Draft of Policy 49.001: Conflict of Interest and Conflict of Commitment

1. Reason for Policy 

   The purpose of this policy is to establish a university framework, standards, and expectations for identifying, disclosing, reviewing, and managing conflicts of interest and conflicts of commitment. This policy supports compliance with Ohio Ethics Law, applicable federal law, and other relevant state regulations. Standard operating procedures supporting this policy are maintained by responsible administrative units.

2. 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 applies to internal or outside activities or relationships that have the potential to create a conflict of interest or conflict of commitment with an employee’s job duties and responsibilities, consistent with applicable state or federal law or university policy.

   This policy is intended to address situations in which an employee’s external interests or activities intersect with university responsibilities in ways that could create a conflict of interest or conflict of commitment. Routine professional, scholarly, civic, or personal activities that do not affect university responsibilities typically fall outside the scope of this policy unless they  create a circumstance that could reasonably give rise to a conflict.

   This policy establishes the university’s enterprise framework for conflicts and supersedes any University policy, procedure, or guidance that is inconsistent with its provisions. 

3. Compliance with Ohio Revised Code 102.09

   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. 

4. 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.

5. Definitions

   The following definitions are provided to support consistent interpretation of this policy. The presence of a circumstance described in these definitions does not automatically constitute a conflict of interest or conflict of commitment. Determinations are made based on the specific facts of a situation, including the employee’s university responsibilities, the nature of the external activity or interest, and whether the situation could materially affect the employee’s ability to perform assigned duties or make impartial decisions on behalf of the university.

   1. Conflict of interest:
      1. External interests: A conflict of interest exists when an employee’s personal, financial, familial, or other external interests could influence, or reasonably appear to influence, the performance of the employee’s university responsibilities or decision-making on behalf of the university. A conflict of interest may arise when an employee or a related party has an interest in an external organization or activity that does business with, seeks to do business with, or is otherwise affected by decisions made in the employee’s university role.
      2. Internal interests: Conflicts may also arise from certain internal relationships or institutional roles when personal, financial, or professional interests could affect, or reasonably appear to affect, an employee’s judgment in carrying out university responsibilities.
   2. Conflict of commitment:
      1. External activities: A situation where an employee’s outside activities, whether compensated or uncompensated, interfere with the employee’s ability to fulfill assigned university duties or responsibilities.
      2. Internal interests: Conflicts may also arise from certain internal relationships or institutional roles when personal, financial, or professional interests could affect, or reasonably appear to affect, an employee’s judgment in carrying out university responsibilities.
   3. Actual, perceived, or apparent conflicts:
      1. An actual conflict of interest exists when personal, financial, or other interests directly interfere with or influence an employee’s ability to perform university responsibilities objectively. 
      2. A potential conflict of interest exists when a personal or financial interest could reasonably develop into an actual conflict under certain circumstances.
      3. An apparent conflict of interest exists when a situation could reasonably appear to others to compromise an employee's judgment or impartiality, even if no improper action occurs. 
      4. Outside activity: Any activity, paid or unpaid, that is related to or arises from an employee’s professional expertise or university responsibilities and is performed outside the scope of assigned university duties. Examples include but are not limited to consulting, advising, research conducted outside the university, roles on boards or with external organizations, financial interests, gifts, foreign affiliations, and participation in or support of sponsored travel, including foreign talent recruitment programs. Outside activities may be compensated or uncompensated. Routine professional service and activities within assigned duties or customary academic responsibilities are not typically considered outside activities.
      5. Public contract: as described in Revised Code 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.
      6. Gift: For purposes of this policy, gifts are considered a form of “anything of value” under Ohio Ethics Law and are subject to restrictions where they could create a substantial and improper influence on an employee’s official duties. The permissibility of a gift depends on both its value and the source from which it is received. 
      7. 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. 
      8. 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.

      9. COIC administrator: A university office designated under Section H of this policy to review disclosures, determine whether a conflict of interest or conflict of commitment exists, coordinate additional review when necessary, and manage or resolve such conflicts within its area of operational responsibility in accordance with this policy and applicable procedures.

         The following definitions pertain to research and sponsored activities in section I, below. 

      10. Sponsored activities: research, creative activity, and other programs funded by agencies of the federal, state or local governments, or by private for-profit or non-profit entities.
      11. 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.
      12. Financial interest: anything of monetary value, whether or not the value is readily ascertainable.
      13. Significant financialinterest: any financial interest defined under applicable federal regulations governing research financial conflicts, including income, equity, or intellectual property interests meeting federally established thresholds
      14. 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.

6. Policy Expectations

   This section describes the expectations for identifying and addressing any potential, actual, or apparent conflicts of interest and/or conflicts of commitment (“COIC”).

