Conflict of Interest Policy

Per the Policy, “A conflict of interest exists when:

1. a faculty member's paid professional activities undermine rather than enhance the faculty member's ability to meet the faculty member's responsibilities to the University; or
2. a faculty member's non-professional activities which are engaged in for personal gain undermine rather than enhance the faculty member's ability to meet the faculty member's responsibilities to the University; or
3. a faculty member's personal or financial interest conflicts with the faculty member's responsibilities to the University.”

These conflicts may be present during the planning or conduct of research projects.  Conflicts should always be disclosed and appropriately managed by the person to whom the researcher reports. Given the wide scope of the Policy, this summary is not intended to provide guidance on any course of action, but rather to educate the research community about the necessity to appropriately disclose and manage all conflicts of interest per the Policy.

In addition to the University’s Conflict of Interest Policy, some research sponsoring agencies may have their own conflict of interest procedures and policies which need to be accepted by the researcher and the University prior to accepting their research funding.  It is important to be aware of and compliant with these policies, in addition to the University’s Policy.

Feedback: Draft Guideline on Conflict of Interest in Research, Innovation & Commercialization for Faculty Members & Librarians 

The University is seeking feedback on the draft new guideline below that places faculty members’ research, innovation, and commercialization activities in the context of University policies relating to conflict of interest and provides some examples of conflict of interest or commitment specific to research and innovation activities. U of T community members can submit confidential feedback by email to vpri.reports@utoronto.ca

Draft Guideline on Conflict of Interest in Research, Innovation & Commercialization for Faculty Members & Librarians 

As a leading research-intensive university that excels across all disciplines, U of T has a vibrant culture of research excellence and innovation. U of T researchers are increasingly involved in various forms of research collaborations and entrepreneurial activity that may involve global networks of academics and include the involvement of government, NGO, community or other organizations, in addition to public and private companies. The University encourages our faculty members to seek out new collaborations, particularly since working with external entities is often important in helping move research and new knowledge into implementation with a range of social, health, and economic impacts.   

While engaged in research, innovation or commercialization activities, it is important that U of T faculty members conduct their activities in a transparent manner and proactively manage actual, potential and perceived conflicts of interest. U of T faculty members should also be familiar with the Inventions Policy of the University which includes an invention disclosure requirement to the Innovations, Partnerships & Entrepreneurship Office.

Components of this guideline may also be applicable to librarians who engage in external collaborations and/or consultation, or who may develop new innovations, technologies or other information services with commercial potential. Librarians are covered by the Policy on Conflict of Interest – Librarians and should contact the University Chief Librarian for more information about how that policy applies to them.  

Existing Conflict of Interest Policies 
Faculty members should have regard to the following policy and statement which apply to conflicts of interest.  

Policy on Conflict of Interest – Academic Staff  
Statement on Conflict of Interest and Conflict of Commitment

These and other policies, along with related guidelines and professional standards, define conflict of interest, prohibit specific behaviours/activities, and establish requirements to disclose and obtain prior approval for certain activities, and to file an annual Paid Activities Report. All faculty members should be familiar with these policies and follow them, including when they are conducting research and related activities as defined in the University’s Research Administration Policy. It is not always easy to identify potential conflict of interest situations and faculty members are encouraged to raise any potential areas of concern for discussion with their Division Head, Chair, or Director prior to entering into any arrangements that are or could be perceived as a conflict of interest.  

Purpose of this Guideline  
This guideline places faculty members’ research, innovation, and commercialization activities in the context of University policies relating to conflict of interest and provides some examples of conflict of interest or commitment specific to research and innovation activities.  

CONFLICT OF INTEREST 

Please refer to the Policy on Conflict of Interest – Academic Staff for the definition of “Conflict of Interest” (section 3.0 of the Policy) and for a list of activities that require prior approval (section 4.0 of the Policy).:

A conflict of interest exists when:

(a) a faculty member's paid professional activities undermine rather than enhance the faculty member's ability to meet the faculty member's responsibilities to the University; or

(b) a faculty member's non-professional activities which are engaged in for personal gain undermine rather than enhance the faculty member's ability to meet the faculty member's responsibilities to the University; or

(c) a faculty member's personal or financial interest conflicts with the faculty member's responsibilities to the University.

 

Section 4(c) of the Policy outlines when prior written approval is required from the person to whom the faculty member reports. For example, prior written approval is required if it is proposed that the University administer funding for research that would be undertaken by a faculty member for a company or organization where a financial interest is held by the faculty member, any member of the faculty member’s immediate family, or any person with whom there exists, or has recently existed, an intimate personal relationship.  

A conflict of commitment under the Policy on Conflict of Interest – Academic Staff is a type of conflict of interest that may arise when a faculty member performs non-University activities that involve interests and time commitments that have the potential to undermine rather than enhance a faculty member’s professional duties and expectations at the University. For example, a conflict of commitment may arise when a faculty member engages in a single project with a time commitment of more than 20 days per year outside the University (e.g., consulting, self-employment, working at or for a company or another academic institution), or if a faculty member engages in any combination of professional activities outside the University that are likely to exceed 45 days during a year. 

