RIC's Approach to Conflict of Interest in Research

RIC uses a risk-based, ethics-forward approach to evaluate and manage conflicts of interest (COI) in research and other institutional responsibilities.

The goal of COI review is not to prohibit outside interests or activities. Rather, it is to identify situations where financial interests, outside activities, relationships, or commitments could reasonably compromise, or appear to compromise, research objectivity, professional judgment, participant protections, student welfare, compliance obligations, or public trust.

Most disclosed interests can be appropriately managed through reasonable safeguards that protect research integrity while allowing research and other professional activities to continue.

Why We Review Conflicts of Interest

COI review is intended to:

  • protect the integrity of research;
  • maintain public trust in research and scholarship;
  • help researchers identify and address risks before they become problems;
  • protect students, participants, collaborators, and research personnel; and
  • support objective and transparent decision-making.

The Principles that Guide RIC's Decisions

RIC evaluates COIs using principles derived from:

  • Federal sponsor requirements and research regulations*;
  • University policies and procedures;
  • Research integrity and human-subject protection standards*;
  • Research security requirements*; and
  • National best practices for COI review and management*.

Although specific requirements differ across sponsors, these sources generally emphasize transparency, objective decision-making, protection of students and research participants, management of financial interests, and protection of public trust.

How RIC Evaluates and Manages Conflicts

RIC evaluates conflicts using a risk-based approach that considers the nature of the interest, the Researcher's role, relationships with students or participants, institutional responsibilities, research activities, and the potential impact on research integrity, compliance obligations, and public trust.

COIs are not limited to financial interests. Depending on the circumstances, outside activities, supervisory relationships, leadership positions, student involvement, foreign affiliations, consulting arrangements, procurement authority, or other relationships may also create actual, potential, or perceived conflicts that warrant review or management.

RIC evaluates not only actual conflicts, but also situations in which a reasonable person could question the objectivity of the activity if the relationship were publicly disclosed.

The goal of conflict management is to protect research integrity and professional decision-making while allowing appropriate research, scholarship, professional activities, and other institutional activities to continue whenever possible.

Why We Ask Disclosure Questions

USU's disclosure questions are designed to meet federal regulations, sponsor-required foreign support and research disclosures, federal research security expectations, and institutional obligations. Individual questions may support multiple regulatory, sponsor, compliance, and risk-management objectives.

Disclosure does not mean a conflict exists. In most cases, disclosure allows RIC to evaluate the circumstances, determine whether a conflict is present, and identify any safeguards needed to support objective, transparent, and responsible research.

*Selected Sources Informing RIC's Approach

Federal Regulations and Sponsor Requirements

Related Guidance