A Guide to Conflict of Interest for Faculty, Librarians and Archivists, and Clinical Academics

Introduction:

Conflicts of interest can be actual or perceived.  Both need to be addressed, though the solution may be different.

A conflict of interest or conflict of commitment may be covered by more than one Western or external policy or process and the policies/processes may use different words to define the conflict or provide slightly different actions to follow.  It is your responsibility to be aware of all relevant policies/processes.

When in doubt, it is always better to declare an actual or perceived conflict of interest.  An undeclared conflict of interest can delay, disrupt or even void a University process and/or violate policy and be a potential cause of discipline.

If you are uncertain about whether you are in a conflict of interest and you would prefer to avoid sharing personal information unless it is necessary, you can ask for confidential advice on these policies from the Office of Faculty Relations, the School of Graduate and Postdoctoral Studies, Western Research, or Human Resources, as applicable.

Disclaimer:

The information below is provided as a general guide to University policies/processes on conflict of interest and conflict of commitment as they relate to faculty members, librarians and archivists, and clinical academics, with the intention of aiding in the location of relevant policies.  It does not cover all facets of the policies, and in all cases the language of the policy itself takes precedence. 

Section 1:

Manual of Administrative Policies and Procedures

MAPP policies apply to all employees of the University. 

MAPP 3.4 sets out 4 categories of conflict of interest.

• Where an employee has the opportunity to use the authority, knowledge, or influence derived from their position to improperly benefit themself or someone else.
• if gifts, gratuities, or favors of any kind are exchanged between employees and any individual or company whose relationship with the University involves the employee’s sphere of responsibilities.
• if an employee accepts outside employment or engages in outside activities which may interfere with the efficient performance of their University duties.
• If an immediate relative is appointed to a position which directly affects the employment status or responsibility of an employee.

If an employee is faced with a situation involving an existing or potential conflict of interest, or is in any doubt about the application of these policies, they must report the circumstances to:

• the Director of Purchasing in matters relating to the acquisition of goods and services,
• in other matters, the Dean or Budget Head [MAPP 3.4 Conflict of Interest]

Affirming Declarations of Indigenous Citizenship or Membership

All members of the Indigenous Affirmation Advisory Council must operate at arm’s length to the individual seeking affirmation (i.e., are unrelated and unaffiliated to the individual) to avoid any conflict of interest or perception of a conflict of interest. [MAPP 1.58 Procedure 3b]

Section 2:

The UWOFA and UWOFA-LA Collective Agreements

The UWOFA Collective Agreement (CA) provisions apply to all UWOFA faculty, while the UWOFA-LA CA provisions apply to all librarians and archivists.[1] 

Definitions

The UWOFA CA and UWOFA-LA CA define “conflict of interest” as a situation where:

• a Member’s financial or other personal interest, whether direct or indirect, or
• that of any person with whom the Member has or has had a “relationship”

conflicts, or appears to conflict, with the Member’s responsibility to the University.

The clause recognizes that a conflict of interest may be actual or apparent. [Conflict of Interest and Conflict of Commitment (C of I & C of C) 2]

The UWOFA CA and UWOFA-LA CA define “relationship” as

• any relationship of the Member to persons of their immediate family, whether related by blood, adoption, marriage or common-law relationship
• any relationship of an intimate and/or financial and/or commercial nature during the preceding three years
• any student-supervisor relationship[2]
• any other past or present relationship which may give rise to a reasonable apprehension of bias. [C of I & C of C, 1]

Personal relationships

The UWOFA CA warns Members to embark on any personal relationship with a student or employee of the University with caution, since the faculty member’s ability to confer or refuse academic or financial benefits may compromise the ability of the student or employee to freely consent to such a relationship. [UWOFA CA C of I & C of C 2.1: See also UWOFA CA Discrimination and Harassment 5.1.1; MAPP 1.35; and Bill 26 - Strengthening Post-secondary Institutions and Students Act, 2022]

