| Select this link to access the Conflict of Interest Disclosure form. UNIVERSITY POLICY ON CONFICT OF INTEREST PERTAINING TO SPONSORED PROJECTS 1/13/95 The teaching, research, and service mission of SIUE must be conducted in an objective manner, free from undue influence arising from private or other special interests. The purpose of this policy is to establish guidelines for recognizing, disclosing, and managing conflicts of interest. This policy sets forth procedures and guidelines that are to be followed in resolving actual and potential conflicts of interest and commitment pertaining to sponsored projects. This policy applies to all sponsored projects. The University and its employees often benefit from the employee's participation in both public and private outside activities. The University has no interest in setting forth detailed rules that may interfere with the employee's legitimate outside interests. Employees, in turn, must also ensure that their outside obligations, financial interests, and activities do not conflict or interfere with their commitment to the University. This obligation pertains to both full-time and part-time employees. - General Principles:
- Employees must arrange their external obligations and private financial interests so as not to impede or conflict with their duties and responsibilities to the University. (See the appendix for a discussion of examples of conflicts of interest and commitment.)
- All employees must notify the University of potential conflicts of interests, and employees may not maintain unacceptable conflicts of interests.
- No person employed by the University may have interests incompatible with the University.
- Definitions:
- Interests incompatible with the University means any commitment between an employee and external entity which:
- may restrict or impair the employee's ability to perform his/her activities at the university, or
- which results in the transfer or compromise of existing or potential University rights in intellectual property, or
- which utilizes University resources without prior written approval of the University.
- Unacceptable conflicts of interest include:
- diverting to outside entities grant/contract support the University might otherwise expect ;
- using University and other public resources, including assigned time and facilities, for private gain without proper compensation to or consent from the University;
- impeding the dissemination of research information; and,
- using a position of influence or authority to involve other employees or students of the University in non-University activities without the consent and supervision of the University.
- A conflict of interest encompasses any situation in which an employee of the University uses or is in a position to use his or her influence or authority within the University to advance his or her own personal or financial interest, or the personal or financial interests of his or her immediate family, or associated entity.
- A significant financial interest of an employee means:
- a 5 percent or more ownership interest in a business, but excluding any interest arising by reason of investment by a mutual fund, pension or other institutional investment fund that the employee does not exercise control, or
- a receipt of or the right to receive income from a business, whether in the form of a fee, salary, allowance, forbearance, interest in real or personal property, dividend, royalty from licensing, rent, or other form of compensation, or any combination that exceeds $5,000 in monetary value.
The following are excluded from the definition of significant financial interests: - honoraria from occasional lectures,
- isolated, non-recurring consulting activities that result in payments which do not exceed $5,000 from a single source during a calendar year and,
- receipt of University support or royalties for supervised sponsored activities.
- An "associated entity" of any employee means any trust, organization or enterprise other than the University over which the employee, alone or together with his or her family, exercises a controlling interest.
- "Business" means any corporation, partnership, sole proprietorship, firm, franchise, association, organization, holding company, joint stock company, receivership, business or real estate trust, or any other legal entity organized for profit or charitable purposes.
- "Executive position" refers to any position which includes responsibilities for a material segment of the operation or management of a Business, to include serving on its Board of Directors.
- The "family" of an employee includes his or her spouse, minor children, and other persons living in the same household related to the employee.
- Financial Disclosure:
All Employees submitting a grant or contract must file a Financial Disclosure form if they or members of their immediate family have a significant financial interest that would reasonably appear to be directly affected by the employee's proposed sponsored project. Employees submitting a grant or contract who do not have a significant financial interest must certify on the "Proposal Checklist, External Grant/Contract" form that no potential conflict of interest exists. Individuals who must file a Financial Disclosure form must submit the form along with the "Proposal Checklist, External Grant/Contract" form. Any conflicts of interest identified in the disclosure process must be resolved before the University can approve the individual's activity with an external entity. In addition, a Financial Disclosure form must be submitted immediately by the individual during the effective dates of the activity, if any change in circumstances may create a conflict of interest or commitment.