Faculty members may be in a real or perceived conflict of interest that requires disclosure and pre-approval in any circumstances where the faculty member’s personal or other non-University interests conflict with their duties and responsibilities to the University (including providing guidance and support to students, maintaining academic integrity in research and education and/or adhering to any other applicable policies). Examples of conflict of interest in research and innovation activities that require disclosure and pre-approval include but are not limited to when a faculty member: 

1. Undertakes research activities at the University using funds or other resources provided by a company in which the faculty member, any member of the faculty member's immediate family, or a person with whom there exists, or has recently existed, an intimate personal relationship has a financial interest (e.g., founder, employee, equity holder, member of a Management Board, or provider of paid activities such as consulting).
2. Participates in the negotiation of intellectual property (IP) rights between the University and a company in which one or more of the faculty member, any member of the faculty member's immediate family, or a person with whom there exists, or has recently existed, an intimate personal relationship has a financial interest in the company. 
3. Accesses University resources (e.g., space, personnel etc.) for, or involves students or trainees in, activities not related to their University work that have personal benefit to themselves or to benefit a company in which the faculty member, any member of the faculty member's immediate family, or a person with whom there exists, or has recently existed, an intimate personal relationship has a financial interest. 
4. Engages in consulting that includes more than trivial use of University resources.
5. Is involved in a start-up company or other entity (i.e., as a(n) owner, equity-holder, investor, board member, employee, consultant) in any circumstance where the faculty member is involved in decisions that affect activities, resources or funding administered by the University in relation to that entity. Examples include, but are not limited to, when a faculty member:  
   • Proposes to use their University-administered funding to benefit the start-up company or other entity, including the purchase of products or services from the company or entity.  
   • Uses University space or shared resources/services to conduct business or research that benefits the company or entity.  
   • Directs or supervises students, post-doctoral fellows or University employees to work on activities that are linked to specific research that could benefit the company or entity. 
6. Spends over 20 days in a year (e.g., on average half a day per week) overseeing a research laboratory at a company or another academic institution, whether or not they received personal financial remuneration or another form of financial or in-kind support for these activities (conflict of commitment).

MANAGING CONFLICTS OF INTEREST
Faculty members are encouraged to engage in activities outside the University as these can be important ways to disseminate knowledge and impact the broader community in which we work and live. Faculty members should consult with the academic leader to whom the faculty member reports (e.g., Division Head, Chair, Director) to enable the development of appropriate strategies to avoid conflicts of interest and/or conflicts of commitment. Disclosure and prior approval as described in Section 4 of the Policy on Conflict of Interest – Academic Staff is required in certain circumstances, including activities requiring engagement of University resources or students and/or significant time commitments.  

When a faculty member requests approval, it is the responsibility of the person to whom they report (e.g., Division Head, Chair, Director) to review the information provided and determine the appropriate course of action and any mitigating steps in accordance with the Policy on Conflict of Interest – Academic Staff.  If the Division Head, Chair, or Director determines that the conflict of interest can be managed effectively, they may require certain safeguards to govern the activity. Typically, one of the key aspects of any plan to manage a conflict is to either insulate the individual from any decision-making that gives rise to a conflict, or add additional layers of review to that decision-making to mitigate any concerns. Another common component of any plan is to ensure all parties are aware of the conflict and regularly disclose related activities. Appropriate management of a conflict may include ensuring that the academic division and relevant institutional support offices at the University are aware of the conflict and may advise on the management plan.  

If the Division Head, Chair or Director determines that the conflict of interest or conflict of commitment cannot be managed effectively, a decision (e.g., denying the request, granting approval conditional on the faculty member taking a full or partial leave without pay etc.) will be rendered in accordance with the Policy of Conflict Interest – Academic Staff. 

CONFLICT OF INTEREST REQUIREMENTS IN ADDITION TO UNIVERSITY REQUIREMENTS  
In addition to University policies, many research sponsors and agencies have their own policies, procedures or guidelines regarding conflicts of interest (financial or otherwise) that form part of the terms and conditions of the award. Both their definition of conflict of interest and policy/procedural requirements may differ from those of the University.  If a faculty member accepts such awards, they must understand and comply with the requirements of the sponsor in addition to those of the University. If the faculty member accepts such awards and the University administers the funding, both the faculty member and the University will be required to follow these agencies’ conflict of interest policies, which may differ from the University’s own policies and procedures, in addition to applicable University policy.  

Please note that faculty members may also need to disclose conflicts of interest in other aspects of their professional activities, for example, in accordance with the conflict of interest policies of affiliated institutions at which the faculty member holds an appointment, journals, publishers, speaking engagements, professional bodies etc. Disclosing potential conflicts to the University does not replace or fulfill any obligations required to these, or other, external organizations and vice versa.    

APPENDIX: RELEVANT POLICIES AND STATEMENTS AND OTHER RESOURCES 

• Policy on Conflict of Interest – Academic Staff
• Statement on Conflict of Interest and Conflict of Commitment
• Guideline for Faculty Members and Librarians Regarding Conflict of Interest and Sexual, Intimate, or Familial Relationships
• Policy on Conflict of Interest – Librarians  
• Paid Activities Report
• University of Toronto Inventions Policy
• Research Security
• Research Administration Policy
• International Partnership Due Diligence
• Sensitive Technology Guidance
• Inventor’s Guide to Technology Transfer
• Guide to Financial Management

• Policy on Conflict of Interest – Academic Staff
• Statement on Conflict of Interest and Conflict of Commitment
• Draft Guideline on Conflict of Interest in Research, Innovation and Commercialization for Faculty Members and Librarians

• Ensure that researchers are aware of the University’s Policy on Conflict of Interest – Academic Staff.