Draft - 49.001: Conflict of Interest and Conflict of Commitment
Draft
Laura Myers, Director of University Compliance
Reason for Policy
The purpose of this policy is to define standards and expectations for identification, disclosure, review, and management of conflicts of interest, conflicts of commitment, and outside activities. This policy ensures compliance with Ohio Ethics Law, applicable federal law, and other applicable state ethics regulations and Ohio university standards of conduct. Standard operating procedures supporting this policy are maintained by responsible administrative units.
Scope
This policy applies to all employees of Ohio university including faculty, administrators, staff, graduate associates, postdoctoral scholars, student employees. It also applies to individuals or entities that provide property, goods, or perform services on or on behalf of the university and receive compensation or other consideration for property, goods or services, regardless of appointment type or funding source.
This policy also applies to any other outside activities or relationships that have the potential to create a conflict of interest or conflict of commitment under applicable state or federal law or university policy, regardless of whether such activities are specifically addressed elsewhere in this policy.
Compliance with Ohio Ethics Law
This policy establishes university expectations for employees. Enforcement of this policy is an administrative function and is intended to reflect obligations imposed by Ohio Ethics Law, including Ohio Revised Code Chapters 102 and 2921.
- Within 15 days of hire, each new employee will be provided a copy of the applicable Ohio Ethics Law provisions, including ORC Chapter 102 and ORC 2921.42, as required by ORC 102.09. New employees must acknowledge receipt in writing or electronically.
Compliance with Federal Regulations
Federal laws, regulations, and sponsor requirements require the university to maintain written standards for identifying, disclosing, reviewing, and managing conflicts of interest in connection with federally funded or federally regulated activities, including sponsored projects and other university operations. Where applicable, Ohio university will implement procedures to ensure timely disclosure of relevant interests, appropriate review and management of identified conflicts, documentation of determinations, and required reporting or certification to federal agencies or sponsors.
Policy Expectations
This section established expectations for preventing, disclosing, and appropriately managing conflicts of interest and conflicts of commitment. Employees must act transparently, avoid or minimize conflicts where possible, and work with the university to manage, mitigate, or resolve conflicts through review, approval, and any required management measures.
Avoiding Conflicts of Interest
Employees must avoid situations in which personal, financial, familial, or business interests interfere or appear to interfere with the performance of university duties.
Avoiding Conflicts of Commitment
Outside activities may not reduce or compromise an employee's time, attention, effectiveness, or availability required for university responsibilities, including as applicable: teaching, advising, mentoring, clinical care, administrative duties, research and other assigned obligations.
Managing, Mitigating, or Resolving Conflicts
Employees are expected to cooperate with university review processes and to take appropriate steps to manage, mitigate, or resolve actual, potential, or apparent conflicts of interest or conflicts of commitment. This may include modifying an outside activity, recusal from certain decisions, implementing a management plan, limiting involvement in specific university matters, or discontinuing an activity when necessary, as determined through university procedures.
- Annual Disclosure of Outside Activities and Financial Interests
- Disclosure requirement. Employees must disclose outside activities and financial interests as required by university procedure and as described in this policy.
- Timing. Disclosures must be submitted:
- Upon hire,
- Annually; and
- Updated within 30 days of discovering, beginning, or acquiring a new outside activity or financial interest, or becoming aware of a new or potential conflict of interest or commitment.
- Prior written approval: Employees must obtain written approval before beginning outside activities that may create a conflict of interest or conflict of commitment, as defined by this policy and addressed in university procedure.
- Sponsored research/creative activities: Individuals engaged in sponsored research or creative activities have additional financial disclosure requirements as described in Section G.
- Purchasing and procurement: Employees involved in purchasing, contracting, sourcing, vendor selection, or other procurement-related processes must comply with applicable purchasing requirements and disclose any actual, potential, or apparent conflicts as required by this policy and related procedures as described in section I.
- Intellectual property and Commercialization Activities: Employees involved in intellectual property matters, licensing, startups, commercialization activities, or related arrangements must disclose relevant interests and activities as required by this policy and applicable university procedures as described in sections J and K, respectively.