If a Member does enter a relationship with a student:

• a sexual, intimate or personal relationship with a student that they supervise or otherwise evaluate is an actual conflict of interest
• a sexual, intimate or personal relationship with a student enrolled in a course or programme offered by their Faculty, or in any graduate programme where they have academic responsibilities, is an apparent conflict of interest

In either case the Member must declare the existence of the conflict of interest and immediately terminate any supervisory or evaluative role. [UWOFA CA C of I & C of C 2.2 -2.2.2]

Academic and Administrative Decisions

No Member shall knowingly participate in any [academic or administrative][3] decision, including decisions regarding commercial contracts or transactions, that

• benefits the Member
• affects or benefits a person from whom the Member stands to derive a financial benefit
• affects or benefits a person with whom the Member has or has had a “relationship” [C of I & C of C 5]

No Member shall enter into any research program involving human subjects where there exists an actual, potential or perceived conflict of interest. [C of I & C of C 2.3]

Process

In some cases the existence of an actual or apparent conflict of interest does not preclude involvement in a matter, but the conflict must be declared to the Dean/Chief Librarian in writing as soon as possible. [C of I & C of C 3]

A third party with knowledge of the matter may also assert the existence of a conflict of interest to the Dean/Chief Librarian [C of I & C of C 3.1] 

The Dean/Chief Librarian will make a determination and communicate to the parties [C of I & C of C 4-4.2]. 

The Member, by their own volition, and/or at the determination of the Dean/Chief Librarian, might withdraw entirely from the matter; withdraw from any meeting where the matter is discussed; refrain from any further discussion of the matter; refrain from voting on the matter.  [UWOFA CA C of I & C of C 6: UWOFA-LA CA C of I & C of C 7]

Financial Decisions

No Member shall

• knowingly authorize purchases, using University funds, from a source with whom the Member, or a person with whom they have, or have had a “relationship” has a material financial interest
• engage a person with whom they have, or have had a “relationship” using University funds without direct authorization from the Provost. [UWOFA CA C of I & C of C 7: UWOFA-LA CA C of I & C of C 8]

Using confidential or proprietary information of the University for the personal benefit of the Member or any member of their family is considered a conflict of interest. [Privacy 5]

Professional Activities

Members may engage in part-time paid or unpaid professional activities outside the University as long as:

• they do not conflict or interfere with the Member’s obligations to the University
• any use of the University’s facilities, supplies etc. is approved in advance and paid for by the Member, unless the University explicitly waives such costs [C of I & C of C 9]

Members may employ students whom they teach, advise or supervise for outside, part-time, paid activities as long as:

• it does not interfere with the student’s academic progress
• the Member provides the Dean information about the student’s employment
• The Member complies with all relevant employment-related legislation [UWOFA CA C of I & C of C 10: see also Appendix E]

If a full-time Member plans to engage in a major external activity which could interfere with their academic responsibilities, they must disclose the plan to their Dean/Chief Librarian and seek approval [UWOFA CA C of I & C of C 12-16: UWOFA-LA CA C of I & C of C 10-14] 

Significant paid professional activities shall be included on the Member’s Performance Evaluation Report/Paid Activities Report [UWOFA CA C of I & C of C 16.1: UWOFA-LA CA C of I & C of C 14.1]

Committee Activities

Members serving on Collective Agreement committees are expected to declare any conflict of interest that might arise.  Some articles make specific provisions for how the conflict of interest must be handled.

