The information requested by the Deputy is being compiled and will be forwarded as soon as it is available.
The following deferred reply was received under Standing Order 42A I refer to Parliamentary Question Reference No. 12471/17 of 9/03/17 in which you inquired whether it is a requirement for all State research funding that any potential conflict of interest is disclosed at the time of application; thecircumstances in which funding will be refused on grounds of conflict of interest; the number of applications that have been declined due to concerns in relation to conflicts of interest over the past ten years.
In my reply, I had stated that the information sought was not available at the time but would be forwarded to you separately. I am now in a position to provide information from various research funding bodies, as outlined in the following note. Further details can be obtained from the bodies directly.
1. Irish Research CouncilTerms and Conditions Include the following on Research integrity, Financial Accountability and Knowledge transferResearch Integrity1.1. The Employment Partner and HEI must ensure that the highest quality of research conduct is maintained. The Employment Partner and HEI must ensure that there are formal, fair and effective processes in place for the investigation of allegations of research misconduct (e.g. plagiarism, falsification or fabrication of data, improper data selection, misuse of research funds) when they arise. The systems must be clearly publicised, together with agreed procedures for investigating allegations of research misconduct. These processes, together with the agreed procedures for investigating allegations of research misconduct, must be transparent and clearly publicised. The systems in place to manage research misconduct should also align with the basic principles that underpin all research integrity and good practice as outlined in the national policy statement on Ensuring Research Integrity in Ireland and the European Code of Conduct for Research Integrity. The Employment Partner and HEI are required to report to the Council all findings of any proven case of research misconduct arising from a Council-funded research project.
Financial Accountability 8.1 The HEI is responsible for and accountable for the proper use of the Scholarship Fund.8.2 The Council reserves the right to ask for confirmation from External Auditors of the HEI of the following:8.2.1 that the annual accounts of the HEI are up to date and have been approved by the Auditors without qualification;8.2.2 that the management letter from the Auditors raised no matters that did or could significantly affect the administration of Scholarships awarded by the Council;8.2.3 that monies received under the Scholarship have been used for the purpose for which they were awarded.8.3 The Council also reserves the right to commission audits of the participating HEI for financial or other compliance. The HEI undertakes to fully facilitate these reviews.8.4 The Council accepts no responsibility, financial or otherwise, for expenditure or liabilities arising out of work funded by Scholarships and the HEI must fully indemnify the Council against all such expenditure or liabilities and against any actions, proceedings, costs, damages, expenses claims and demands arising from them including, in particular, but without limitation, any claims for compensation for which the HEI may be liable as an employer or otherwise, or any claims by any person in relation to any intellectual property.8.5 The HEI will return all unspent funds to the Council at the end of the Funding Term.
7. Knowledge Transfer7.2 The Council encourages the commercialisation of research output as outlined in the National Intellectual Property Protocol (2012), Putting public research to work for Ireland: Policies arid procedures to help industry make good use of Ireland’s public research institutions.7.3 By way of employing the Scholar, the Employment Partner may own foreground Intellectual Property (Foreground IP) generated by the Scholar during the course of the Research Project.7.4 Should there be any contribution to Foreground IP by persons within the HEI other than the Scholar, the Employment Partner is granted the option to negotiate rights to that contributing IP with the HEI, such rights to be licensed on preferential terms, where the HEI is free to do so.7.5 The Council does not make any claim to Intellectual Property arising from the Scholarship.7.6 A Research Agreement (including reference to Intellectual Property Rights and confidentiality) must be in place between the Employment Partner and HEI before the Scholarship can commence. The terms of any such agreement must not conflict with those outlined in this document.7.6.1 The Employment Partner and HEI must establish rules and procedures for protecting and managing any Intellectual property arising during the Scholarship. These rules and procedures must be in accordance with national guidelines.7.6.2 The Council requires that background IP is captured clearly by the HEl and the Employment Partner prior to initiation of the project, so that there is clarity on who has access to background IP and declarations made on basis of same. Good practice through the maintenance of notebooks and records must