- Disclosure Does Not Indicate Misconduct: Disclosure is a neutral, routine administrative step intended to promote transparency. It does not suggest wrongdoing. Many outside activities are permissible once reviewed and, when appropriate, managed.
Definitions
- Conflict of interest: A situation in which external interests could compromise, or reasonably appear to compromise, an employee’s judgment, objectivity, or decision-making on behalf of the University
- Conflict of commitment: A situation where an employee’s outside activities (whether compensated or not) interfere with the time or focus required for their university duties. This is distinct from financial conflicts, as it pertains to time, attention, and professional focus rather than money.
- Institutional Conflict of Interest: a situation in which the University’s financial or business interests could affect, or appear to affect, its research, purchasing, or other institutional decisions.
- Outside Activity: any professional, employment, consulting, entrepreneurial, volunteer, academic, or service activity performed for an entity other than Ohio University.
- Public Contract: as described in ORC 2921.42 means any contract under which the university purchases or acquires goods or services or any contract to design, construct, alter, repair, or maintain public property. This includes nearly all procurement actions undertaken by the University, regardless of payment method, reimbursement, or funding source.
- Gift: Anything of value given to a university employee by a person or organization that may be seeking or has the appearance to influence the employee’s decisions.
- de minimis gift: A small, non-recurring item of minimal value such as a coffee mug, t-shirt, or modest food item. These may be acceptable when not intended to influence official actions.
- Family member: As defined in policy 40.107 nepotism, a family member includes but is not limited to the following: spouse, domestic partner, children (biological, step, adopted, or foster), legal wards, siblings, parents, grandparents, grandchildren, uncles, aunts, father-in-law, mother-in-law, brother-in-law, sister-in-law, daughter-in-law, son-in-law, and other persons related by blood, adoption, or marriage.
- Business associate: Any individual or entity with whom the employee shares a financial interest or partnership that could lead to personal gain, financial or otherwise, or that could be seen as competing with the interests of the university.
COIC administrator: a University office or individual designated to receive, review, and act on disclosures as provided in section N of this policy.
The following definitions pertain to Research and Sponsored Activities in Section G, below:
- Sponsored Activities: research, creative activity, and other programs funded by agencies of the federal, state or local governments, or by private profit or non-profit entities.
- Investigator: a project director or principal investigator and any other person, regardless of title or position, who is responsible for the design, conduct, or reporting of Sponsored Activities. “Investigator” may include collaborators or consultants.
- Financial Interest: anything of monetary value, whether or not the value is readily ascertainable.
- Significant Financial Interest (“SFI”): any financial interest defined under applicable federal regulations governing research financial conflicts, including income, equity, or intellectual property interests meeting federally established thresholds
- Financial conflict of interest: a Significant Financial Interest that could directly and significantly affect the design, conduct, or reporting of sponsored activities in research or creative activity
- Conflict management/mitigation plan: A written agreement developed between the employee and university administrators that outlines how a conflict will be managed, reduced, or eliminated to protect the interests of the university.
Sponsored Research and Creative Activity
- The Office of the Vice President for Research and Creative Activity ("VPRCA") will develop project-specific conflict of interest disclosure procedures and forms necessary for the administration, review, and management of project-specific Conflict of Interest.
- University employees who serve as investigators in sponsored activities must avoid actual or perceived bias arising from financial interests and must disclose significant financial interests as required by this policy and applicable sponsor regulations. To this end, Investigators will submit a university annual disclosure of outside activities and interests as described in Section E, above, and when participating as key personnel in an externally sponsored project, will submit a project-specific financial conflict of interest disclosure at the time of award as further described below.
- Investigators must submit a project-specific Conflict of Interest Disclosure at the time of award.
- Disclosures must include all significant financial interests including any reimbursed or sponsored travel related to institutional responsibilities, (except travel excluded by applicable sponsor rules and university guidelines) conflict of commitment, and conflict related to human subjects research if relevant.
- Within 30 days of acquiring or discovering a new project-specific financial, commitment, or other interest, the project-specific Conflict of Interest Disclosure must be updated.
