Conflict of Interest Guidelines

Typically, a financial conflict of interest may arise when a person has the opportunity to influence University business, administrative, academic, or other decisions in ways that could lead to personal gain or advantage of any kind. A conflict of interest may also exist when a person has a significant financial interest in a business from which he or she receives sponsored program support or whose value may be affected by research in which the person participates.

While it is difficult to specify precisely what constitutes an objectionable conflict in all situations, the guidelines set forth below establish general standards by which individuals must evaluate their behavior. The guidelines are divided into three categories: (1) conduct presumptively prohibited; (2) conduct permitted only after review and approval; and (3) conduct merely requiring disclosure. The guidelines are not exhaustive of all potential conflict of interest situations. Where facts known to a person reasonably suggest an actual or apparent conflict of interest, the person is expected to disclose the circumstances and avoid the conflict of interest in good faith consistent with the spirit and objectives of this Policy.

• Conduct Presumptively Prohibited
  This section of the guidelines describes conduct that is “presumptively prohibited”. Presumptively prohibited conduct presents a prima facie conflict of interest and may not ordinarily be engaged in by any person covered under this Policy. The presumption may be rebutted and the conduct permitted if the person establishes by clear and persuasive evidence that such permission is justified by compelling circumstances. The following factors, among others, may be considered in evaluating whether the person has made a sufficient showing of compelling circumstances: the nature of the research or educational activities or the University business involved; the magnitude of the interest and the degree to which it is related to the research or educational activities or the University business involved; in clinical research, the degree of risk to the human subjects involved that is inherent in the research; and the extent to which the interest is amenable to effective oversight and management. Section D (and, where applicable Appendices B and C) of the Policy, set forth the applicable processes for review and approval in such cases.
  • Significant Financial Interest in a Business
    If a person, a member of his or her family, or an associated Entity possesses a significant financial interest (other than a consulting relationship) in a business, then the person may not
    • receive sponsored program support from the business; or
    • assign students, postgraduate students, fellows or other trainees to projects supported wholly or partially by sponsored program funding from the business.
  • Participation in University Decisions
    A person may not participate in any University decision that relates to or has any effect on a business (1) in which the person, a member of the person’s family, or an associated entity has a significant financial interest or (2) with which the person, a member of the person’s family, or an associated entity has or is negotiating to have any paid consulting or employment relationship. Under such circumstances, a person shall promptly and fully disclose the conflict and recuse himself or herself from any participation in such a decision.
  • Gratuities, Gifts and Favors
    A person may not solicit or accept gratuities, gifts, favors or anything of monetary value, in excess of $100 per year per source, from an individual or a business that (1) provides sponsored program support to that person or (2) has or seeks to have a business association with the University over which the person has authority or influence. Moreover, a person participating in the selection, award or administration of agreements using Federal funds may not solicit or accept gratuities, gifts, favors or anything of monetary value from grantees/contractors or potential grantees/contractors, regardless of value. Receipt of anything of monetary value permitted under this paragraph may additionally be subject to and must comport with other applicable University policies. Nothing in this paragraph shall preclude a person from soliciting or accepting gifts, donations, or bequests of any kind or in any amount on behalf of the University.
• Conduct Permitted Only After Review and Approval
  This section of the guidelines describes conduct a person may engage in only after review and approval in accordance with Section D of the Policy. The factors specified in Section B.1 above may also be considered in addressing requests under this section.
  • Significant financial interest in a business
    If a person, a member of his or her family or an associated entity possesses a significant financial interest (other than a consulting relationship) in a business, then unless he or she first discloses the significant financial interest and receives approval in accordance with Section D of the Policy, the person may not
    • engage in research on projects that, whether or not sponsored by the business, involve technology owned by or contractually obligated (for example, through a license) to the business;
    • assign students, post-graduate students, fellows or other trainees to projects listed in Section B.2.a(1) above; or,
    • make clinical referrals to such a business.
  • Consulting Relationships