   Expectations:

   1. Disclosure Does Not imply misconduct: 

      Disclosure, review, and management of COIC described in this policy are routine administrative processes intended to promote transparency and compliance with applicable law and university policy. Disclosing a potential conflict of interest or conflict of commitment related to one’s employment does not imply wrongdoing.

   2. Avoiding conflicts of interest
      Employees must avoid situations in which personal, financial, family, or business interests interfere with the performance of university duties or responsibilities. 

   3. Avoiding conflicts of commitment

      Employees must not allow outside activities to interfere with an employee’s fulfillment of university duties or responsibilities.

   4. Managing or resolving conflicts
      Employees are expected to cooperate with university review processes and to take appropriate steps to manage or resolve actual, potential, or apparent COIC. This may include modifying an outside activity, recusal from certain decisions or actions, implementing a management plan, limiting involvement in specific university matters, or discontinuing an activity, when necessary, as determined through university procedures.

   5. Noncompliance

      Failure to disclose an outside activity, interest, or commitment as required by this policy; failure to cooperate in the review or development of a conflict management plan; or failure to comply with an established management plan may result in appropriate administrative and/or disciplinary action in accordance with applicable university policies, procedures, and applicable law.

7. Annual disclosure of outside activities and financial interests

   1. What must be disclosed:
      1. Employees must disclose outside activities, financial interests, or relationships, including financial, family, or fiduciary relationships with external entities that do business with or seek to do business with the university, when such activities or relationships may create, or reasonably appear to create, a conflict of interest or conflict of commitment with the employee’s university. 
      2. Employees are not required to disclose outside activities that do not relate to their university responsibilities and do not create a conflict of interest or conflict of commitment. responsibilities.
      3. Employees must disclose outside consulting, employment, fiduciary roles, or financial interests involving organizations that do business with, seek to do business with sponsored research, or otherwise have financial relationships with the university.
      4. Employees must disclose outside employment or professional activities that are substantially similar to, or closely related to, their university responsibilities, including teaching, consulting, or professional services for another institution or organization.
   2. When disclosure is required: Disclosures must be submitted:
      1. Upon hire; 
      2. Annually; and 
      3. Updated within 30 days of discovering, beginning, or acquiring a new outside activity or becoming aware of a new or potential conflict of interest or commitment. 
   3. Prior written approval: Employees must obtain written approval before beginning outside activities that may create a conflict of interest or conflict of commitment.
   4. Sponsored research/creative activities: Individuals engaged in sponsored research or creative activities have additional financial disclosure requirements as described in Section I.
   5. 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 as described in section K.
   6. 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 L and M, below.

8. Administrative review of Ohio ethics law, conflicts of interest and commitment

   The university’s COIC program is administered through a coordinated institutional process. University compliance administers the institutional disclosure framework and coordinates the COIC program. Designated COIC administrators review disclosures and manage potential conflicts within their respective operational areas in accordance with this policy and applicable procedures.

   1. COIC Administrators

      The following offices are designated COIC administrators

      1. University compliance;
      2. Research compliance;
      3. Executive vice president and provost / academic affairs;
      4. Procurement services; and
      5. Additional units on recommendation of university compliance.

   2. Responsibilities of COIC administrators

      COIC administrators are responsible for:

      1. Reviewing disclosures that contain potential COIC within their area of responsibility;
      2. Requesting information from the employee when necessary to evaluate a disclosure;
      3. Requesting input from supervisors, department chairs, planning unit leadership, or other administrative units when additional information or operational oversight is necessary; 
      4. Maintaining documentation in accordance with applicable records retention requirements; and
      5. Determining whether a conflict of interest or conflict of commitment exists under this policy. When appropriate, COIC administrators will consult with university compliance, legal affairs, or other administrative offices. If a conflict is identified, the COIC administrator may take appropriate action, including but not limited to:
         1. Approve the activity as disclosed;
            Require modification of the activity or other measures to manage or resolve the conflict
         2. Develop a management plan with the employee, relevant department or planning unit leadership, and in consultation with university compliance and legal affairs.

   3. University COIC review committee

      If a conflict cannot be managed by the designated COIC administrator, the matter will be referred to the university COIC review committee. The committee will be convened by university compliance and will include representatives from relevant administrative offices, which may include legal affairs, university human resources, university compliance, the office of research compliance, and the individual’s department or planning unit leadership. Decisions of the university COIC review committee are final.

   4. Advisory opinions from the Ohio ethics commission

      Questions regarding the application of Ohio ethics law may be referred to the Ohio ethics commission. If the matter remains unresolved, an employee or the university may request an advisory opinion from the Ohio ethics commission in accordance with applicable law. The university will follow any advisory opinion issued by the Ohio ethics commission regarding the application of Ohio ethics law.

