Advice for Faculty about Research Risks and Due Diligence

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In the context of the University’s research enterprise, risk aptly refers to the probability and severity of adverse effects to health, safety, security, property, the environment, and to other valued assets (e.g. personal or institutional reputation, financial resources, etc). Innovation and risk naturally co-exist and opportunities are often associated with responsible risk-taking. For example, biotechnology is applied in many research frontiers and its use raises many ethical questions and regulatory issues.

Due diligence is the employer/supervisor obligation (legal and moral) to take every precaution reasonable in the circumstances to protect health, safety and the environment. It must be proactive and creative to anticipate and control hazards, and it must be reactive to address reported hazards or to respond to incidents. Due diligence is not a standard of perfection; rather it is a principle for continuous improvement in performance. Equally important and reassuring, the documented evidence of due diligence serves as the foundation of a legal defence in the event of prosecution or litigation.

Risk management is essential for strategic decision making, accountability, public trust and due diligence. From the University’s perspective, the risk management process must involve the identification and assessment of research-related risks and the implementation of reasonable precautions and controls.

Accordingly, the University has administrative systems and resources to assist faculty to manage research risks and to promote due diligence. These include research policies and procedures from the Office of Research and policies and procedures from Environmental Health and Safety for due diligence in occupational health, safety and environmental protection. Standing University peer review/safety committees have been created to oversee specific research activities and the related due diligence; they include the Accelerator Management Committee, Animal Care Committee, Biosafety Committee, CRIFS CL3 Facility Management Committee, Drug Control Committee, Laser Safety Committee, Radiation Safety Committee, and the University Human Subjects Committee.

For assistance with the assessment of risks in your own research and the identification of appropriate due diligence, please do not hesitate to contact (through the Office of Research) the Chairs of the aforementioned committees or one or more of the following resource personnel:

Research Risks and Due Diligence