Guidance Documents

Guidance for Reviewing and Managing Conflict of Interest

A conflict of interest (COI) refers to a situation in which an individual’s financial, professional, or other personal interests may affect an individual’s professional judgment in exercising their professional duty or responsibility, including the design, conduct, and/or reporting of research¹. A COI carries no moral judgement and is not a reflection of a person’s character, it is a description of a set of circumstances. A COI can be an actual conflict or the appearance of one, both of which are handled in the same manner.

A management plan is a document that details steps that will be taken to prevent a COI from affecting decision making. Management plans enhance transparency and create a separation between a researcher’s personal activities/interest and their university work/research to avoid the appearance of impropriety in university decision making or research. The management plan protects both the researcher and the decision-making process.

In the spirit of shared governance² and due process³, management plan development should be undertaken as a partnership between the department head and faculty member.

There are a number of strategies available to manage conflicts. The U.S. Public Health Service has provided examples of conditions or restrictions that could be used to manage COIs⁴. These include:

1. Public disclosure of significant financial interests,
2. Monitoring of research by independent reviewers,
3. Modification of the research plan,
4. Disqualification from participation in all or a portion of the research,
5. Divestiture of significant financial interests, or
6. Severance of relationships that create actual or potential conflicts.

This is not an exhaustive list and there are other options for managing COIs.

Potential Conflict	Management Plan
Ownership of stock >$5000 in a company that does or could supply research-related items	Department Head/Supervisor approves any purchases of goods from the company
Unrelated relationship with a research sponsor (e.g., Dr. X is a subaward on a grant with Dr. A at the University of Maryland; Dr. X also provides consulting services to Dr. B at the University of Maryland for an unrelated project)	Disclose relationship to the Department Head/Supervisor

¹ Policy 545 Individual Conflict of Interest
² Policy 401 Composition and Authority of the Faculty
³ Policy 407 Academic Due Process
⁴ 42 CFR 50 Subpart F, Promoting Objectivity in Research

 

Guidance for Reviewing Researcher Outside Interests

A Conflict of Commitment refers to a situation in which an individual engages in outside activities, either paid or unpaid, that interfere with their primary obligation and commitment to USU.

An Outside Interest is a personal, professional, commercial, or financial endeavor a Researcher may undertake with an entity/organization external to USU in which the same professional expertise, service, or knowledge provided to USU are utilized, and which are not a part of a USU administered research project.

Because supervisors/department heads have the best understanding of their employee’s job responsibilities and workload, they are best able to evaluate how an Outside Interest relates to that employee’s professional service or impacts their institutional duties and time commitments. As such, the Research Integrity and Compliance office (RIC) is asking supervisors/department heads to review all Outside Interests disclosed by any Researcher under their supervision. This review is requested to,

(1) make sure the supervisor/department head is aware of the Outside Interest(s),
(2) allow the supervisor/department head to determine if there are any concerns regarding time commitments or role overlap if the Researcher continues these activities, and
(3) allow the supervisor/department head to alert the Researcher if additional activities or interests should be disclosed.

If there are Conflict of Commitment concerns with an Outside Interest, the supervisor/department heads should discuss the situation with the Researcher. If concerns remain, RIC should be contacted so that a management plan can be developed.

When reviewing an Outside Interest, consider the following questions:

Is the employee fulfilling their commitments to the Unviersity and department?

All employees have primary employment and professional responsibilities to the University.¹

Faculty also have a professional responsibility to the University to appropriately prepare for teaching, meet scheduled classes, and maintain regular office hours or otherwise be accessible to students. Faculty must also meet their obligations to their associates when engaged in joint research or other professional effort and meet their commitments to the institution and to funding agencies where appropriate in research, publication, or other professional endeavors.²

A consulting obligation or other outside activity should be undertaken only if it does not interfere with full and complete performance of the regular duties which an Investigator has been assigned, for which he or she is receiving compensation from Utah State University, and which is normally expected of its employees.³

What is the time commitment for the Outside activity? Is this amount of time within the allowable limits?

