INTRODUCTION

 

The University of Regina is a scholarly community within the larger communities of the city, the province, and the nation.  To maintain public trust and confidence, the University must act and be seen to act in accordance with the values, mission, and goals articulated in its planning documents in order to uphold its principal activities of teaching and learning, scholarship and research, and service.

 

As a place of learning, the University supports opportunities for its faculty, staff, and students to be involved in professional interests and activities compatible with the university enterprise.  Occasionally, the best interests of the University and the personal interests of individual employees may conflict, or be perceived to conflict.  In an environment of increasing interaction between the University’s members and other organizations—public and private; local, regional, national, and international—it is inevitable that such conflicts of interest will arise.

 

Conflicts of commitment are a particular type of conflict of interest.  They may arise with respect to the distribution of effort between a university member’s obligations to the University and his or her commitment to outside professional activities.  Activities such as consulting, involvement with professional societies, or private practice in the member’s profession are appropriate insofar as they promote the professional development of university members and enrich their contributions to the University, to their profession, and to the various communities that they serve.

 

The purpose of this policy is to set out a mechanism for identifying and addressing conflicts of interest and commitment, whether real or perceived, so that the University’s constituencies can be confident that decisions and actions are not inappropriately influenced by personal interests.  Conflicts of interest and commitment should be avoided whenever possible.

 

This policy aims to educate, to minimize the occurrence of conflicts of interest and commitment, and to manage such conflicts in a clear and consistent fashion when they arise. There are different levels of conflict of interest and commitment, varying from the trivial (where simple disclosure suffices) to the serious (where the individual must be completely removed from a particular process or decision).  Most conflicts of interest or commitment can be resolved in a manner mutually agreeable to the individual and to the University.

 

The policy has three components:

 

Recognition

Conflicts of interest and commitment must be identified to permit their appropriate  management.  They arise from a particular situation.  They do not arise from or reflect upon the character of the individuals involved, so long as they are acting in good faith.

Disclosure

Conflicts of interest and commitment that exist, or which might reasonably be  perceived to exist, shall be disclosed in accordance with this policy.

Resolution

Conflicts of interest and commitment shall be resolved within a framework and with a procedure that attempts to ensure that the best interests of the University’s capacity to fulfill its mission are upheld.

 

DEFINITIONS

 

Within this policy, the following terms shall be interpreted as follows:

 

the "best interest of the University"

means the course of action that is most consistent with the values, mission, and goals of the University of Regina, as well as its legal and contractual obligations.

 

"business"

means any corporation, partnership, sole proprietorship, firm, franchise, association, organization, holding company, joint venture, business or real estate trust or society, or any other separate legal entity organized for profit or non-profit or charitable purposes.

 

"closely associated person"

means a person related by blood, adoption, marriage or common-law marriage (with a person of the same or the opposite sex) to the university member or a person (of the same or the opposite sex) with whom a university member has an intimate personal relationship; it may also include an individual with whom a university member has had such a relationship.

 

"financial interest"

means an interest in a business consisting of (a) any stock, stock option or similar ownership interest but excluding any interest arising solely by reason of investment in such business by a mutual fund, pension fund, or other institutional investment fund over which the university member does not exercise control; or (b) receipt of, or the right or expectation to receive, any income or benefit from such business whether in the form of a fee, honorarium, commission, salary, allowance, forbearance, forgiveness, interest in real or personal property, dividend, royalty derived from the licensing of technology, rent, capital gain, or any other form of compensation, or any combination of the foregoing.

 

"personal interests"

means the personal,  private, or financial interest of a university member or closely associated person or related business.

 

"related business"

means a business or society in which a university member or any closely associated person:

a.   has a financial interest;

b.   acts as a trustee, director, or officer;

c.   acts in a position as an employee, agent, or otherwise that includes responsibility for a segment of the operation or management of a business; or

d.   acts in a position as an employee, agent, or otherwise that includes responsibilities for influencing or determining the direction of the corporation.

 

the "supervisor"

1.   of the President is the Chair of the Board of Governors;

2.   of a Vice-President is the President;

3.   of an Associate Vice-President, Dean, or Director is the person to whom that individual reports;

4.   of any other university member, faculty or staff, who is employed at the University

·     with a faculty position in a departmentalised Faculty or other academic unit is the Department Head

·     with a faculty position in a non-departmentalised Faculty or other academic unit is the Dean;

·     with a librarian or archivist position is the University Librarian;

·     in other than a faculty position is the Dean of the Faculty, or the Director or equivalent of the unit, in which the university member works;

5.   of a graduate student is the Dean of the Faculty of Graduate Studies and Research

6.   of an undergraduate student is that student’s Dean;

7.   of any other person who is not an employee or a student of the University of Regina is the President or appropriate Vice-President, Associate Vice-President, Dean, or Director as determined by the President.

