1.0 Disclosing Conflicts of Interest

1.1 For the purpose of this Procedure, “Conflict of Interest” includes a Conflict of Commitment.

1.2 A Member shall disclose a Conflict of Interest in writing to the Committee and to their Unit Head.

1.3 Where a Member is uncertain whether a Conflict of Interest exists, they should consult with the Committee, who may also consult with the Unit Head.

1.4 The Committee may seek input from the Unit Head regarding a disclosure made to it by a Member. Such input may relate to a proposed mitigation plan or such other matters as the Committee may determine.

1.5 The Unit Head shall assist the Committee in requesting and obtaining such additional information as may be requested from the Committee from time to time for the purpose of assessing a disclosure.

1.6 Where a Unit Head becomes aware of the existence of a Conflict of Interest that has not been disclosed to the Committee, the Unit Head shall direct the Member to whom such Conflict of Interest relates to submit a disclosure to the Committee for review. If the Member does not promptly provide such a disclosure to the Committee for review, the Unit Head shall directly make a disclosure in relation to such Conflict of Interest to the Committee. The Unit Head may provide advice and information to the Committee in relation to a particular Conflict of Interest; however, the final decision as to whether or not the Conflict of Interest shall be permitted and/or how the Conflict of Interest shall be managed shall rest with the Committee.

1.7 Unit Heads bear the specific and primary responsibility for informing Members within their Unit of the terms of the Conflict of Interest Policy and this Procedure. They are expected to act on this responsibility and to comply with the provisions of the Policy and this Procedure. Unit Heads are to lead by example, to take reasonable measures to ensure Members are aware of and abide by their responsibilities under the Policy and this Procedure and to keep appropriate documentation of action taken. In addition, Unit Heads should seek appropriate advice and guidance to carry out these responsibilities from the Committee.

1.8 Conflicts of interest that may be averted by avoidance of the situation or by absenting oneself from the discussion/decision (e.g., those that may arise during committee meetings) shall be disclosed verbally in the particular situation. If such situations arise at committee meetings, the Member shall declare the Conflict of Interest and absent themselves from the meeting. This shall be recorded in the minutes of the meeting.

2.0 Research Involving Human Subjects

2.1 Each Member shall disclose a Conflict of Interest that arises in the course of applying for research funding, receipt of research funding or in carrying out of research.

2.2 Where research involves the use of human subjects, the disclosure shall be made to the applicable Research Ethics Board, in accordance with the Ethics of Research Involving Human Participants Policy.

2.3 The applicable Research Ethics Board shall issue a written decision to the Member to whom the Conflict of Interest disclosure relates, with a copy to Research Initiatives & Services and the Committee, setting out the issues assessed during the review, the reasons for the decision, and if applicable, the plan for managing the Conflict of Interest.

2.4 If there are aspects of research that could give rise to a Conflict of Interest but do not fall within the jurisdiction of an applicable Research Ethics Board, disclosure of that Conflict of Interest shall be made in accordance with the Policy and this Procedure in addition to any disclosure made to the applicable Research Ethics Board. In these situations, the Committee will report its decision to the applicable Research Ethics Board.

3.0 Appeals

3.1 Where a Member is not in agreement with a decision made by the Committee, they may appeal the Committee’s decision in writing normally within 30 calendar days to the Vice-President to whom they or their Unit Head reports or, if the Member is a Vice-President, to the Board Chair. If the Member is the President, they may make such an appeal to an appeal committee of the Board of Regents. In the written appeal, the appellant shall outline the grounds for their appeal and submit the supporting documentation that was provided to the Committee. If there is new supporting documentation provided in the appeal, the Committee shall be provided with a copy of the new supporting documentation and will be provided with an opportunity for comment.

3.2 The appropriate Vice-President may seek advice following a review of the appellant’s submission. In addition, the appropriate Vice-President may meet with the Member.

3.3 The appropriate Vice-President will render a decision in writing within 30 calendar days of receipt of the appeal.

4.0 Conflict of Interest Situations

4.1 Conflicts of Interest may take many forms. A limited set of examples is provided below. This list is non-exhaustive and does not in any way limit the obligation of a Member to recognize or disclose a Conflict of Interest in accordance with the Conflict of Interest Policy.

4.1.1 Interest in a Research, Business, Contract or Transaction 

Entering into, involvement in, or influencing of an agreement on behalf of the University including a research, business or other contract, a business arrangement, licensing agreement, purchasing agreement, or any other transaction with a company, organization, firm or individual in which the Member has a Personal Interest.

4.1.2 Influencing Purchase of Equipment/Materials or Services 

Influencing the purchase of equipment, materials or services on behalf of the University from a company, organization, firm or individual in which the Member has a Personal Interest.

4.1.3 Acceptance of Gifts, Benefits or Financial Favours

Accepting gifts or gift certificates valued in excess of $500 from one source in a fiscal year from individuals or firms with which the University does business or with which it is contemplating doing business. Members may not accept cash or cash equivalents, in-kind services, excessive discounts, shares, excessive entertainment, or loans on preferential terms.

4.1.4 Use of Information

Using for personal or professional gain information which a reasonable person would view as privileged or confidential that is acquired as a result of the Member's University supported activities, or communicating this information to those not authorized to receive it. Such information might include knowledge of any forthcoming developments requiring the selection of a contractor or bulk purchases. Other examples may include unreasonably delaying publication of research results or the premature announcement of research results.

4.1.5 Use of Students, University Personnel, Resources or Assets

Directing University students or personnel to carry out work for the Member or any business, company, organization or firm in which the Member has a Personal Interest or using any University resources or facilities for the benefit of any Personal Interest without appropriate approval.

4.1.6 Involvement in Personnel Decisions

Participating in the recruitment, appointment, re-appointment, tenure review, hiring, promotion review, performance evaluation, renewal of contracts, discipline matters, compensation or benefits decisions, committee decisions, leave requests, expense claims or other personnel decisions or recommendations involving or regarding any Personal Associate of the Member. Reference is made to section 6.13 of the MUNFA Collective Agreement.

4.1.7 Participating in the Review of Grants

Participation by a Member in the review of grants involving a Personal Associate or Professional Associate of the Member.

4.1.8 Academic Program Decisions Affecting Students

Participation by a Member in decisions to admit a student to a program or course; to provide instruction or supervision to a student; to award prizes, scholarships, financial assistance or other benefits to a student; or to award teaching or research assistantships to a student, where the student or a member of the student’s family is a Personal Associate of the Member.

4.1.9 Evaluation of Student's Academic Work

Participating in the evaluation of a student's academic work where that student is a Personal Associate of the Member.

4.1.10 Involvement in Compliance Decisions Affecting Students

Participation by a Member in decisions to determine compliance with University policies or codes by any person and/or to determine sanctions against any person for any violation thereof, where the person is a Personal Associate or Professional Associate of the Member.

4.1.11 Advancing of Outside Interests for Personal Gain

Primary examples include: Entering into a research contract with a company in which the Member has a Personal Interest; Redirecting the Member's sponsored research program to serve the business, research or development needs of a non-sponsoring company, organization, or private firm in which the Member has a Personal Interest; Entering into a licensing or business agreement for the development of intellectual property, generated as a result of University research with a company, organization or private firm in which the Member has a Personal Interest.

4.1.12 Political Activity

Members have the right to freedom of expression and association and to become involved in political activities. However, there may be limited circumstances in which a Member's involvement in a political activity constitutes a real, potential or perceived Conflict of Interest.