Conflict of interest with membership of animal ethics committees

Introduction

A conflict of interest is defined as a situation in which an employee, a professional person or a public official has a private or personal interest that appears to influence the objective exercise of his or her official duties.

Members of Animal Ethics Committees (AECs) and in particular internal members, usually have multiple responsibilities within their institution.

The following policy has been prepared to assist AECs to recognise and nullify real or potential conflicts of interest associated with membership of the committee. This helps to fulfil the requirement that AECs operate and are seen by the wider community to operate, with probity in accord with the provisions of the Australian Code of Practice for the Care and Use of Animals for Scientific Purposes (the Code of Practice).

A useful reference document that recommends the development of procedural rules for handling of conflicts of interest, is the UK Office of Science and Technology Code of Practice for Scientific Advisory Committees (December 2001).

Policy

1. A Chairperson or Presiding Member of an AEC should be a person who has administrative and/or supervisory responsibility at a senior level within the organisation.

The Chairperson should possess sound background knowledge of the type of work undertaken by researchers in the institution.

The Chairperson’ s role is:

• to facilitate the conduct of AEC business in accord with the established operating procedures
• to ensure that the AEC operates fairly with respect to all interested parties and
• to enable all members to participate, thus ensuring a full and frank discussion of issues

Consequently, the Chairperson should not normally be an investigator on research protocols submitted for the consideration of the AEC.

Where there is an occasional protocol submitted which names the Chairperson as an investigator, the Chairperson should nominate a member of the AEC to chair the discussions on the protocol and withdraw from the meeting while the AEC reaches its decision on the protocol.

2. A member of the AEC who is also an investigator on a research protocol should withdraw from the AEC meeting while the protocol is being considered, to enable the AEC to make (and be seen to make) an independent decision on the protocol.

The member should also abstain from any monitoring activity on the protocol that is conducted by, or on behalf of, the AEC, apart from providing the committee or its delegates with such access and information as is required to enable the AEC to exercise its supervisory and monitoring functions.

Similarly, a member who manages an animal house or other research facility that is monitored and supervised by the AEC should withdraw from the meeting while the AEC makes a decision in respect of any animals, records or other aspects relating specifically to those facilities or the member's management of them.

The member should also abstain from any monitoring activity of the facilities that is conducted by, or on behalf of, the AEC apart from providing the committee or its delegates with such access and information as is required to enable the AEC to exercise its supervisory and monitoring functions.

It is essential that the AEC operate with a quorum in accordance with the Code of Practice.

Where category A or B members of the AEC are frequently named as investigators on protocols considered by the AEC, then additional members should be appointed to the committee in those categories.

Where a manager of a facility supervised by the AEC is the only category A or B member of the committee, then an additional member should be appointed in that category.

Where additional members are appointed to an AEC, the balance of membership of the AEC must be maintained in accord with the requirements of the Code of Practice.

Explanatory notes

The Chairperson or Presiding Member of the AEC should hold a senior position within the institution, in accord with Clause 2.2.6 of the Code of Practice.

However, there is a conflict of interest if the Chairperson is also an investigator named on research protocols being considered by the AEC.

If this situation occurs frequently, another senior person in the organisation, who is not likely to be nominated on research protocols, should be appointed as the Chairperson. In organisations that have a small staff, it may be necessary to appoint a suitable person from outside the institution.

Where a member of the AEC (other than the Chairperson or Presiding Member) is named as an investigator on a research protocol, the member may provide the AEC with such information as is required to properly consider the protocol. However, there is a conflict of interest if the member then takes part in the decision making process of the AEC regarding the protocol.

Similarly, where a member of the AEC manages an animal house or research facility, it is appropriate for the member to provide the AEC with the information that the committee requires for the proper consideration of business related to the facility. However, there is a conflict of interest where the member then takes part in making decisions regarding aspects of the facility for which he or she has managerial responsibility.

Consequently, an operating procedure should be established whereby the member abstains from the decision making process, preferably by withdrawing from the meeting while the AEC reaches its decision. This should be recorded in the minutes of the AEC meeting when it occurs.

When the AEC monitors animals under a protocol, or inspects a facility, the member should not be involved in making, reporting or determining outcomes of any monitoring or inspection by or on behalf of the AEC, apart from providing such assistance as the AEC requires in properly conducting the activity.

The occasional withdrawal of a member from the AEC meeting should not be deemed to affect the validity of the decision if the absence of the member affects the maintenance of a quorum. However, where a member is the only person representing category A or B and is frequently associated with research protocols or manages a facility supervised by the AEC, an additional person should be appointed to the committee in that category.

It is a requirement that the AEC adopts an operating procedure that establishes a quorum for meetings, in accord with Clause 2.2.10 - 2.2.14 of the Code of Practice.

In organisations that have a small staff, most of whom are involved in research, it may be necessary to appoint suitable additional people from outside the institution. In all cases, the balance of membership of the AEC must be maintained in accord with Clause 2.2.7 of the Code of Practice.

Animal Research Review Panel Policy 16