Appointments

If any member of an appointments committee, including the chair, has a conflict of interest, they declare and withdraw from consideration of, and voting on, all relevant cases.  [UWOFA CA Appointments 5.13: UWOFA-LA CA Appointments 7.9]

A third party with knowledge of the matter may also assert the existence of a conflict of interest to the Dean. [UWOFA CA Appointments 5.13]

Where the conflicted individual is the chair, an associate dean shall chair the committee: in a non-departmentalized Faculty another Dean or associate dean. [UWOFA CA Appointments 5.13.1]

Library Directors and Heads

If any member of the selection committee has a conflict of interest they shall withdraw from consideration of the relevant case(s) and be replaced by the alternate.  Where the conflicted individual is the chair, the Provost shall appoint a replacement. [UWOFA-LA CA Library Directors and Heads 4.6]

Performance Evaluation

Two Full-Time alternates are to be elected to the Performance Evaluation committee to act in the absence or conflict of interest of a Full-Time Member; a Part-Time alternate [as required] to act in the absence or conflict of interest of a Part-Time Member. [UWOFA CA Performance Evaluation 5.1 c]

No Member to is evaluate a file where there is a conflict of interest.  If the Dean chairing the committee has a conflict of interest the Provost shall appoint a substitute. [UWOFA CA Performance Evaluation 11.1-11.2]

Promotion, Tenure and Continuing Status

If any Member has a conflict of interest they will withdraw and a replacement shall be elected.  If the conflicted Member is the Chair, another Member shall be elected to act as Chair. [UWOFA CA Promotion, Tenure and Continuing Status 17.1]

A Member who is aware of or suspects the existence of a conflict of interest shall communicate this immediately to the Dean [UWOFA CA Promotion, Tenure and Continuing Status 17.1.1]

If the Dean has a conflict of interest the Provost shall appoint a substitute. [UWOFA CA Promotion, Tenure and Continuing Status 17.1.1]

Promotion and Continuing Appointment

If any voting member of the selection committee has a conflict of interest they shall withdraw from consideration of the relevant case(s) and be replaced by the alternate.  Where the conflicted individual is the chair, the Provost shall appoint a replacement. [UWOFA-LA CA Promotion and Continuing Appointment 4.9]

Investigations and Discipline

Academic Fraud and Misconduct

If any investigator on a panel has a conflict of interest they must declare and withdraw and the Vice President (VP), Research shall appoint a replacement [Academic Fraud and Misconduct 6.1.1]

Discipline

If the Employer decides to begin an investigation it will ensure that any investigator does not have a conflict of interest [Discipline 11.4]

Discrimination and Harassment

Anyone involved in administering the article who has a conflict of interest or reasonable apprehension of bias must declare to the VP (Resources and Operations).  [Discrimination and Harassment 11] [sic]

Any party to the complaint may also assert the existence of a conflict of interest to the VP (Resources and Operations) [Discrimination and Harassment 11.1]

If the Associate Vice President (AVP) - HR decides to begin an investigation they will ensure that any investigator does not have a conflict of interest [Discrimination and Harassment 14.3b]

Grievance and Arbitration

If the Dean/Chief Librarian or Associate Dean or designate has a conflict of interest they shall withdraw from any process of informal resolution [Grievance and Arbitration 11.1]

Income Security

If the Employer requires an Independent Medical Examination it must be conducted by a qualified health professional with no conflict of interest [UWOFA CA Income Security 18.1: UWOFA-LA CA Income Security 20.1]

[1] Where the reference is the same in both Collective Agreements only the article name and number is given.

[2] UWOFA CA only

[3] UWOFA CA only

Section 3:

Conditions of Appointment for Physicians

Clinical Academics are governed by MAPP and by the provisions for Conflict of Interest in the Conditions of Appointment for Physicians.

Appointment, Promotion and Appeal Committees

Departmental Committee

If any member of the departmental appointments and promotion committee has a conflict of interest they withdraw from consideration of the relevant case or cases. 

If the department chair has a conflict they will withdraw and the committee will appoint an alternate chair from among the committee members. 

Where the committee is reviewing an appointment [under section 7] and the Vice Dean (Faculty Affairs) has a conflict of interest, the Dean will appoint another Vice Dean.