 

"university member"

means all faculty, staff, and students of the University of Regina, whether full-time, reduced, or part-time, and any other person while acting on behalf of or at the request of the University of Regina including, but not limited to, members of a University committee (including the Senate and the Board of Governors), persons giving advice or providing services to the University at the request of the University, and anyone involved in a University decision-making process.

 

POLICY ON CONFLICT OF INTEREST AND CONFLICT OF COMMITMENT

A university member is required to disclose a conflict of interest or conflict of commitment where it exists, or might reasonably be perceived to exist.  Normally, the university member will  not participate in a University decision or process that involves a conflict of interest, but shall instead declare the conflict of interest and then remove themselves from the decision or process in question.  A university member will not participate in any activity that involves a conflict of commitment unless such activity has been approved in advance by the supervisor and, if such approval has been given, any terms or conditions made by the supervisor regarding such activity are fulfilled.

 

SCOPE

The policy applies to everyone who is a “university member,” as defined above.  The policy also applies to Board of Governors members involved in University committees and activities except during Board meetings when the Board Conflict of Interest Policy applies.  Conflicts of interest or commitment arising amongst Board members outside of Board of Governors meetings will be dealt with by the Chair of the Board of Governors.  If the conflict involves the Chair, the Executive and Governance Committee of the Board will deal with the conflict in the absence of the Chair.

 

No university member will be discriminated against for being involved in a conflict of interest or commitment so long as the individual has acted in good faith and in accordance with this policy and any other related University policies.

 

The policy is intended to be exercised together with any applicable collective agreement, as well as with other University of Regina policies.  A list of related University policies is attached as Appendix 1.  Where existing policies have not yet been brought into conformity with this policy, this policy will prevail.

 

DEFINITION OF CONFLICT OF INTEREST

A conflict of interest exists where there is a divergence, whether real or perceived, between the personal interests of a university member and that member’s fiduciary duty and commitment to the University.  In a conflict of interest situation, an impartial observer might reasonably question whether actions or decisions taken by the university member on behalf of the University are influenced by consideration of that private interest.

Conflicts of interest situations take many forms.  Examples include, but are not limited to, cases in which a university member:

• conducts a review, assessment or evaluation of a project or colleague, the outcome of which may enhance the university member’s personal interests;

• is party to a decision on the part of the University to enter into a contract that may enhance a family member’s financial interests;

• evaluates work done by a student to whom the university member is related or with whom the university member has an intimate personal relationship;

• participates in a university recommendation or decision that affects the employment of a partner, spouse, or other family member;

• makes extensive use of University resources to further his or her personal interests; or

• uses information, acquired in the course of University activities, that is not in the public domain to advance the university member’s personal interests.

In these examples, the personal interests of the university member may diverge or may reasonably be perceived to diverge from his or her commitment to the University.

 

DEFINITION OF CONFLICT OF COMMITMENT

A conflict of commitment is a particular type of conflict of interest.  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 university member’s primary commitment to the University.  Conflicts of commitment are often less straightforward than conflicts of interest, particularly in the case of outside professional activities appropriately related to a faculty member’s duties at the University.  The policy is not intended to prevent a university member from participating in non-University activities, but rather to ensure that such involvement does not compromise the ability of the university member to fulfill his or her commitment to the University.

 

Examples include, but are not limited to, cases in which a university member:

• is involved in an activity that requires regular, extensive absence from the University during normal hours of business; or

• is employed by another institution or employer.

 

 

PROCEDURE

 

Disclosure

A university member shall disclose to his or her supervisor any conflict of interest or conflict of commitment that exists  or might reasonably be perceived to exist.  In addition to disclosure to a supervisor, it may also be appropriate to disclose such conflicts, whether real or perceived, to another University official (such as the Manager of the Office of Research Services or the Manager of Cooperative Education).

 

Disclosure shall be made in each of the following circumstances:

• as soon as any situation arises that creates, or may be perceived to create, a conflict of interest or commitment for a university member, or as soon as the university member is aware of such a situation;

• where appropriate, in any required annual report of a university member’s activities or plans or both;

• where appropriate, prior to the appointment of the university member;

• when required by a particular grant or contract;

• where otherwise required in accordance with this policy.

Normally, a disclosure of a conflict of interest or commitment shall be made in writing.  Minor conflicts, such as those that may arise in a committee meeting, may be disclosed verbally to the chair.

 

If a university member is uncertain whether a conflict of interest or commitment exists or is likely to exist, the university member shall discuss the situation with the supervisor or other appropriate officer of the University.

 

Procedures for Handling Conflicts of Interest or Commitment

The supervisor to whom a conflict of interest or commitment is disclosed shall decide whether a conflict of interest or commitment exists, whether it will be permitted to continue and, if so, under what, if any, conditions.

 

The supervisor shall base this decision on a determination of the course of action that is in the best interests of the University. In making this determination, the supervisor may take into account the following factors:

• any possible harm to the interests of students, research participants, clients of university services, or others served by the University, should the conflict be permitted to continue.