be adhered to.7.6.3 A copy of any Research Agreement between the HEI and the Employment Partner must be made available to the Council before the Scholarship commences.EBP 2017 (call closed February 2017) also contained the following on the eligibility of public bodies:1.4Employment Partner shall mean a business, a company, a registered charity, a Social, cultural or not-for-profit civic organisation, a semi-state commercial organisation or eligible public body with a physical operational base located in Ireland that will employ the Scholar for the duration of the award. Eligible Public Body shall mean: a public service body with specific scientific or cultural infrastructure that is integral to the conduct and completion of the proposed research. If a public body or HEI is a research performing organisation eligible to apply independently for IRC schemes, it is not eligible to be funded as an employment partner under this scheme.RESPONSIBILITIES OF THE HOST ORGANISATIONS - Higher Education Institution (HEI)
9.1 The understanding of the Council in processing an application under the scheme is that the HEI is satisfied that the chosen Employment Partner is appropriate to and suitable for the proposed research project.9.2 The HEI must also accept full accountability for managing, monitoring and assuring the quality of all research work funded under the Scholarship and management of the Scholarship Fund.9.3. The HEI must ensure an Academic Supervisor is appointed with responsibility for supporting and guiding the Scholar and ensuring the academic quality of the research fully meets the academic requirements of the award of a postgraduate degree. This Supervisor would normally be a Principal Investigator, or other suitably qualified person.9.4. The HEI is responsible for providing the in-house facilities and access to the equipment needed for the Scholar to carry out the Research Project, ensuring that all items of equipment and materials provided for the Scholarship are adequately maintained and are accessible on reasonable terms and conditions to other researchers.9.5. The HEI must obtain and comply with all necessary and statutory permissions laid down by local and national authorities in relation to protecting the environment, preventing pollution and ensuring wider societal health and safety protection.Further terms and conditions are available on the website www.research.ie.
2. Environmental Protection Agency
The EPA research application and award documentation includes comprehensive conditions of research award. These 'contracts' of sorts include reference to research integrity, one of the main principles of which deals with matters like conflict of interest. The EPA has for the last few years been working with the Irish Universities Association to promote and harmonise matters of research integrity particularly through funders regulations. I would draw your attention to the IUA National Policy Statement on Research Integrity here: http://www.iua.ie/wp-content/uploads/2014/06/National-Policy-Statement-on-Ensuring-Research-lntegrity-in-reland-2014.pdf and in particular to Commitment #4 which includes reference to conflict of interest matters.
In addition, the EPA research proposal review process requires independent proposal reviewers to declare (electronically) any conflict of interest. If there is a conflict, they are not permitted to grade the application. And at the national research steering meetings, where final recommendation of projects to go forward for award, the steering committee (mainly made up of delegates from state Agencies, NGOs and Departments) have to declare any conflict. Lastly, EPA staff with declared conflicts of Interest (usually through familial connections) do not participate in award management for conflicted projects.Projects and awards can be withheld or suspended if there is a breach of the research integrity clauses. Proposal reviewers are not permitted to grade applications if they are in conflict.
There have been no applications declined due to concerns in relation to conflicts of Interest over the past ten years
3. Teagasc — the Agriculture and Food Development AuthorityTeagasc — the Agriculture and Food Development Authority run the Walsh Fellowship programme which funds joint studentships (PhD and MSc) between Teagasc and Higher Education Institutions (HEIs). Teagasc is committed to abiding by the National Policy for Ensuring Research Integrity, including the integrity of our Walsh Fellowships Postgraduate Funding Programme. In this regard, we are fully committed to implementing best practice in all aspects relating to the operation of the Walsh Fellowships.Applications for Walsh Fellowships must include a Teagasc staff member and an external applicant from a HEI. The Teagasc staff member is bound by the Teagasc policy on conflicts of interest. However, we do not have a provision in the Walsh Fellowships Terms and Conditions regarding conflicts of interests relating to applicants, the appointment of external reviewers or the selection of students. We will now proceed to revise our documentation to address these gaps.4. D/Agriculture Food and MarineDAFM operates three competitive research funding programmes (FIRM, RSF and CofoRD) and only public research performing organisations (mainly HEIs Teagasc & MI) are eligible to apply for funding. We don’t require applicants to disclose potential conflict of interest at the time of application as DAFM does not fund industry through these programmes (we do, however, allow industry involvement on a self-funded basis and this does occur to a very limited extent).Other aspects that might be relevant would be:1) Compliance with the National IP Protocol is a condition of all our awards.2) All applicants are required to inform us if their application has been or is being also submitted to another funder.3) Evaluation of applications ..... we do require expert reviewers to complete/sign Col forms.5. Science Foundation IrelandAs the national foundation for competitive research funding, Science Foundation Ireland has a clear set of terms and conditions associated with each funding call. The calls set out conditions whereby if a potential conflict of interest exists, Science Foundation Ireland requires that it is disclosed by the applicant to the Foundation and Research Body and is managed by the Research Body in accordance with the principles and mandates laid out in the document: Inspiring Partnership - the National IP Protocol 2016. Potential conflicts of interest with respect to Industry Partners named in an application are also requested to be directly declared within the applicant CV. Furthermore, programme calls request that the Host Research Body Letter of Support should also contain a description of the institutional policy regarding management of such conflicts.In addition to the requirements within the programme calls, the Science Foundation Ireland award contracts stipulate that further to section 13.2 of the SFI Standard Terms and Conditions of Research Grants, relating to Intellectual Property, the following provision of the Intellectual Property Guidelines should also be complied with "Where a potential conflict of interest exists, it is disclosed by the Lead Investigator (Principal or Director) to the Foundation and Research body, and it Is managed by the Research Body in accordance with the principles and mandates laid out In the National Intellectual Property Guidelines.Science Foundation Ireland rigorously enforces all award terms and conditions. In addition, thorough award management and governance practices put in place by the foundation ensures ongoing compliance and management of any potential conflict of interest.SFI has a Conflict of lnterest Policy and Code of Business Conduct Policy for Staff and an SFI Code of Business Conduct for SFI Board members. There is an annual completion of Statements of Interest forms by senior staff and Board members and in the case of Board members there is also an annual declaration of interests statement. Records for Board members are then compiled and checked on a regular basis. Board and Committee members monitor potential conflicts of interest and where relevant recuse themselves from decisions and are not circulated with materials relevant to that matter. Staff members and Board members sign to acknowledge the provisions of the Codes. SFI has a separate policy and declaration system for Conflicts of Interest for International Reviewers involved participating in SFI’s peer review process.6. IDAThe area of research, development and innovation (RD&l) is of paramount strategic importance to IDA as has been outlined in the Agency’s strategy, Winning 2015 - 2019. A company decision to invest in RD&l may be to support improvement in productivity, to develop a strengthened reputation for quality or to develop new products and services.IDA provides RD&I grants to support research and development projects in the Agency’s client companies. RD&l grant support is now the main financial lever that IDA can bring to bear in competing for mobile foreign direct investment.IDA Ireland Board Members comply with the Code of Practice for Board Members which covers areas such as conflict of interest and disclosure of transactions and this code is in line with the Code of Practice for State Bodies and Ethics in Public Office Act. Where applicable and appropriate these codes are applied to IDA Staff also.IDA does not fund any academic research programme.Further information can be obtained directly from IDA Ireland.7. Enterprise IrelandAs a funder of commercial and industry-academic research in the higher education sector, Enterprise Ireland's grant agreements have rigorous clauses to mitigate any conflicts of interest in funded research projects in Higher Education Institutions.As part of the grant process, the applicant institutions must warrant, on their own behalf and on behalf of all individuals that are either currently associated with a project or individuals who may become associated with a project at a later stage, having made reasonable and diligent inquiries of them, that no conflict of interests arise from their participation in the project.
In addition, during the term of the research project applicant institutions must take steps to ensure that the continued participation of any individual does not give rise to a conflict of interest.These strict terms in each grant agreement necessitates Higher Education Institutions to ensure that there are no conflicts of interest in the research supported by Enterprise Ireland.