- Procedures:
- Employees file the Disclosure form with their department chair or unit head. The chair or unit head is responsible for providing a preliminary evaluation and for recommending appropriate action.
- The chair or unit head forwards the Disclosure to the school dean or director. Based upon the chair or unit head's recommendation, the dean or director certifies that no conflict exists, that sufficient controls are in place to manage identified conflicts, or that the activity constitutes an unacceptable conflict. The dean or director is responsible for implementing the necessary action to protect the University.
- The dean or director sends copies of all materials to the appropriate Vice Chancellor. The Vice Chancellor must approve the action of the dean or director prior to the individual's commencement of the activity.
- Disclosure forms must be filed prior to the individual's engagement in the activity. Disclosure forms must be updated at least annually as long as the individual is engaged in the activity. The individual must file an updated Disclosure form if any change in circumstances may create a conflict of interest or commitment whether real or apparent.
- In reviewing Disclosure forms, the dean or director or the Vice Chancellor may seek additional advice or may convene a special committee to review the Disclosure form. The dean, director, or Vice Chancellor may recommend changes in the procedures for managing the conflict or it may recommend that the activity cease.
- An actual or potential conflict or interest exists when the dean, director, or Vice Chancellor reasonably determines that the employee's private interests could affect the integrity of the activity or the interests of the University or as otherwise set forth in this Policy.
- Examples of conditions or restrictions that might be imposed to manage, reduce, or eliminate actual or potential conflicts of interest include, without limitation: a) public disclosure of the private interests; b) independent monitoring of the activity; c) modification of the activity; d) divestiture of the private interest, and/or; e) severance of the relationships creating the conflict.
- The Vice Chancellor must notify the Dean of the Graduate School of the action taken. The Dean of the Graduate School will act as the University's certifying official for reporting to federal agencies.
- If the employee is dissatisfied with the decision of the review, he or she may appeal to the Chancellor who will consult with the employee and the chair, dean/director, and Vice-Chancellor. The decision of the Chancellor shall be final.
- Reporting and Record Keeping
The University must maintain records for at least three years after the termination of the activity. The University must notify federal granting agencies if it is unable to satisfactorily manage actual or potential conflicts of interests if the activity involves federal funding. The Graduate School will report all such actions to the appropriate funding agency as required by federal regulations.
- Sanctions
Charges of violations of this policy shall be carefully examined. Charges shall be processed in the normal reporting channels. Sanctions may range from reprimands to dismissal. 
APPENDIX Definitions and Examples The University and its faculty often benefit from the faculty's participation in public and private outside activities. This policy has no intention of interfering with faculty members' legitimate outside interests. Activities that are clearly permissible include: - acceptance of royalties for published works and patents, or of honoraria for papers and lectures;
- payments as a consultant to an outside entity, provided that the time commitment does not exceed University policy and that the arrangement does not alter the faculty member's commitments to the University, and;
- service on boards and committees of outside entities that does not distract from the faculty member's obligation to the University.
The definitions and examples listed below are intended to aid the University's employees and appropriate review bodies in identifying conflicts of interest. Identifying conflict situations and documenting steps taken to manage these conflicts serves to protect the employee and the institution, as well as assures that the University will remain eligible for Governmental-sponsored research. While it is difficult to conclusively define distinct types of conflicts of interest, it is useful to divide conflicts into the following categories. 1. Conflicts of Interest A "conflict of interest" encompasses any situation in which an employee of the University uses, or is in a position to use, his or her influence and authority within the University to advance his or her own personal or financial interest, or the personal or financial interests of his or her immediate family. Examples of these types of conflicts may include, but are not limited to, the following: - Use for personal gain or unauthorized use of privileged information acquired in connection with the employee's sponsored activities.
- Negotiation or influence upon the negotiation of grants and contracts relating to the employee's sponsored agreement between the University and private organizations with which the employee has consulting or other significant relationships.
- Acceptance of gratuities or special favors from private organizations with which the University does or may conduct business.
- Extension of gratuities or special favors to employees of the sponsoring agency, under circumstances which might reasonably be interpreted as an attempt to influence the recipients in the conduct of their duties.
