1.1 Application. These guidelines apply to Members of CIHR's Governing Council, officers and staff members of CIHR, collectively referred to as "personnel of CIHR". For the purpose of the application of this policy, references to CIHR shall include the Health Research Institutes which are subsidiary to CIHR and the Advisory Boards and Scientific Directors of such Institutes.
1.2 Purpose. The purpose of these guidelines is to establish a standard of conduct applicable to personnel of CIHR. This standard of conduct is required for public confidence, to ensure the maintenance of the integrity of CIHR and to promote CIHR's goals. Notwithstanding other personal professional, business or scientific activities, personnel of CIHR have a duty to act in the best interests of CIHR and to make objective decisions on the strategic investment of public resources in pursuit of the goals and objects of CIHR.
2.1 Conflict of Interest. A conflict of interest is a situation where an individual, or the organization he or she represents or has an interest in, has a real, potential or perceived, direct or indirect competing interest with CIHR's activities. This competing interest may result in the individual, or other related to them or entities in which they have an interest, being in a position to benefit from the situation or in CIHR not being able to achieve a result which would be in the best interest of CIHR. Conflict under this policy shall be interpreted broadly.
2.2 General Principles. In carrying out their duties, personnel of CIHR shall:
Ethical Standards
Act with honesty and uphold the highest ethical standards in order to honour and enhance public confidence in CIHR's ability to act in the public interest and for long term public good.
Public Scrutiny
Perform their official duties and arrange their private affairs in a manner that will bear the closest public scrutiny, an obligation that is not necessarily fully discharged by simply acting within the law.
Decision-Making
In fulfilling their official duties and responsibilities, make decisions in the interest of CIHR, with a view to the public interest, and with regard to the merits of each case.
Private Interests
Disclose fully any private interests that could be affected by CIHR actions or that could put ethical practice at risk.
Public Interest
Arrange their private affairs in a manner that will prevent real, potential or apparent conflicts of interest from arising; but if such a conflict does arise between the private interests of an individual and the official duties and responsibilities of that individual, the conflict shall be disclosed and resolved in favour of the interest of CIHR.
Gifts and Benefits
Not solicit or accept transfer of economic benefit, other than incidental gifts, customary hospitality, or other benefits of nominal value from persons, groups or organizations having, or likely to have, dealings with CIHR unless the transfer is pursuant to an enforceable contract or property right of the Governing Council member.
Preferential Treatment
Not step out of their official roles to assist private entities or persons in their dealings with CIHR where this would result in preferential treatment to any person or organization.
Insider Information
Not knowingly take advantage of, or benefit from, material information that is not generally available to the public that is obtained in the course of their official duties and responsibilities.
CIHR Property
Not directly or indirectly use, or allow the use of CIHR property of any kind, for anything other than officially approved activities
Post CIHR Activity
Not act, after they leave CIHR, in such a manner as to take improper advantage of their previous office.
3.1 Interpretation
Any conflict which may arise between an individual and CIHR shall be resolved in favour of CIHR's best interest.
In referencing below actions which must not be taken by personnel of CIHR, such actions may, in fact, be taken if, in the discretion of the Governing Council, the Principles have been upheld and full disclosure has been made.
3.2 Restrictions on Members of the Governing Council. Members must not be involved in any business, commercial or financial transaction with CIHR other than as a recipient or potential recipient of a grant, award, contribution or research project. If a Member should apply for employment with funding from or any other remunerative relationship with CIHR, other than a grant, award, contribution or research project the Member must resign from the Governing Council and will not be eligible for re-appointment for at least one year. If a Member is aware of such an interest they must not be part of the decision making process.
3.3 Conflicts. Officers and staff of CIHR must not have a business, commercial or financial interest in any transaction or initiative which would conflict with the conduct of their duties within CIHR, the best interests of CIHR or the carrying out of CIHR's objectives. This includes, without limit, interests in entities funding research or entities which may have an interest in the outcome of CIHR activity.
3.4 Obligations to Others. Personnel of CIHR must not be compromised by obligation to anyone who may benefit from the individual's special consideration with respect to CIHR matters.
