The Research Integrity and Compliance office(RIC) is responsible for managing all individual Conflicts of Interest that are related to research. USU’s Policy 545 states that a Conflict of Interest (COI) exists when a University employee owes a professional obligation to the University, which is or can be compromised by the pursuit of outside interests. USU does not take the view that a Conflict of Interest is inherently bad for the University. If an employee does have a potential COI, RIC works with them to create an effective Management Plan.
COI is the result of a situation and not on any actions or character on the part of the researcher.
Contact
Joy Van Nostrand
Phone: 435-797-1235
Email: joy.vannostrand@usu.edu
Kuali Instructions
Find instructions on how to complete a COI disclosure in Kuali.
Training
Find more about COI training requirements and resources.
Institutional Conflict of Interest
Learn more about Institutional Conflicts of Interest.
Foreign Influence
Find information regarding Foreign Influence in Research
Standard Operating Procedures
Find standard operating procedures.
Related Policies & Procedures
Find COI related policies and procedures.
Responsibilities
Find more about Employee and COI-related Responsibilities.
Types of Research COIs
Financial Conflict
A researcher stands to gain financially from the research, particularly if the research has a certain outcome.
- A researcher owns stock in a company that is sponsoring her/his research project, to be conducted at the University.
- A researcher serves as the evaluator on a project for which she/he receives federal funding, which is contingent upon the project’s success.
Conflict of Commitment
An employee has committed more than 100% effort to a range of projects.
- A faculty member uses University resources, including office or laboratory space, in support of her/his personal consulting work.
- A faculty member dedicates more than the permitted four days per month working as a member of an advisory board.
Conflict of Allegiance
An employee's personal interests may create a bias in his/her discharge of University duties.
- A faculty member receives research funds (or equipment or supplies) from a source outside the United States and these funds do not go through the Sponsored Programs Office.
- A faculty member has a joint appointment at another institution inside and/or outside the United States.
Personal Conflict
A researcher takes actions in order to help a relative or close acquaintance
- A faculty member hires a company owned by a relative.
Bias
A researcher's personal opinions or ideas may influence their research.
Definitions
Conflict of Interest
A conflict of interest exists when a University employee owes a professional obligation to the University, which is or can be comprised by the pursuit of outside interests.
Immediate Family
For the purposes of this policy means spouse/domestic partner and/or dependent children.
Institutional Conflict of Interest (ICOI)
A conflict of interest exists whenever the financial interests or holdings of the institution or the personal financial interests or holding of institutional leaders (those with direct authority over the allocation of institutional resources), might affect or reasonably appear to affect the design, conduct, reporting, review, or oversight of human subjects research.
Management Plan
A document that details how an employee will mitigate a Conflict of Interest. Disclosures submitted via Kuali serve also serve as a Management Plan.
Significant Financial Interest (SFI)
Any financial interest that is held by the individual, their spouse/domestic partner or dependent children, that is reasonably perceived to be related to the individual’s USU responsibilities, received from the entity in the twelve months preceding disclosure, when aggregated, exceed $5,000 for PHS agencies or $10,000 for all other agencies, and where one of the following are true:
- Interests in publicly traded entities.
- Compensation (salaries, consulting fees, honoraria, paid authorship, etc.) and the value of any equity interest (stock, stock option, or other ownership interest) in the entity.
- Interests in non-publicly traded entities:
- Compensation (salaries, consulting fees, honoraria, paid authorship, travel, etc.); or
- Any equity interest (e.g. stock, stock option or other ownership interest).
- Intellectual property rights and interests (e.g., patents, copyrights) upon receipt of income related to such rights and interests.
EXEMPTIONS
The following are NOT defined as significant financial interests.
- Salary, royalties, grant support or other compensation from USU
- Income from seminars, lectures, or teaching engagements or service on advisory committees or review panels for public or non-profit entities
- Royalty income from intellectual property rights arising out of USU employment that are assigned to organizations created to manage such rights on behalf of USU
- Income from investment vehicles, such as mutual funds or retirement accounts, as long as the individual does not directly control the investment decisions made in these vehicles.
- If an equity interest that, when aggregated, meets both the follow tests:
- Is less than the regulatory limit ($5,000 for PHS agencies, $10,000 for all other agencies) in value as determined through reference to public prices or other reasonable measures of fair market value, or
- Is less than five percent ownership interest in any single entity; and intellectual property rights (e.g., patents, copyrights or royalties from such rights).