The standard work schedule for most full-time University employees is a 40-hour week consisting of five (5), 8-hour days: 8:00 a.m. to 5:00 p.m., Monday through Friday. Deviations to this schedule are allowed when it is the best interest of the University and employee.⁴

Faculty on academic year appointments may be absent from campus between terms after they have fulfilled the professional responsibilities of their assignments.⁵ Faculty on sabbatical leave may accept a fellowship, an assistantship, or professional employment in his or her field of specialization.⁶

Eligible employees may be permitted up to four consulting service days per month during their appointment period (12- or 9-month). Additional time away from work for consulting services may be granted provided such services do not interfere or conflict with their University role assignments or job duties and are deemed beneficial to the University as well as the professional development of the employees.¹

Does the Outside Activity benefit the employee's work?

Outside professional activities should improve a faculty member’s academic skills and have a legitimate relationship to their academic service.²

Is the Outside Interest part of their service responsilibities?

Tenure-eligible faculty must participate in service activities, but they are not expected to constitute a major emphasis of the faculty member’s time.7 Faculty members have the same academic freedoms with service activities as with other pursuits.²

Service activities include but are not limited to membership in, and leadership of, departmental, college and university committees and organizations; active participation in regional and national professional organizations (committee membership, elective or appointive office); consulting activities in local, regional, national and international organizations and agencies; public speaking and/or information dissemination involving professional expertise; engagement in local communities.⁷

How similiar is the Outside Interest to the employer's institutional responsiblities?

In certain University programs, advice and service to individuals, organizations, and other agencies are an integral part of a Researcher’s regular duties.³ Faculty members and exempt employees may render consulting services to any entity or organization provided that the services are not included in the employee's role statement/job description. Employees may not engage in any consulting activity in competition with the University.¹

Is the Outside Interest a consulting activity?

“Consulting Activities” are activities carried out by employees of the University with third parties, including private and/or public organizations.³ The University recognizes that faculty and exempt employees make broad and significant contributions by providing professional expertise to local, state, national, and international communities on a consulting basis. Such activity contributes not only to the needs and understanding of others but increases the competence of the consultants in their professional roles and brings recognition to the University.¹ Consulting Activities should be pre-approved by the employee’s direct supervisor and the time spent on consulting should be reported to the supervisor after completed.³

Investigators working in a private capacity are obligated to make clear to their third-party employers that this work is private. University stationery and forms should not be used in Consulting Activities or reports. The specific arrangements and compensation rates for such consultation should not subject other professional persons outside the University to unfair competition.³

Serving as an expert witness during legal proceedings is normally a Consulting Activity.³

If consulting work involves the use of the University's labor, facilities, or equipment, it should generally be performed on a contractual basis with the University rather than on a consulting basis.³

Are they being paid for this Outside Interest?

Faculty members do not exploit their positions for personal or financial gain when supervising the professional work of others. Research for financial return should be conditional upon disclosure to and consent of the vice president for research.²

Except as provided for on sabbatical leave⁶, faculty members may not accept employment for--and may not perform--any teaching, instructional, Extension, or research services for other institutions during their term of appointment without the knowledge and written approval of the faculty member's department head or supervisor and dean, director, or vice president. Compensated or uncompensated participation in an occasional short-term conference, seminar, or symposium or the delivery of a scholarly paper or public address at a professional meeting or academic gathering, does not violate this policy^.1

Does the Outside Interest expose the University to legal or reputational risks?

Investigators must not compromise the position of the University through their Consulting Activities or other Outside Interests. Conflicts of interest must be disclosed and appropriately managed, reduced or avoided. Improper use of University resources may result in employment actions.³

¹ Policy 377: Consulting Service
² Policy 403: Academic Freedom and Professional Responsibility
³ Policy 583: Research
⁴ Policy 382: Time and Attendance
⁵ Policy 404: Faculty Appointments
⁶ Policy 365: Sabbatical Leave
⁷ Policy 405: Tenured and Term Appointments