3.5 Commitments. Personnel of CIHR must ensure that their actions do not commit CIHR to unreasonable financial or other liabilities and that all commitments and actions on behalf of CIHR are made according to CIHR's By-Laws, policies and regulations.
3.6 General Conflict Disclosure. All activities involving business, commercial or financial interests, whether real, potential or apparent, which may conflict with the interest of CIHR or the duties of the individual, must be promptly disclosed to the Governing Council or the appropriate officer of CIHR.
3.7 Influence. Personnel of CIHR must not use his or her position or influence to secure employment, funding or special treatment for family members or business associates.
3.8 Voting. A Member of the Governing Council shall not vote to approve any contract, grant, award, contribution, research project or situation involving a conflict, whether real, potential or apparent, which includes their participation, directly or indirectly.
3.9 Acknowledgement. Personnel of CIHR will be required to expressly acknowledge in writing their understanding and agreement to these and other policies and it shall be a condition of the terms of employment.
4.1 Disclosure. Disclosure of a conflict of interest, whether real, potential or apparent, must take place as soon as the individual becomes aware of the conflict. This may be, for example, in the case of a contract, grant, award, contribution or research project, at a meeting when an individual becomes aware that a contract, grant, award, contribution or research project is being proposed or considered, at the first opportunity after an individual becomes interested in an existing or proposed contract, grant, award, contribution or research project, or at the first possible moment when they become involved with CIHR and a contract, grant, award, contribution or research project pre-exists.
4.2 General Notice. A written notice to the Governing Council or the President of the CIHR shall be sufficient declaration of interest with respect to any contract.
4.3 Confidential Notice. In the event that the matter to be disclosed is of a confidential or sensitive nature which would cause undue prejudice through open disclosure, then such matters may be disclosed in confidence to the Chairperson of the Governing Council or as the Chairperson of the Governing Council may otherwise delegate. If, after receiving such disclosure the Chairperson determines that such matters, in the discretion of the Chairperson, are not of a confidential or sensitive nature or that the principles or interests of CIHR would not be fulfilled without full and open disclosure, then the Chairperson shall notify the disclosing individual of same and give such individual the opportunity to make such full disclosure. If the affected individual fails to make such disclosure, it shall then be considered a breach of this policy.
4.4 Final Determination. The Governing Council, or as it may delegate, shall determine in each case whether or not a disclosed interest is acceptable and may continue. The criteria for acceptability may vary and may include, without limit, those principles considered relevant by the Governing Council.
4.5 Remedy. Where a disclosed interest is determined to be unacceptable by the Governing Council, the contract, grant, award, contribution or research project or other conflict shall be amended to remove the offending provisions or be terminated, such determination to be made by the Governing Council or its delegate.
5.1 Exceptions. The requirement that a Member of the Governing Council not vote with respect to the approval of a conflict or a contract, grant, award, contribution or research project in which they may have an interest shall not apply to contracts relating to reimbursement of expenses, indemnity or insurance as permitted under appropriate Canadian legislation and the By-Laws of CIHR.
5.2 Relief. The following factors alone will not invalidate a relationship between CIHR and an individual (or an enterprise in which the individual has an interest):
so long as the situation was reasonable and fair to CIHR at the time it was approved, such reasonability to be determined by the Governing Council, absent the individual involved.
6.1 Dissemination. Personnel of CIHR shall be informed of this policy.
6.2 Re-Affirmation. This policy shall be re-affirmed annually at a meeting of the Governing Council and shall form part of the minutes and record of that meeting.
6.3 Compliance by Others. Personnel of CIHR must use reasonable efforts to ensure that the activities of other individuals in CIHR comply with CIHR's policies and guidelines.
7.1 Reservation of Right. Where an individual fails to disclose a conflict or an interest according to this policy or according to other laws or regulations in Canada, CIHR reserves all rights which it may have to deal with the contract, grant, award, contribution, research project, or conflict and individual involved.
7.2 Consequences. Failure to comply with these policies may lead to disciplinary measures which may include removal from the position the individual holds in CIHR. In certain circumstances, conflicts of interest may lead to legal claims being made against the individuals involved.
Approved by Governing Council: June 26, 2000
