Conflict of interest
University policy | What is a conflict of interest? | Managing conflicts of interest | Disclosing conflicts of interest (forms) |
University policy
Conflicts of interest can arise naturally from a staff member’s engagement with the world outside the University. The mere existence of a conflict of interest does not necessarily imply wrongdoing on anyone's part. However, in an academic environment where entrepreneurial and commercial practices are increasingly encouraged, it is essential that University research is carried out (and is seen to be carried out) in an impartial and independent manner, and is not compromised by any commercial activity.According to the University policy on research-related Conflict of Interest, set out in Section 2.5 of the Code of Conduct for Research (‘the Code’), University researchers must be acutely aware of potential, perceived or actual legal, financial or other conflicts of interest, and follow the Code to properly address such situations. The responsibility for identifying, understanding and managing a conflict of interest rests, in the first instance, with the individual. Full disclosure must be made to specified officers (Section 2.5(b)), and should be handled appropriately by those officers (Section 2.5(c)). A failure to disclose conflicts of interest, or cases where a conflict of interest might reasonably be perceived to exist, is deemed to be professional misconduct by the Code.
>> Conflict of Interest in Research (MRO brochure)
What is conflict of interest?
Conflicts of interest include any circumstances where a researcher has a real, perceived or potential opportunity to prefer their own interests, or those of any other person or organisation, to the interests of the University. The conflict may compromise, or have the appearance of compromising, an employee's professional judgment in conducting, evaluating, or reporting on research. It may affect, or be seen to affect, not only the collection, analysis, and interpretation of data, but also the hiring of staff, procurement of materials, sharing of results, choice of licensees, choice of protocol, involvement of human subjects, and the use of statistical methods. The Code contains the following broad categories of conflict of interest:- Where the research is sponsored by a related body.
- Where the researcher or a related body may benefit, directly or indirectly, from any inappropriate dissemination of research results (including any delay in or restriction upon publication of such results).
- Where the researcher or a related body may benefit, directly or indirectly, from the use of University resources.
- Where the researcher conducts a clinical trial which is sponsored by any person or organisation with a significant interest in the results of the trial.
- Where private benefits or significant personal or professional advantage are dependent on research outcomes.
Clinical trials are a particular concern, given the use of human lives. It is therefore preferable that the researchers engaged in clinical trials do not have any financial interest in the outcome of the trials (for example a significant equity interest or an executive position in a company commissioning the research), so that they are not vulnerable to any allegation of lack of objectivity."
1State Government of Victoria, Department of Innovation, Industry and Regional Development. Managing and Commercialising Intellectual Property: a guide for Victorian universities and research institutes. (2002, p.24).
Managing conflicts of interest
The Code requires that strategies for addressing perceived or actual conflicts of interest be discussed, agreed and documented between the researcher and their Head of Department, documented, and monitored. Possible strategies may include but not are limited to:- Public disclosure of an investigator's financial interest in any research sponsor or the commercial success of any therapeutic strategy or product that is the subject of any research results being reported.
- Monitoring of any research project by independent reviewers.
- Modification of any research proposal or plan.
- Disqualification of any Investigator from participating in all or a portion of any sponsored research.
- Divestiture by an Investigator of any financial interest in any research sponsor.
- Severance of any relationship between an Investigator and a research sponsor which may create actual or potential conflicts of interest.
Disclosing conflicts of interest (forms)
Note that Chief Investigators on certain external research grants may have specific Conflict of Interest disclosure and management obligations mandated by the funding body.
Conflict of interest in research
The Melbourne Research Office has developed a form to facilitate the identification and evaluation of potential conflicts of interest. The University does not mandate use of this particular form, but written documentation of disclosure and agreed management process is compulsory under the Code.
>> Conflict of Interest Disclosure Form
Undertaking paid outside work
The University Personnel Policy and Procedures Manual (Section 13) states that full and part-time academic staff members must seek approval of the Head of Department prior to commencing work outside the University (except where work is not connected with the academic staff member's University role).
>> Form HR35: Application for Approval to Undertake Paid Outside Work
Holding a directorship
There is a standard, mandated University HR application form for approval to hold a Directorship (other than a Directorship representing the University). It is associated with the Personnel Policy and Procedures Manual (Section 13.3).
>> Form HR 36: Directorship Approval