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S.07-68

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(Forinformation)

MEMO

Vice President, Legal Affairs

ATTENTION

Dr.

Michael Stevenson

TEL 604-291-4641

FROM Judith A. Osborne

RE Draft Conflict of Interest Policy

DATE March 8, 2007

TIME 9:37 AM

• ?

The attached draft policy on Conflict of Interest and its associated documents are intended to

meet the requirements set out in Schedule 14 of the Tr-Council Agencies Memorandum of

Understanding. The MOU states that maintaining public confidence in research, and in the

agencies and institutions that fund and conduct research, demands a shared interest by all

parties that research be protected from even the appearance of conflict of interest. To that end,

all eligible institutions are required to develop and maintain a written policy on conflicts of

interest (COI) and to inform the Agencies when it is in place by providing them with a copy.

The attached drafts reach beyond research-related activities to provide an updated institutional

COI policy and related procedures able to cover non-research activities. If adopted, the new

policy and procedures will replace the existing policy AD 11.18 (Conflict of Interest), which

is directed primarily at purchasing practices, while reinforcing those elements in R 10.01

(External Research Grants and Contracts) and R 60.01 (Integrity in Research and Misconduct

in Research) that speak to the COI issue.

These documents have been revised to take account of comments received during the

consultation process.

I recommend that the draft policy be forwarded to the Senate Committee on Agenda and Rules

for information and to the Board of Governors for approval.

mend.

Michl Stevenson

President and Vice-Chancellor

DRAFT 0.6

Policies and Procedures

Revision Date:

Revision Number:

SUBJECT:

Conflict of Interest

PREAMBLE

Simon Fraser University is committed to academic freedom and to excellence in teaching and

research. As a place of learning, the University encourages its faculty, staff and students to be

broadly involved in professional interests and activities compatible with the University's mission,

values and commitments. Occasionally, the best interests of the University and the personal

interests of its Members may conflict, or may be perceived to conflict.

To maintain public and professional trust and confidence, the University must deal with real or

perceived conflicts of interest (COIs) in a fair, open, consistent and practical way. Rather than

taking a rigid approach, the University prefers to assess CON on an individual basis and to

manage conflict, where appropriate.

To that end, this Policy sets out a mechanism for identifying and addressing conflicts of interest,

whether real or perceived, so that the University and its external constituencies can be confident

decisions and actions are not inappropriately influenced by private interests. At the heart of this

Policy is the duty of each Member to assess his or her own activities and to report any real or

potential conflicts of interest as prescribed in this Policy and its accompanying Procedures.

Assessing conflict requires the collection, use, disclosure and retention of personal information as

defined in BC's Freedom of Information and Protection of Privacy Act.

The University will

conduct this and other conflict-related activities in compliance with the

Act.

1.0 PURPOSE

1 The purposes of this Policy are:

To set out the University's position on real, perceived and potential conflicts of interest

(including conflicts of commitment); and

To require that conflicts, real or perceived, must be disclosed and appropriately

considered. Where a conflict is deemed to exist, it will either be permitted with proper

management, or disallowed.

2.0 ?

SCOPE

2.1 This Policy applies to all Members of the University.

GP 37 DRAFT 0.6: Conflict of Interest, page 1

10 ?

3.0 DEFINITIONS

Conflict of interest:

Conflicts of interest are real, perceived or potential situations in which an

impartial observer might reasonably question whether actions or decisions taken by the Member

on behalf of the University are influenced by considerations of private interest to the disadvantage

of the University. in the research context, a conflict of interest includes a situation where

financial or other personal considerations may compromise, or have the appearance of

compromising, an investigator's professional judgment in conducting or reporting research.

Conflict of commitment:

A conflict of commitment occurs where the external or personal

activities and undertakings of a University Member are, or might reasonably be perceived to be,

so substantial as to interfere with the Member's primary commitment to the University.

Reviewer:

The University Officer or Research Ethics Review Board responsible for reviewing in

detail a disclosed conflict of interest, assessing the nature of the conflict, determining an

appropriate course of action for addressing the disclosed conflict, and issuing a written report on

the assessment and its outcome. See Conflict of Interest Disclosure Procedures.

Member:

Any person who teaches, conducts research, orworks at or under the auspices of the

University and includes, without limitation, any person acting in his or her capacity as full- or

part-time faculty, staff or student, clinical or adjunct faculty, education associate, post-doctoral

fellow, research assistant, and any other persons while they are acting on behalf of or at the

request of the University.

Family Member:

A person related to the Member by blood, adoption, marriage or common-law

marriage, or with whom a Member has a close personal relationship; it may also include an

individual with whom a University member has had such a relationship.