Any conflict of interest of a committee member must be documented in the meeting notes of the committee. [Department Appointments and Promotion Committees, 3.1.5]

Faculty Committee

If any member of the Schulich appointments and promotion committee has a conflict of interest they withdraw from consideration of the relevant case or cases. 

If the Dean has a conflict of interest the Vice Dean (Faculty Affairs) or designate will serve. 

If the designated Vice Dean has a conflict of interest, the Vice Provost (Academic Planning, Policy and Faculty) will appoint another Vice Dean as designate to chair the committee. [Schulich Appointments and Promotion Committee, 3.2.5]

University Committee on Appeals for Physicians (UCAP)

If any member of the UCAP has a conflict of interest, including having considered the file under appeal at a different level, they will withdraw from consideration and be replaced under the provisions of 3.3.1.  [University Committee on Appeals for Physicians (UCAP), 3.3.3]

General Terms and Conditions

Conflict of Interest and Conflict of Commitment

All clinical academics must comply with MAPP 3.4 or successor and the Schulich School of Medicine and Dentistry’s “Policy and Guidelines for Interactions between Schulich School of Medicine and Dentistry and Pharmaceutical, Biotech, Medical Device, Medical/Dental Supply, and Research Equipment Supplies Industry” or successor. [Conflict of Interest and Conflict of Commitment, 4.7.1]

Where a clinical academic and a student are in a close personal relationship, such that there is, or may be perceived to be, a conflict of interest or inappropriate bias, the clinical academic will decline or terminate any supervisory or evaluative role. 

When necessary, the clinical academic shall make appropriate alternative arrangements for supervision or evaluation.  [Conflict of Interest and Conflict of Commitment, 4.7.2]

No clinical academic shall enter into any research program involving human subjects where there exists an actual, potential or perceived conflict of interest.  Any relevant relationship must be declared.  [Conflict of Interest and Conflict of Commitment, 4.7.3]

A full-time clinical academic may engage in part-time professional activities, paid or unpaid, provided that such activities do not constitute a conflict of commitment or interfere with the Member’s responsibilities to the University, subject to conditions which are laid out in the clause. [Conflict of Interest and Conflict of Commitment, 4.7.4]

Annual Reviews and Review of Appointments

The periodic review of the record of performance of a Clinical Academic will be undertaken by the Department Chair or designate, or by the Dean or Dean’s designate if the Clinical Academic is the Department Chair, or if the Department Chair has a conflict of interest arising from the professional or other relationship with the Clinical Academic being reviewed. [Annual Reviews and Review of Appointments, 7.2.2]

Informal Resolution [of a Grievance]

When a clinical academic is grieving a matter in relation to their appointment and pursuing an informal resolution, if the department chair is in a conflict of interest the Dean shall designate a substitute. [Informal Resolution, 14.2.2]

Senate regulations apply to all academic staff.

Thesis Examination

Senate Regulations: Procedure for Thesis Examinations and Final Submission https://uwo.ca/univsec//pdf/academic_policies/grad_postdoc/thesis_procedures_exam.pdf

The Senate regulations on thesis examination generally refer to the need for an arms-length relationship, rather than framing this as a conflict of interest.

Arm’s-Length Requirement for the Examination Board:

• The examiners must not have been connected with the thesis research, scholarship, and/ or creative activity in a significant way.
• The examiners should not have been associated with the student, outside of the usual contact in courses or other non-thesis activities within the University, nor be related to the student or supervisor(s).
• The external examiner cannot be a co-author or co-investigator in the past six years with the supervisor(s) or student.

Faculty members who have served on a student’s comprehensive/candidacy examination committee are eligible to serve as examiners on the student’s thesis examination if the other conditions of being arm’s length remain unchanged.