- A research COI committee appointed by the VPRCA will be responsible for the review and approval of project-specific Conflict of Interest Disclosures and the development and enforcement of the project-specific Conflict of Interest Management Plans. The research COI committee will collaborate with Deans, Chair/Directors as needed to ensure appropriate review and resolution.
- Consistent with federal requirements and Ohio public records obligations, the University will make required information regarding identified COI and related management plans publicly available and will report COI to sponsors as required by applicable regulations.
- The University will require subrecipients and consultants on externally sponsored projects to certify compliance with applicable federal Financial COI (FCOI) requirements or to follow the University’s FCOI disclosure procedures, consistent with subaward or consulting agreement terms.
Foreign Affiliations and International Engagements
- Employees participating in outside activities involving foreign institutions, governments, laboratories, or companies must ensure that such activities do not create conflicts of interest or conflicts of commitment.
- Employees engaged in externally sponsored research shall comply with all federal requirements governing foreign affiliations, foreign support, and foreign talent recruitment programs.
- Employees are prohibited from participating in malign foreign talent recruitment programs as defined by federal law, regulation, or sponsor guidance.
Purchasing and Public Contracts
- The Office of the Vice President for Finance and Administration will develop conflict of interest disclosure procedures and forms necessary for the administration, review, and management of conflicts of interest in purchasing, contracting, and vendor selection.
- Employees involved in purchasing, contracting, or vendor selection must conduct these activities impartially and in the best interests of the University and the public it serves, and must avoid any actual or perceived conflict of interest.
- No employee may participate in a purchasing decision when they, a family or household member, or business associate have a personal, financial, or business interest in a vendor or transaction, unless the interest has been fully disclosed and appropriately managed or prohibited in accordance with Ohio Ethics Law and university policy.
- Purchasing decisions must be based on legitimate business needs, competitive processes when required, and objective criteria.
- Employees may not solicit or accept anything of value that could influence or appear to influence their judgment in the procurement process.
- Employees may not allow external entities to influence, or appear to influence, University decisions related to procurement, research, instruction, or other institutional activities.
- Employees may not promote, recommend, or otherwise advocate for vendors, contractors, or organizations in which their family or household members, or business associates hold a financial interest.
- All employees of Ohio university engaged in procurement-related activities must comply with standard operating procedures maintained under Policy 55.030: Purchasing.
Intellectual Property
- The Office of the Vice President for Research and Creative Activity ("VPRCA") will develop and maintain procedures and necessary forms for the review, management, and administration of intellectual property
- Ownership, protection, and commercialization of intellectual property created by university employees are governed by Ohio law, federal law, university policy 17.001: Intellectual Property Ownership and Disposition, and Employee Involvement in Research Commercialization, and applicable sponsor requirements. These requirements are intended to prevent actual or perceived conflicts of interest by ensuring that decisions related to intellectual property are made in the best interests of the University and apply regardless of whether the employee’s work occurs on duty or off duty.
Participation in Commercialization Activities
- The Office of the Vice President for Research and Creative Activity ("VPRCA") will develop and maintain procedures and necessary forms for the review, management, and administration of commercialization activities.
- Employees who seek to participate in the commercialization of university owned intellectual property or in companies formed to commercialize such work must do so in a manner that avoids conflicts of interest or commitment. Such participation is subject to disclosure, review, and approval under the university policy 17.001: Intellectual Property Ownership and Disposition, and Employee Involvement in Research Commercialization, and any applicable rules governing employee involvement in commercialization activities.
- Employees, faculty, staff and students, who create intellectual property owned by Ohio university and who desire to hold an equity interest in a firm, corporation, or other association to which Ohio University has assigned, licensed, or transferred, Ohio University's interests in discoveries or inventions made or created by that employee or in patents issued to that employee (hereinafter "Company") commercializing their research in accordance with § 3345.14 ORC. Ohio University's interests are governed by Policy 17.001, Intellectual Property Ownership And Disposition, And Employee Involvement In Research Commercialization and Policy 19.059: Employee Participation In Authorized Private Companies Commercializing Ohio University Research
Gifts, Influence, and Improper Benefit
Employees must avoid accepting, giving, or soliciting gifts or anything of value that could influence or appear to influence University business decisions.