Financial interest and financial benefit:

The receipt or expectation of anything of monetary

value, including pay or salary or other payments for services (e.g., consulting fees, bonuses,

speaker's fees, advisory board remuneration, finders or recruitment fees, or honoraria), equity

interests (stocks, stock options or the like), security or other ownership interests, and intellectual

property rights (e.g., patents, copyrights, royalties or carried interests or options related to such

rights).

Student:

Includes all graduate and undergraduate students and post-doctoral appointments.

Outside Activity:

Any activity outside a Member's scope of work with the University that

involves the same specialized skill and knowled

e that the member uses in his or her work with

the University and includes the operation of a Business, consulting or advisory services and

speaking engagements.

4.0

POLICY

4.1

Where a potential conflict of interest arises, it must be immediately disclosed by the

Member involved; it may be necessary that the activity be placed on hold pending

assessment. The Conflict of Interest will be assessed in a timely, fair and open manner

by the University.

4.2

A conflict is to be allowed only when it can be mana

ed in a way that protects and serves

the interests, integrity and reputation of the University, as well as its legal and contractual

3 ?

GP 37 DRAFT 0.6: Conflict of Interest, page 2

obligations, and will stand the test of reasonable and independent scrutiny:

4.3

For the purposes of this Policy, Conflict of Commitment is a form of Conflict of Interest.

4.4

Non-compliance with this Policy and its associated procedures constitutes misconduct

and may be pursued under the applicable collective agreement or University Policy. The

University reserves the right to recover any profit or financial benefit achieved by a

Member as a result of non-compliance.

5.0 ILLUSTRATIONS OF POTENTIAL CONFLICTS OF INTEREST:

The following list illustrates situations that may lead to an indirect or direct conflict of interest:

Interest in a Concern:

Ownership by a Member or by a Family Member of a substantial financial

interest in any concern with which the University does business, directly or indirectly, or which is

seeking to do business with the University.

• Interest in a Transaction:

Representin g

the University in any transaction in which the Member or

a Family Member has a substantial financial or other interest, or in which the Member or a

Family Member represents the other party.

Faculty/student relationships:

Entering into an intimate personal relationship, or into a financial

relationship outside the normal scope of research or teaching assistantships, between a faculty

Member and a student with whom the Faculty Member has an evaluative role.

Inappropriate Use of Information:

Using for personal gain privilege

d or confidential information

acquired as a result of the Member's University-supported activities, or passing such information

to those not authorized to receive it. Such information might include knowledge of forthcoming

developments requiring the selection of a contractor or sub-contractor or bulk purchases. Other

examples of misuse include unreasonably delaying publication of research results (e.g., thesis

research), or the premature announcement of research results for personal gain.

Gifts or Gratuities:

Receivin

1-1

inappropriate gifts or financial considerations. Examples of

inappropriate and unacceptable gifts would be merchandise, cash or gift certificates in any

amount, excessive entertainment or other substantial gifts of goods or services. Accepting a gift

or a loan on preferential terms from a concern with which the University does business, or which

is seeking to do business with the University. Loans from financial institutions on customary

terms; articles of nominal value normally used for sales promotion purposes, ordinary business

meals or reasonable entertainment consistent with local social or business customs are acceptable

and do not pose a conflict of interest.

Rendering of Services to Other Concerns:

Rendering of managerial, consultant or any other

substantial services to any concern, including services as a director where not specifically

authorized by the University, and particularly, where said services are provided on a fee-for-

service or contractual basis.

Full-Time Service:

Engaging in outside business or employment activities that are incompatible

with the University's right to full-time and efficient service from its Members. Situations with

respect to part-time Members will be dealt with according to their specific circumstances and

within the spirit and intent of this Policy.

1/ ?

GP 37 DRAFT 0.6: Conflict of Interest, page 3

. ?

Use of Position to Influence Others.'

Using one's position with the University to influence any

other concern in its dealings with other parties for the personal profit or advantage of any person.

Using one's academic or administrative position to create an inappropriate advantage for a

Family Member.

Favouring Outside Interests for Personal Gain:

Entering in to a research contract with a company

in which the Member, or a Family Member, has a financial or other interest. Directing the

Member's government-sponsored research program to serve the research or development needs

of a private firm in which the Member has a financial or other interest. Entering into a licensing

agreement for the development of intellectual property,

enerated as the result of University

research with a company in which the Member has a financial or other interest.

Inappropriate Use of University Personnel, Resources or Assets.-

Using University students or

staff to carry out work on behalf of a company in which a Member has a financial or other

interest. Using University resources or facilities without reimbursement to benefit a private

concern in which the Member has a financial or other interest.

Inappropriate Involvement in the Appointment Process.'

Participating in the appointment,

promotion or hiring of a Family Member.

Runningfor or serving in public office:

Seeking a nomination, running for, or serving in public

office may constitute a conflict of commitment. See Policy GP 2 (Political Leave).