    A person may neither enter into nor continue a consulting relationship with a business from which he or she receives sponsored program support or that has or seeks to have a business association with the University over which the person has authority or influence, unless the person first discloses the facts and receives approval in accordance with Section D of the Policy. In addition, a person who enters into such a consulting relationship may not assign students, fellows or other trainees to projects that are either supported wholly or partially by sponsored program funding from the business engaging him or her for consulting or that involve technology owned by or contractually obligated to that business without first receiving specific approval, in accordance with Section D of the Policy, to make such assignments.
  • Service in an Executive Position with a Non-University Entity
    A person may not serve in a compensated or uncompensated executive position in, or serve with or without compensation on the advisory board of, a business (not including a government agency, nonprofit organization, or an accredited educational institution) from which the person receives sponsored program support, unless the person first discloses the facts and receives approval in accordance with Section D of the Policy.
  • Use of the University’s Name
    A person who has a significant financial interest in a business or is affiliated with or performs services for a business, may not authorize that business to use the University’s name, symbols, or logo to imply endorsement of the business by the University, or to give undue prominence to the fact that the person is associated with the University, unless the person first discloses the facts and receives approval in accordance with Section D of the Policy. In addition, the person must comply with any other applicable University requirements.
  • Use of University Facilities
    A person may not enter into an agreement with a business involving the use of facilities or resources belonging to or utilized by the University, including the person’s office or laboratory, unless the person first discloses the facts and receives approval in accordance with Section D of the Policy. This procedure supplements and does not supersede space allocation procedures utilized by the University and its campuses.
  • Government-Funded Activities
    If a person, a member of his or her family, or an associated entity has a significant financial interest in a business, the person may not without prior disclosure and approval in accordance with Section D of the Policy:
    • be responsible for the design, conduct or reporting of or otherwise participate in government-funded research, educational, or clinical care activities that could directly and significantly be affected by such BUSINESS interest; or
    • participate by testifying, making recommendations, or voting, in any internal or external decision-making process involving the award or distribution of government funds where the testimony, recommendation or vote would reasonably appear to be directly and significantly influenced by such BUSINESS interest.
• Conduct Requiring Disclosure
  This section of the guidelines describes conduct which, while not presumptively prohibited or subject to prior approval of an institutional official, must be disclosed in accordance with Section C of the Policy. Conduct requiring disclosure is subject to review in accordance with Section D of this policy and, depending on the circumstances, may be conditioned or prohibited. Such conduct may also be subject to other University policies. The factors specified in Section B.1 above may also be considered in addressing matters disclosed under this section.
  • Service in an Executive Position with a Non-University Entity
    If a person assumes or holds a compensated or uncompensated executive position in, or serves with or without compensation on any advisory board of, a business (not including a government agency, nonprofit organization, or an accredited educational institution) with which the University has a substantial business relationship known to the person, the person must promptly and fully disclose the facts in accordance with Section C of the Policy and recuse himself or herself from participation in any University decision that relates to or has an effect on the subject business.
  • Publications or Presentations
    If a person, a member of his or her family, or an associated entity possesses a significant financial interest in a business, the person may not publish or give a public oral presentation on the results of research sponsored by such a business, or of research on technology owned by or contractually obligated to such a business, without first disclaiming in the publication or presentation any endorsement by the University. The person must also disclose the significant financial interest to the potential publisher or sponsor of the public presentation, regardless of whether the publisher requires such a disclosure.
  • Consulting Relationships
    If a person enters into a consulting relationship with a business and the consulting relationship is in the field of the person’s professional responsibility at the University, he or she must fully and promptly disclose the facts in accordance with Section C of the Policy, regardless of whether or not the person receives sponsored program support from the business or has any other significant financial interest in the business, and recuse himself or herself from participation in any University decision that relates to or has an effect on the subject business. This paragraph may supplement but does not supersede other requirements detailed in the Faculty Handbook or other University policies.