Accepting reduced or non-cost conference participation in exchange for speaking or otherwise presenting or teaching a professional conference is generally permissible, so long as it does not involve compensation for the engagement or involve benefits beyond the cost of attendance.
Use of University Resources
- Employees are prohibited from using University facilities, equipment, personnel, intellectual property, confidential information, or brand identifiers for any outside activity unless expressly authorized by the University and consistent with Policy 55.002: Use of University Resources.
- Employees must not use University email systems, laboratories or other facilities, supplies, equipment, students, or staff to support outside employment or personal business interests.
COIC Administrators and University COIC Review committee:
- The following designated COIC Administrators:
- University compliance;
- Research compliance;
- Executive Vice President and Provost/Academic affairs;
- Procurement Services; and
- Additional units on recommendation of University compliance.
- COIC Administrators are responsible for:
- Reviewing disclosures that contain potential COIC;
- Coordinating additional review by department and planning unit authorities and other administrative units as appropriate;
- Determining whether a conflict exists under this policy or applicable law;
- Approving, restricting, managing, or prohibiting COIC; and
- Maintaining documentation in accordance with retention requirements.
- When required, a written management plan shall be developed and monitored according to procedures.
- If a conflict cannot be managed under applicable law or regulation, the University may require the employee to eliminate the conflict or refrain from participating in the relevant activity.
- University COIC review committee: In the event a conflict cannot be managed by the designated COIC Administrator, the matter will be reviewed by a university compliance committee comprised of representatives of relevant stakeholders, which may include but is not limited to legal affairs, university human resources, university compliance, the office of research compliance, and the individual's departmental leadership. The committee will be convened by university compliance. Decisions of the conflict review committee will be final.
- The following designated COIC Administrators:
Institutional Conflicts of Interest
As a public university in the state of Ohio, it is expected that all institutional decisions be made solely in the best interests of the university and the public it serves and be free from undue influence by financial, commercial, or other external interests. Ohio university will identify, disclose, and appropriately manage or eliminate institutional conflicts of interest that could compromise or reasonably appear to compromise the integrity, objectivity, or independence of its academic, research, clinical, or administrative activities. University trustees, officers, administrators, and employees acting in an official capacity are expected to uphold public trust and comply with Ohio Ethics Law and all other applicable federal and state requirements while maintaining a clear separation between the university’s fiduciary obligations and any personal, unit level, or external interests.
Training
All employees must complete all assigned conflicts of interest and commitment training in accordance with university procedures. The university may require additional role or activity-based ethics or COIC training for employees or university affiliates whose duties involve research and sponsored activities, procurement or contracting, regulatory or professional standards, licensure or certification obligations, supervisory authority, or other responsibilities that present elevated conflict risk.
Reporting Conflict of Interest or Commitment concerns
- Reporting through responsible offices: The university encourages reports of concerns about non-compliance with this policy through normal lines of communication, such as to a supervisor or to an office or individual whose responsibility it is to handle such reports as described in Section N, above.
- Anonymous reporting: The university offers an alternative method of reporting concerns about conflict of interest or commitment in any university operations. Concerns may be reported anonymously from any computer or mobile device through the university’s ethics reporting hotline.
Enforcement
- Expectations for Compliance: Employees must comply with this policy and its associated procedures. If noncompliance cannot be resolved through corrective measures, the University may take actions consistent with university policy and applicable law, which may include prohibiting reassignment, modification of duties, or other appropriate administrative or disciplinary steps.
- Noncompliance and Retrospective Reviews: If an employee fails to disclose an outside activity, interest, or commitment, COIC administrator or management fails to review or address a conflict of interest or commitment, or an employee fails to comply with a management plan, the university will conduct a retrospective review and take appropriate corrective action.
Document Retention, Public Records, and Confidentiality
Records related to disclosures, reviews, and management plans must be retained in accordance with the University’s records retention schedule and applicable sponsor requirements. Disclosures and related documentation will be kept confidential to the extent possible, in accordance with applicable law and university policy.