• any possible harm to the University or its employees, officers or others acting on its behalf if the conflict were allowed to continue.

• whether reasonable alternative arrangements which do not involve a conflict of interest or commitment can be made.

• the consequences to the University and its reputation and future activities of not permitting the conflict of interest or commitment to continue.

• the consequences to the University and its reputation and future activities of permitting the conflict of interest or commitment to continue.

• the educational, research, economic and other interests of the University.

• the rights and interests of the university member.

A supervisor may request additional information from the university member and may consult with others before making a decision relating to a conflict of interest or commitment. In dealing with some specific types of conflict, supervisors shall follow any additional guidelines set out in any other relevant policy (see Appendix 1).

 

A supervisor may impose terms and conditions before permitting a conflict of interest or commitment to continue.

The supervisor's decision shall be communicated in writing to the university member and may be appealed as set out in Section 11 below.

 

A decision concerning an ongoing conflict of interest or commitment may be reviewed by the supervisor at appropriate intervals. The original decision may be reversed or varied.

 

 

IMPLEMENTATION

The University may develop guidelines or procedures to assist in the administration of this policy.

 

 

ACCESS TO DISCLOSURES

Disclosures made under this policy 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. Reasonable efforts shall be made to advise the university member in writing before such disclosures are made available to persons outside the University. Disclosures may be made available to third parties when required by university or statutory regulation (including Freedom of Information/Protection of Privacy) or by law.

 

University members should be aware that disclosure of conflicts of interest or commitment may be required for other university processes. For example, whenever a university member is engaged in research that involves a conflict of interest or commitment, it may be necessary or appropriate for the member to disclose the conflict to the appropriate university ethics committee. This would be especially important where the conflict might adversely affect the research design or subjects of the research.

 

 

COMPLIANCE

The intent of this policy is to assist the University in the management of conflict of interest or conflict of commitment situations. The University expects that its members will comply fully with this policy, including all requirements for disclosure. Failure to do so shall constitute grounds for disciplinary action in accordance with the applicable collective agreement, employment contract, or other applicable disciplinary process.

 

APPEALS

Any university member in a conflict of interest or conflict of commitment situation who is not satisfied with the decision made by a supervisor under this policy may appeal the decision within thirty days of receiving written notice of the decision. The university member shall submit a written statement outlining the grounds of appeal, together with any relevant documentation, to the University Secretary, who shall make a final decision, normally within thirty days.  The University Secretary may extend that time upon giving notice to the appealing university member if it is desirable to consult with others or consider the matter further before making the decision. An appeal decision shall be in writing and shall be binding on the university member (although it is subject to the grievance arbitration procedure of the relevant collective agreement, if applicable).

 

EFFECT ON COLLECTIVE AGREEMENTS

Nothing in this policy shall be construed as limiting any right of grievance or arbitration that exists under an applicable collective agreement, or the right of the University to discipline a university member for failure to comply with this policy.

 

Appendix 1

Existing University of Regina Policies and Procedures Relating to Conflict of Interest and Conflict of Commitment

1.       Board of Governors Conflict of Interest Policy (Board Handbook 4.13; rev. 28 January 2003)

2.       Commercial Directorships Held by Faculty and Staff (Board Handbook 7.5; rev. 13 November 2001)

3.       University of Regina / University of Regina Faculty Association Collective Agreement, 2002-2005

a.       Failure to reveal material conflict of interest is a form of professional misconduct (Article 2.4.9)

b.       No discrimination by reason of family relationship but prohibition from participating in formal discussion about employment of a family member (Article 3.6)

c.       Outside professional activities (Article 16.1.4)

d.       Academic staff may not purport to represent the University except where specifically authorized to do so (Articles 16.1.8; 16.2.8; 16.3.6; 16.4.7)

4.       Faculty of Graduate Studies and Research Policy on University Staff Members as Graduate Students (FGSR Graduate Calendar)

5.       Guidelines Regarding Personal Relationships Between Instructors and Students (Policy No. 20.40.01; approved 25 January 2000)

6.       Casual Hiring Process – section entitled “Eliminating Perceptions of Favouritism” (Policy No. 20.35.20; approved 9 May 2001)

7.       Purchasing Policy, point 3.12 (Policy No. 40.01; approved 28 September 2001)

8.       Policy – Tendering (Competitive Bidding Process) (Policy No. 40.05; approved 5 December 2003)

9.       Construction Tendering Policy (Policy No. 40.20; approved 20 June 2002)

10.   Gifts and Gratuities Offered to University Employees (Policy No. 40.80; approved 1 April 1998)

11.   Dual Role/Intimate Consensual Relationships in Teaching and/or Employment (Appendix E, Harassment and Discrimination Prevention Policy; approved 22 May 2001)