PROCEDURES ESTABLISHED UNDER THIS POLICY

Conflict of Interest Reporting and Assessment Procedure

Appendix I

This Policy should be read in conjunction with the following University Policies;

30.04

Outside Activities Policy

GP 2 Political Leave

R 10.01 External Research Grants and Contracts

R 60.01 Integrity in Research and Misconduct in Research

Records created as a result of actions under this Policy will be mana

ed in accordance with a

Records Retention Schedule and Disposal Authority (RRSDA). The University Archivist is

responsible for approving all RRSDAs.

GP 37 DRAFT 0.6: Conflict of Interest, page 4

Policies and Procedures

draft 0.4

SUBJECT: Procedures for Disclosing and Assessing Conflicts of Interest

1.0 Disclosing Conflicts of Interest-- Research

1.1. Members applying for research funding must complete a Research Funding

Application Signature Sheet

[link toform].

part of that application process, the

applicant must disclose any real or potential conflicts of interest (see University

Policy GP 37) on the form and indicate that a Conflict of Interest Review is required.

1.2 Where the research involves the use of human subjects, the Research Ethics Review

Board will review the real or potential conflict of interest and determine whether a

conflict of interest exists and, if so, whether it may be managed or must be

disallowed.

1.3 Where the research does not involve the use of human subjects, the Research Ethics

Review Board will refer the disclosure to the research applicant's supervisor, who

will review the real or potential conflict of interest and determine whether a conflict

of interest exists and, if so, whether it will be managed or must be disallowed.

1.4 In all cases, the reviewer will issue a written decision to the Member who has

declared the real or potential conflict of interest, with a copy to the Research Ethics

Review Board, setting out the issues assessed during the review and the reasons for

the decision. Where the decision is to manage the conflict, a process for doing so

will be set out.

2.0 Disclosing Conflicts of Interest - Non-Research

2.1 Each Member shall disclose to his or her Supervisor any real or potential conflict of

interest that exists or mi

ht reasonably be perceived to exist. Where the Supervisor

shares in the same conflict of interest, both parties shall disclose this to the next most

senior supervisor.

2.2 Disclosure shall be made in each of the following circumstances, where appropriate:

Conflict of Interest Disclosure and Assessment Procedures, draft 0.4. 1

9 ?

2.2.1 As soon as any situation arises that creates, or may be perceived to create, a

conflict of interest for a Member, or as soon as the Member becomes aware of

such a situation;

2.2.2 As required in any annual report of a Member's activities or plans or both;

2.2.3 Prior to the appointment of the Member;

2:2.4 Where required by a particular grant or contract;

2.2.5 Where otherwise required in accordance with Policy GP 37.

2.3 Normally, disclosures of a conflict of interest will be made in writing using the

Conflict of Interest (Non-Research) Disclosure Form

[link toformJ.

Minor conflicts,

such as those that may arise in a committee meeting, may be disclosed verbally to

the chair.

2.4 If a Member is uncertain whether a conflict of interest exists or is likely to exist,

clarification should be sought in a preliminary discussion with the Supervisor or

other appropriate officer of the University.

3.0 Procedure for Handling Conflicts of Interest (Research and Non-Research)

3.1 The Reviewer shall consider the particulars of the situation and decide whether a

conflict of interest exists; whether it will be allowed to continue or must be

discontinued; and, if it is to be allowed, if conditions should apply.

3.2 The Reviewer shall determine the course of action that is in the best interests of the

University. In making this determination, the Reviewer may take into account the

following factors:

3.2.1 any possible harm to the University or its employees, officers or others acting

on its behalf if the conflict is allowed;

3.2.1 any possible harm to the interests of students, clients of University services, or

others served by the University, if the conflict is allowed;

3.2.3 whether reasonable alternative arrangements are possible which do not create a

conflict of interest;

3.2.4 the consequences to the University, its reputation and future activities if the

conflict of interest is not allowed;

3.2.5 the consequences to the University and its reputation and future activities if the

conflict of interest is permitted to continue;

3.2.6 the educational, research, economic and other interests of the University; and

3.2.7 the rights and interests of the University Member.

•

3.3 The Reviewer may request from the Member additional information that relates

directly to and is necessary to assess and decide the real or potential conflict. The

Conflict of Interest Disclosure and Assessment Procedures, draft 0.4. 2

Reviewer may consult with others before making a decision relatin

to real or

potential conflict of interest.

14 The Reviewer may impose terms and conditions before permitting a conflict of

interest to continue.

3.5

In all cases, the Reviewer will issue in writing a report to the Member who has

declared the real or potential conflict of interest, setting out the issues assessed

during the review, the decision made and the reasons for the decision. Where the

decision is to manage the conflict, a process for doing so will set out. For reporting

purposes, a copy of the report will be forwarded by the Reviewer to the Office of

Research Ethics.