2. Conflicts of Commitment A "conflict of commitment" encompasses any situation in which outside activities undertaken by the individual are sufficiently demanding of the individual's time and attention as to interfere, or appear to interfere, with his or her obligations to the University. A conflict of commitment may also occur if the individual is concurrently conducting activities sponsored by a federal, state, or local public agency and a private corporation. Conflicts of commitment may arise between the individual and the University as a result of consulting agreements, grants and contracts with outside agencies, and individual or family involvement in private financial interests. Under Illinois law, all full-time faculty of the University are required to obtain the prior written approval of the Chancellor of the University, or the Chancellor's designee, before undertaking, contracting for, or accepting anything of value in return for research or consulting services from any external person or organization. Further, the law requires retrospective reporting, through the filing of an annual statement by the employee, indicating the amount of actual time spent on such outside research or consulting services. There are two principles that broadly govern conflict of commitment; - As an employee of the University, the individual's commitment and obligation to the University must have priority over the commitments to outside interests.
- University resources may not be used either for personal gain, private, gain, or in support of outside agencies, without proper approval of the University.
Examples of such conflicts may include: - Commitment of Time: Ordinarily, University employees are given the opportunity to pursue outside interests that are consistent with the mission of the University. However, if the time commitment to these activities becomes excessive, the educational mission of the University will suffer.
- Commitment of Resources: Individuals who are engaged in non-University activities may not use University resources without prior approval of the University. Such resources include the use of University research labs or instrumentation, use of computer facilities, or the use of classrooms or other facilities. These facilities may be used in outside activities with the University's permission if the external or private entity agrees to provide suitable compensation to the University.
- Commitment of Other Individuals: In general, individuals may not involve graduate or undergraduate students in outside activities unless it can be demonstrated that participation in these activities affords a substantial educational benefit for the student. Cases involving use of students must be closely monitored by the academic unit, and not by the individual researcher.
- Intellectual Properties: No University employee may cede or transfer rights to patents, licenses, or copyrights of research results to any external agency. Patents, copyrights, or other proprietary rights must be shared by the University in accordance with arrangements set forth in the research or consulting contract and pursuant to the University's Policy Governing Research Involving Patents and Copyrights.
- Other Considerations: The individual as well as outside entities may not use the University's name without prior University approval.
Conflicts of Commitment may also arise if the employee is simultaneously engaged in publicly and privately sponsored activities. In this case, it is the responsibility of the university to insure that public funds designated for the activity are not channeled to private individuals or organizations, and that results from publicly financed activities are appropriately disseminated. Examples of these types of conflict may include, but are not limited to, the following: - Unnecessarily delaying or withholding from publication results of publicly supported activities, while making the results available exclusively to a private organization.
- Using public funds to conduct activities for private individuals or organizations.
- Redirecting a sponsored project to serve the research or other needs of a private firm without disclosure to the University and to the sponsoring agency.
- Purchase of major equipment, instruments, materials, or other items for the University from the private firm in which the investigator serves, without the disclosure of such interest.
- Consulting or holding grants or contracts with two or more private corporations without informing the other parties of concurrent commitments.
* * * * * * * * CONFLICT OF INTEREST POLICY DISCLOSURE Name:_____________________________ Department/Unit:_________________ Title and Rank:______________________________ Campus Address:____________________________ Campus Telephone:_______ CONFLICT OF INTEREST POLICY: The University is committed to ensuring its employees an open and productive environment in which to conduct teaching, research and service. Conflicts of interest, in the most conventional sense, arise because employees may have the opportunity to influence the University's business decisions in ways productive of personal gain. Additionally, an employee's more general commitment to the University requires that the member perform the duties conventionally associated with the member's position. It is the policy of SIUE that: - its employees have an obligation to avoid unacceptable ethical, legal, financial or other conflicts of interest and to ensure that their activities and interest do not materially conflict with their obligations to the University or its welfare;
- any employee engaging in an outside activity or possessing a personal interest that could lead to conflict of interest must inform the University of that possibility by consulting with that individual's Dean or Director; and
- relationships between employees and outside entities must not impede the open communication of research results.
