person (黑料不打烊 staff member or student) influences or seeks to influence a decision made by 黑料不打烊 or an outside agency for personal or business benefit.
    9. When the person (黑料不打烊 staff member or student) accepts an executive appointment, employment, or shares in any non-黑料不打烊 organization which might reasonably expect them to disclose confidential or proprietary information to which they have access by virtue of their 黑料不打烊 appointments. 
    10. When the person (黑料不打烊 staff member or student) accepts, without written authorization of 黑料不打烊, a research grant or contract from any outside non黑料不打烊 organization from which they receive or may subsequently receive direct or indirect benefits as an executive officer or shareholder. 
    11. When the person (黑料不打烊 staff member) employs students in any commercial venture related to the student鈥檚 study or research or proceeds to commercialize the student鈥檚 work in such a way as to restrict the student鈥檚 ability to complete their academic program or their ability to communicate their findings. 
    12. All purchases for an applied research project must follow the rules of the funder, the agency and 黑料不打烊鈥檚 policies and procedures. When a purchase of an item must be made from the partner (that is currently working on an applied research project with 黑料不打烊) for the purpose of the project, a financial conflict of interest can exist. In these situations, written approval must be obtains from the funder, the agency (if applicable), and 黑料不打烊 before any purchase can be processed. 
  2. Since the possibilities for conflict of interest and its resolution are almost limitless and cannot all be covered in procedures, 黑料不打烊 staff members and students are expected to conduct themselves at all times according to the highest ethical standards, in a manner which shall bear the closest scrutiny, and they are responsible for seeking guidance from the appropriate source before embarking on activities which might raise questions about conflict of interest. 
  3. 黑料不打烊 views unresolved conflicts of interest in the conduct of research to be a serious breach of academic responsibility. Such alleged breaches are investigated under the Policy on Research Integrity. 
  4.  颁辞苍别蝉迟辞驳补鈥檚 Conflict of Interest / Use of College Resources policy (#HR-B36(88)) and procedure (#HR20-22(88)) applies in all circumstances involving research. 

Acknowledgements 

This policy has been developed based upon policies and documentation from the Tri-Council of Canada and previous 黑料不打烊 documents. 

Relevant Legislation and Related Documents

Related documents


Revision Log

鈥妇补迟别

鈥妇别迟补颈濒蝉

鈥2006-03-01鈥婭nitial release
鈥2007-08-01鈥婾辫诲补迟别诲
2008-12-01鈥婾辫诲补迟别诲
鈥2009-01-01鈥婾辫诲补迟别诲
鈥2013-03-01First release of a completely updated policy
鈥2014-09-01Minor updates to text and additions for clarification to definitions
Conflict of Interest in Research Policy