8. Marine InstituteFunding by the Marine Institute is focused on the principal that funded projects should achieve scientific excellence while displaying a capability to deliver on the objectives of individual research calls. Consequently, issues of conflict of interest focus on ensuring that those evaluating the project have no vested interest in the project or its outcomes. Evaluations of Marine Institute funded projects are carried out by an external panel of experts with an international reputation in the relevant field each of whom sign conflict of interest declarations. In the period queried, applicants for funding by the Marine Institute have only been declined by reason of failure to achieve the required standard of excellence and delivery, or lack of funds.Those in receipt of research awards from the Marine Institute must sign a declaration that they will adhere to a grant-aid agreement which includes requirements on the protection of Intellectual Property. This includes a requirement that the Marine Institute be informed where such intellectual property is assigned or transferred. Applicants must also declare any other source of funding, or application for other funding, in relation to the proposed project.9. Health Research BoardThere are a few places in which we specify conflict of interest Issues:A. Application processThe HRB has a policy regarding conflicts of interest, which has specific provisions regarding conflicts of interest in funded research as follows
(http://www.hrb.ie/research.strategy-funding/policies-and-guidelines/policies/conflict.of-interest/):Board members, the chief executive and employeesA conflict of interest for a board member, the chief executive and any employee shall be deemed to exist in any of the following circumstances:- A board member is an applicant for research funding,- A board member Is working in the same department as an applicant for research funding;- A board member, chief executive or employee ¡is a collaborator in an application for research funding;- A board member has supervised an applicant within the previous five years and is a staff member of the same institution;
- A board member, the chief executive or employee has, or has had, a personal relationship with an applicant;- Any other reason considered relevant by the board member, chief executive, or employee.Where there is any doubt about whether a conflict of interest arises, a board member and the chief executive should consult with the chair. Employees should consult the chief executive. If a conflict of interest arises, the board member, chief executive or employee of the HRB should not involve himself or herself in the processing of the application for research funding.Members of research review committees/panelsA conflict of interest will be deemed to exist for a member of one of the HRB’s research committees/panels If:- A Committee Member is working In the same Department as an applicant;- A Committee Member is an applicant or a collaborator in the project before the Committee;- A committee member has supervised an applicant within the previous five years and is a member of the same institution;- A committee member has, or has had, a personal relationship with the applicant;- Any other reason as considered relevant by the committee member.Where a conflict of interest exists, a committee/panel member must leave the room when the application is being considered and cannot score the application or take any part in its assessment.B. Conduct of ResearchAs part of its terms and conditions of funding, the HRB requires researchers to follow ‘Good Research Guidelines’
(http://www.hrb.ie/research-strategy-funding/policies-guidelines-and-grant-conditions/policies-and-position-statements/guidelines-on-good-reseach-practoce/) which state: Researchers should declare and manage any real or potential conflicts of interest.The requirement of researchers to follow good research practice is set out in section 14 of the HRB’s Terms and Conditions(http://www.hrb.ie/fileadmin/Staging/Documents/RSF/Grant Management Nov 2015 onwards/1HRB Policies/HRB General Terms and Conditions for Research awards.pdf).14 Research Governance (Responsible Conduct of Research)14.1 It is the responsibility of the Host Institution to ensure that any research carried out in the course of the Grant Funded Activities is organised and undertaken within a framework of best practice and in accordance with the highest standards of scientific integrity and research methodology including but not limited to ensuring that all necessary permissions are obtained before the research begins and that there is clarity of role and responsibility among the Research Team with any collaborators.
We also expect that anyone entering into a collaboration will put in place a collaboration agreement that includes a conflict of interest clause - we provide a collaboration Template that prompts the relevant questions- For Industrial collaborator(s), do any of the academic applicants have a direct or indirect interest (consultancy, shareholding, options etc)? If so, what is the nature of the interest and how are conflicts of interest between the parties being managed?)- Are there any restrictions on tech transfer, knowledge transfer and/or dissemination of the results from this project arising out of this collaboration? If so, what are these restrictions?Where the HRB is cofounding with another organisation, our guidance notes contain a clause on Conflict of Interest as follows:4.3 CONFLICT OF INTERESTConflict of interest rules are applied rigorously. Where a conflict of interest exists, the reviewer is requested to inform the HRB immediately so that an alternative reviewer may be appointed. International peer reviewers will not provide comments or scores on any application on which they have a conflict of Interest.Reviewers are required to respect the confidentiality of the peer review process, which is designed to protect and preserve the integrity of the HRB's advisers and processes. Reviewers may not discuss any aspect of the scoring or assessment with applicants or colleagues. All such requests must be referred to the HRB.To answer the second and third questions, I am not aware of a situation in which an application for funding was deemed ineligible because of undisclosed conflict of interest. However, we have had invited reviewers who have indicated that they had a conflict of interest with specific applications and have not, therefore, reviewed those applications.