Other relationships that are not arms-length include:

• A sexual or otherwise intimate relationship (past or current).
• A spouse or partner (past or current).
• A close family member. Some examples of close family members may extend beyond blood or marriage, for example clan relationships in the Midewiwin Lodge or Long House. Such relationships should preclude involvement on the examination board.
• The involvement of an examiner with the student or supervisor in a professional capacity, such as:
  • a current or former or prospective business partner; or
  • having previous, current, or an agreement for future negotiations relating to employment or publications relating to the thesis. [Procedure for Thesis Examinations and Final Submissions 9]

This list, while not exhaustive, illustrates the nature of potential conflicts to be avoided

Individuals asked to examine a thesis artifact must reveal any relationship with the supervisor(s) or student that could undermine their impartiality.

The Senate regulations also note that if a student submits a thesis for examination without the approval of their supervisor, “the supervisor does not attend the thesis examination or the public presentation.  The integrity of the process requires that a strict arms-length relationship between the student, the supervisor(s) and the members of the examination board be maintained throughout the pre-examination period.” [Procedure for Thesis Examinations and Final Submissions 1.7]. 

This should be taken to mean that there should be no discussion of the thesis itself or of the circumstances of the submission between the student, the supervisor(s) and the members of the examination board in that period.

Western Research uses the MAPP definition of a conflict of interest.

Various research sponsors, such as government agencies, have additional guidelines and requirements related to conflict of interest.  Some examples include the Natural Sciences and Engineering Research Council of Canada (NSERC) and the National Institutes of Health (NIH) which falls under the U.S. Department of Health and Human Services.  It is the responsibility of the principal investigator to be aware of and follow any sponsor-related conflict of interest declarations and requirements.

Conflicts of interest related to the ethical conduct of research involving human participants may be governed by multiple policies and procedures at Western University, as well as by external regulations. These policies may define conflicts differently or outline distinct actions depending on the context. It is the responsibility of all researchers and personnel to be familiar with and adhere to all applicable guidelines.

Western University’s research ethics boards (REB) have a number of Standard Operating Procedures (SOPs) to guide the identification, disclosure, and management of conflicts of interest in research involving human participants. These SOPs are tailored to the specific mandates of our two REBs:

For our Health Sciences Research Ethics Board (HSREB)

• 105A.004: Managing Conflicts of Interest – HSREB Members & REB Office Personnel
• 105B.006: Managing Conflicts of Interest – Investigators
• 105C.003: Conflict of Interest - Organization

For our Non-Medical Research Ethics Board (NMREB)

• 104A.004: Conflicts of Interest – NMREB Members & REB Office Personnel
• 104B.003: Conflicts of Interest – Investigators
• 104C.004: Conflict of Interest - Organization

These SOPs are aligned with national and international standards, including the Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans (TCPS 2). TCPS 2 specifically addresses conflicts of interest in Article 7.4, emphasizing the importance of identifying and managing conflicts to maintain the integrity of the research ethics review process.

For conflicts of interest related to the ethical conduct of animal-based research, members of the Animal Care Committee  must declare any actual or perceived conflict of interest, in accordance with the Canadian Council for Animal Care policy, “Terms of Reference for Animal Care Committees”. This document outlines expectations for institutional animal care committees, including procedures for identifying and managing conflicts of interest among committee members during protocol reviews and decision-making processes.

Your Faculty, Department or School may have further guidelines on conflict of interest which are specific to your discipline.  In all cases the provisions of the MAPP, the Collective Agreement(s) and/or the CAP, as relevant, take priority.

Schulich School of Medicine and Dentistry: Conflict of Interest

Schulich School of Medicine and Dentistry: Code of Conduct 

Resource links:

• MAPP Policy 3.4  
• MAPP Policy 1.58
• UWOFA Collective Agreement
• UWOFA-LA Collective Agreement
• Clinical Conditions of Appointment (CAP)
• SGPS Academic Policies, Procedures and Regulations 

A thought-provoking discussion of the complexity of academic conflict of interest: https://www.chronicle.com/article/how-academic-corruption-works/