3.6

A decision concerning an on

oing conflict of interest may be reviewed by the

Reviewer at appropriate intervals. The original decision may be reversed or varied.

4.0 Assessin

and Managing Conflicts of Interest (Research and Non-Research)

4.1. Without limiting the discretion of a person assessing a disclosure to consider all

relevant factors, the Reviewer must consider the following factors in assessing a

disclosure:

4.1

University;

.1 the impact on the Member's ability to satisfy his or her obligations to the

4.1.2 the degree to which the proposed action will be detrimental to the interests

of the University, or in the research context;

4.1.3 the degree to which it may compromise an investigator's professional

judgment in conducting or reporting research; and

4.1.4 the extent to which the proposed action or activity may be managed through

an appropriate protocol.

4.2. Where a Reviewer is unable to determine an appropriate course of action, the

disclosure will be referred to the next level of review with a copy of the disclosure

report and any related documents.

5.0 Access to Disclosures

5.1 Disclosures made under Policy UP 37 (Conflict of Interest) will normally be treated

as confidential. However, in order to meet the objectives of the Policy it will sometimes

be necessary for the University to permit persons within the University and, in some

circumstances, persons outside the University, access to information about such

disclosures and the terms and conditions imposed. Information will be disclosed only as

permitted or required by law.(

Conflict of Enterest Disclosure and Assessment Procedures. draft 0.4.

6.0 Records Management

6.1 Records created as a result of actions under this policy will be mana

ed in accordance

with a Records Retention Schedule and Disposal Authority (RRSDA). RRSDAs

delineate records retention requirements, timeframes, and final dispositions based on an

appraisal of the value of the records. The University Archivist is responsible for

approving all RRSDAs.

£7

Conflict of Interest Disclosure and Assessment Procedures, draft 0.4. 4

CONFIDENTIAL

SIMON FRASER UNIVERSITY?

CONFLICT OF INTEREST (NON-RESEARCH) DISCLOSURE FORM:

Compensated External Professional Activity (Consulting, Board Memberships, Teaching, etc

Company or Organization

Description of Relationship, Form

. of Compensation and

Conflict or Potential Conflict of Interest

2 ?

Business Interests and Relationships (Personal, Family or Other)

Company or Organization

Description of Relationship, Form of Compensation and

Conflict or Potential Conflict of Interest

Other External Activities..!.

Company or Organization

Description of Relationship, Form of Compensation and

Conflict or Potential Conflict of Interest

Signature:

Date:

Freedom of information and protection of privacy

The information is collected under the authority of the University Act (RSBC 1996, c. 468) and University Policy

37.

It relates directly to and is necessary to manage the University's conflict of interest policy. This information

is used only in assessing and deciding the real or potential conflict of interest disclosed in it. Questions about the

collection and use of this information should be directed to the Vice President, Research/Vice President. Legal

Affairs.

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Simon Fraser University Research Funding Application Signature Sheet

One photocopy of the funding proposal must be attached to this signed form when submitted to Research Services for appro vat

Funding Agency or other Sponsor

Agency Program (if applicable)

Name of SFU Principal Investigator/Applicant

Applicants status at Simon Fraser University

Co .

lnvestgator(s) if any

Department(s) or School(s)

Primary Use of funds Operating

Equipment

Fellowship ?

Conference

Proposed SFU budget, for annual or other specified time periods of project.

Project Dates From:

To:

Personnel salary costs (including benefits)

Release Time Stipend/ Replacement Costs

Principal Investigator Fees or Honoraria

Equipment (incl. 8.98% GST & PST)

Other Direct Costs (e.g. travel, supplies

Total Direct Costs (generated automatically

______________

SFU Overhead (please see reverse:

Totals (generated automatically)

this project flealti

Does this project make use

of advanced

this project an international colt

this a renewal or addition to a curs

CERTIFICATES:

Ethics Review

Conflict of Interest Review

Is Biohazards Review

is Animal Care Review

Period

Special Requirements:

Describe below any incremental requirements for space, equipment, services, facilities, release

time, or other resources proposed to be provided by SF1); use a separate sheet if necessary.

none, enter 'none.

•

Do not leave box empty.

Please note that institutional approval for the application may be withdrawn

it is later determined that SF1) cannot provide

incremental resources that are required to carry out the work but that were not identified by the applicants at the time

application.

Pert—

(Note: Periods are normally 12 months)

(generated automatically)

Yes

Approval dale! number

Approval date / number:

Signatures indicate approval and acceptance of any special requirements described above.

Authorizing Signatures:

For a complete explanation

what signatures indicate, please

see reverse.

Date

Applicant(s) _________________________________________________________

applicable) Institute Director

Date

Research Services

C2.