VinUniversity is committed to upholding the highest standards of research integrity, transparency, and accountability. The management of Conflict of Interest (COI) in research is an essential component of this commitment.

The University-wide COI in research management framework is established and implemented in accordance with:

• VinUniversity Governance Framework Guidelines
• Research Integrity Policy
• Employees Code of Conduct

This framework ensures that potential, actual, or perceived conflicts of interest are identified early, assessed appropriately, and managed proportionately, without unnecessarily restricting legitimate academic and research activities.

1.Key Principles

• Disclosure first: Declared COI is not misconduct per se.
• Risk-based approach: Actions are determined by the severity of COI.
• RAC assigns one consolidated score (1–5) per case, then applies the corresponding risk tier and management measures.
• Distinction between non-compliance and misconduct.
• Non-submitted COI handled as a non-compliance according to internal regulations.
  • First occurrence: Type 2 of violation
  • Repeated occurrence: Type 1 of violation

• Dishonest declaration or COI in research causing harm: automatic escalation to research misconduct.
• Escalation mechanism: Repeated or intentional violations result in stricter sanctions.

2. Risk-Based Management

Risk Level	Score Range	Description	Typical COI Scenarios	Management Measures
LOW	1-2	COI exists but is remote or minimal. No material financial interest, no decision-making authority, and unlikely to affect research objectivity or integrity.	• Spousal/partner relationship within VinUni/VGR entities but no involvement in the same project. • Minor or unpaid external professional activities unrelated to the research outcomes • Concurrent roles within VGR without influence over research design, data, or results	• Record in Research Management, HR, CPL system. • No restriction on research role • No further action required
MODERATE	3-4	COI is perceived to influence research decisions if unmanaged. Individual holds limited influence over study design, data collection, analysis, or reporting.	• Spousal/partner relationship within the same project but different responsibilities • External consulting income linked to VinUni collaborations but not outcome-dependent • Declared engagement with research-related companies without ownership or executive role	• Approved COI Management Plan • Independent review or oversight
HIGH	5	COI presents a significant or unacceptable risk to research integrity. High likelihood of actual or perceived bias; objectivity cannot be adequately safeguarded without strong restrictions.	• PI/Co-PI receiving substantial consulting income directly linked to research outcomes • Ownership, equity, or executive role in a company collaborating on the research • COI combined with non-disclosure or misleading disclosure	• Independent review or oversight • Escalation to research misconduct procedures and internal disciplinary actions

3. COI in Research Management Workflow

4. Further Information

For detailed guidance, forms, and workflows, please refer to:

• COI in research Declaration Form
• Handling Alleged Research Misconduct Workflow

For support or clarification, contact the Research Management Office at research@vinuni.edu.vn