9. Sponsored research and creatitve activity 

   1. The office of the vice president for research and creative activity ("VPRCA") will develop research-based conflict of interest disclosure procedures and forms necessary for the administration, review, and management of research-based conflict of interest.
   2. 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 G, above, and when participating as key personnel in an externally sponsored project, will submit a research-based financial conflict of interest disclosure at the time of award as further described below.
   3. Disclosures must include all significant financial interests including any reimbursed or sponsored travel related to institutional responsibilities, (except travel excluded by applicable sponsor policy and university guidelines) conflict of commitment, and conflict related to research with human subjects, if relevant.
   4. Within 30 days of acquiring or discovering a new research-based financial, commitment or other interest, the research-based conflict of interest disclosure must be updated.
   5. A research COI committee appointed by the VPRCA and convened by the research COIC administrator, will be responsible for the review and approval of research-based conflict of interest disclosures and the development and enforcement of the research-based conflict of interest management plans. The research COI committee will collaborate with deans, chairs/directors as needed to ensure appropriate review and resolution.
   6. 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.
   7. 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.

10. Foreign affiliations and international engagements 

    1. 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.
    2. Employees engaged in externally sponsored research shall comply with all federal requirements governing foreign affiliations, foreign support, and foreign talent recruitment programs.
    3. Employees are prohibited from participating in malign foreign talent recruitment programs as defined by federal law, regulation, or sponsor guidance.

11. Purchasing and public contracts

    1. 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.
    2. Employees involved in purchasing, contracting, sourcing, or vendor selection must conduct these activities impartially and in the best interests of the university and the public it serves. 
    3. Employees may not promote, recommend, or otherwise advocate for vendors in which the employee, a family member, or business associate holds a financial or ownership interest unless the interest has been disclosed and appropriately managed in accordance with this policy and applicable law.
    4. Employees must not participate in or influence university decisions involving a vendor or transaction in which they, a family or household member, or a business associate have a financial or ownership interest, unless the interest has been disclosed and appropriately managed in accordance with this policy and applicable law.
    5. Employees may not solicit or accept anything of value that could influence, or reasonably appear to influence, their judgment in procurement activities.
    6. Employees engaged in procurement-related activities must comply with applicable procedures and requirements established under policy 55.030: purchasing.

12. Intellectual property

    1. The office of the vice president for research and creative activity will develop and maintain procedures and necessary forms for the review, management, and administration of intellectual property
    2. 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.

13. Participation in commercialization activities 

    1. The office of the vice president for research and creative activity will develop and maintain procedures and necessary forms for the review, management, and administration of commercialization activities.
    2. 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.
    3. 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.

14. 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.  

15. Use of university resources

    1. Employees may not use university facilities, equipment, personnel, intellectual property, confidential information, brand identifiers, or other resources for any outside activity unless expressly authorized 
    2. by university policy, contract, or written approval. Employees must not use university email systems, laboratories or other facilities, supplies, equipment, students, or staff to support outside employment or personal business interests.
    3. Activities conducted as part of authorized research, sponsored programs, educational partnerships, or other university-approved collaborations typically fall outside the scope of this restriction when conducted in accordance with applicable university policies.

16. Institutional conflict of interest 

    As a public university, Ohio university must ensure that institutional decisions are made in the best interests of the university and the public it serves and are free from undue influence by financial, commercial, or other external interests. The university, including its trustees and senior leadership when acting in their official capacities, 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 other institutional activities.

17. Training

    All employees must complete all assigned conflicts of interest and commitment training. The university may require additional role or activity-based ethics or conflict of interest or commitment 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.

18. Reporting conflict of interest or commitment concerns

    1. 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 H, above.
    2. 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 https://secure.ethicspoint.com/domain/media/en/gui/13086/index.html .

19. Document Retention, Public Records, and Confidentiality

    Records related to disclosures, reviews, and management plans must be retained in accordance with the university’s 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.

Forms, References, and History

1. Forms

   The following forms are specific to this policy:

   1. The Financial Disclosure Screening Statement is available from the Office of Research Compliance, or the Office of Research and Sponsored Programs, or online at https://www.ohio.edu/research/compliance/Conflict-Forms.
   2. Procedures and forms related to Policy 55.030 – Purchasing

2. References

   The following items are relevant to this policy:

   1. Research Conflict of Interest Disclosure Guidelines are available online, linked through https://www.ohio.edu/research/compliance/.
   2. 42 CFR 50.603, 42 CFR 50.604, and 42 CFR 50.605 are online, linked from Title 42, Chapter V, Subchapter D, Part 50, Subpart F.
   3. Anonymous concern reporting: EthicsPoint Hotline.