Understanding COI Management Plans

A conflict of interest (COI) exists when a Researcher's financial, professional, personal, or institutional interests could directly or indirectly affect, or reasonably appear to affect, their professional judgment or responsibilities.

Having a COI does not indicate wrongdoing or misconduct. Rather, it reflects a set of circumstances that may require review and, in some cases, management to protect research integrity, participants, students, institutional responsibilities, and public trust.

Purpose of a COI Management Plan

A COI Management Plan is a formal, written document that establishes conditions and safeguards to mitigate or eliminate those risks.

Management plans are intended to promote transparency, reduce or eliminate bias, protect Researchers, students, and the institution, and enable research and scholarly activity to proceed when appropriate.

How Management Plans Are Developed

RIC evaluates the disclosed conflict and prepares a proposed COI Management Plan when additional safeguards are necessary. Management Plans are developed using a risk-based approach that considers the specific circumstances of the conflict, including the Researcher's role, affected individuals, research activities, institutional responsibilities, and potential risks to objectivity, integrity, compliance, and public trust. The goal is not to eliminate outside interests, but to manage them appropriately. Whenever possible, management plans are designed to allow research and scholarly activities to continue while maintaining integrity and public trust.

The Researcher and department head (or other supervising official) review the proposed plan and may provide feedback before the plan is finalized.

Who Does What

RIC is responsible for:

• assessing conflicts;
• developing proposed management measures; and
• approving management plans.

Researchers are responsible for:

• providing complete and accurate disclosures;
• reviewing proposed management plans; and
• complying with approved management plan requirements.

Department heads or designated conflict managers are responsible for:

• overseeing implementation of management measures; and
• monitoring compliance within the department.