IMPLEMENTATION OF THE POLICY: SIUE is committed to the implementation of the Conflict of Interest Policy by providing for: 1. Disclosure of all relationships that may result in conflicts by persons subject to the policy; 2. Readily available counsel and advice regarding all conflicts; and, 3. Fair and equitable application of the Policy to all employees to whom the Policy applies. The requested disclosure attempts to balance the University's needs for information with the individual's reasonable expectation of privacy in his or her personal affairs. 1) I have a consulting relationship (Includes situations in which income is transferred to members of your Family. No information is required for honoraria from an occasional lecture or from isolated, non-recurring consulting activities that results in payments which do not exceed $5,000 from a single source during any calendar year.), Executive Position or a significant (An ownership interest in which you and/or any member of your Family or an Associated Entity owns shares or which represents an ownership interest.)
Financial Interest in (check all applicable): a)_____ A Business which markets, produces, or has in pre-market testing a commercial product or product line that my work would either evaluate or further develop.
b)_____ A Business that does business with the University and which business I am in a position to influence.
c)_____ A sponsor of my research.
d)_____ None of the above. (if you check any of (a)-(c), describe below.) * * * * 2) I do__/__do not have any financial or fiduciary interest, relationships, commitments, or activities, including uncompensated activities, that present a potential conflict of interest or commitment that should be evaluated within the context of the University's Conflict of Interest Policy. (If you check "do", please describe below.) * * 3) I do__/__do not have non-university professional or income-producing activities involving other University students or staff. (If you check "do", please describe below.) * * 4) Are there any other related matters of which you wish to make the University aware? No___ Yes___ (Please explain.) *
* ******************************************************************** I hereby acknowledge that I have read and understand the Conflict of Interest Policy and that the aforementioned facts and situations indicate a potential for conflict of interest with regard to my position at SIUE. If none, this is indicated in the spaces provided. Signed this _____ day of ___________________, 19__ Signature___________________________________ TERMS & DEFINITIONS An Associated Entity of a faculty member means any trust, organization or enterprise other than the University over which the faculty member, alone or together with his or her Family, exercises a controlling interest. Business means any corporation, partnership, sole proprietorship, firm, franchise, association, organization, holding company, joint stock company, receivership, business or real estate trust, or any other legal entity organized for profit or charitable purposes. Executive Position refers to any position which includes responsibilities for a material segment of the operation or management of a Business, to include serving on its Board of Directors. The Family of an employee includes his or her spouse, minor children, and other persons living in the same household related to the employee. A Financial Interest is an interest in a Business consisting of: (1) any stock, stock option or similar ownership interest in such Business, but excluding any interest arising solely by reason of investment in such Business by a mutual, pension, or other institutional investment fund over which the faculty or staff member does not exercise control; or (2) receipt of, or the right or expectation to receive, any income from such Business, whether in the form of a fee (e.g., consulting), salary, allowance, forbearance, forgiveness, interest in real or personal property, dividend, royalty derived from the licensing of Technology, rent, capital gain, real or personal property, or any other form of compensation, or any combination thereof. Receipt of University supervised sponsored activities support or royalties under institutional royalty-sharing policies does not constitute, for the purpose of this policy, a financial interest. ***************************************************************** * * * * * * * * * * CONFLICT OF INTEREST - ACTION PLAN Ref: Name:__________________________________ Department:____________________________ Disclosure Statement Dated:____________ Activity (grant/contract: consulting, etc.) _______________________________________ Department/Unit Recommendation: ____ No real or apparent Conflict of Interest or Commitment exists ____ Unacceptable Conflicts of Interest or Commitment exists ____ Conflict of Interest or Commitment exists and I recommend the following controls (attach additional pages if necessary) Department/Unit Head: Name:__________________________________ Signature:_____________________________ Date:___________ Dean/Director Approval: ____ I concur with the department/unit recommendation ____ I recommend the following additional controls be implemented: __________________________________________________________________ Dean/Director: Name:__________________________________ Signature:_____________________________ Date:___________ Vice-President Action: Name:__________________________________ Signature:_____________________________ Date:___________ |
