Click here for the Conflict of Interest Certification
Form
In recent years, the issue of conflict of interest (COI)
has become increasingly important. University faculty
and staff members have taken on new and different functions
in addition to the traditional roles of teaching, research,
and public service. Spin-off companies transferring technology
developed in the laboratory, extensive consultative activities,
and various types of public service involvement are encouraged
by both federal and state agencies and by the university
as necessary for the public good. Governmental agencies,
becoming more concerned about the extent and type of these
activities as they relate to funded and proposed research
and scholarly activities of faculty and staff, have issued
regulations that require universities to develop, publish,
and enforce institutional policies that comply with certain
federal mandates. Key in these policies is the requirement
for regular, timely, and full disclosure of actual or
potential conflicts of interests as they relate to significant
financial interests that could reasonably be seen by an
impartial observer as affecting the design, conduct, or
reporting of research or educational activities funded
or proposed for funding by an external sponsor.
This policy as written defines the general procedures
regarding conflicts of interest and the University’s
responsibility in accordance with federal regulations.
This policy is not meant to address the improper use
of office as defined in the Mississippi Ethics in
Government Law.
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Conflict of interest means any outside activity, commitment,
or interest that may adversely affect, compromise, or
be incompatible with the obligations of an employee to
the University or to widely recognized professional norms.
Conflict of interest refers to situations in which financial
or other personal considerations may compromise, or have
the appearance of compromising, an employee's professional
judgment in exercising any University duty or responsibility.
An investigator is any person at the University who is
responsible for the design, conduct, or reporting of
research, educational activities, or service activities
funded, or proposed for funding, by any external sponsor.
This policy includes anyone who is directly connected
to the above functions related to the activity or whose
work is supported in whole or in part by the grant, cooperative
agreement, or contract from the external sponsor, e.g.,
principal investigator, co-investigator, postdoctoral
fellow, student, technician, clerical employee.
Immediate family means the Investigator's spouse and
dependent children as defined by the Internal Revenue
Code.
An external sponsor is any agency outside the University
who is providing financial support for any research,
educational, or service activity to be conducted by the
University. Both governmental and nongovernmental sponsors
are included in this definition.
An associated entity is any trust, organization, or enterprise
other than the University over which the investigator,
or any member of the investigator’s immediate family,
exercises a controlling interest.
The Conflict of Interest Review Committee (CIRC) is a
committee appointed by the Vice President for Research
and Economic Development to review a disclosure when
a potential or actual conflict of interest has been identified
by
the
Director
of Sponsored Programs Administration (SPA). The
CIRC shall be charged with the responsibility of determining
if an actual or a potential conflict of interest exists
and recommending to the Vice President for Research and
Economic Development ways to manage, reduce, or eliminate
the conflict.
The Committee
shall be convened by the Vice President for Research
and Economic Development and shall include the Chair
or Director of the unit in which the investigator is
budgeted,
the
University Counsel,
the Associate Vice President for Research and Technology
Transfer, one member of the University Research Council,
one faculty
member,
and other members as deemed necessary and appropriate
by the Vice President. The Associate Vice President
for Research and Technology Transfer shall chair the
CIRC.
Significant financial interest means anything of monetary
value, including but not limited to salary and other
payments for services (e.g., consulting fees or honoraria);
equity interests (e.g., stock, stock options, or other
ownership interests); and intellectual property rights
(e.g., patents, copyrights, and royalties from such rights).
- Salary, royalties, or other remuneration from the University;
- Any ownership rights held by the University, if the University is an applicant
or subcontractor under the Small Business Innovation Research (SBIR) Program
or the Small Business Technology Transfer (STTR) Program;
- Income from seminars, lectures, or teaching engagements sponsored by public
or nonprofit entities;
- Income from service on advisory committees or review panels for public or
nonprofit entities;
- An equity interest that when aggregated for the investigator and the investigator's
spouse and dependent children meets both of the following tests:
- Does not exceed $10,000 in value as determined through reference to public
prices, or other reasonable measures of fair market value, and
- Does not represent more than a five percent ownership interest in any single
entity;
- Salary, royalties, or other payments, when aggregated for the investigator
and the investigator's spouse and dependent children over the next 12 months,
are not expected to exceed $10,000.
To the extent permitted by law, disclosure packets submitted
to Sponsored Programs Administration and
marked "Confidential" shall be maintained in
a locked cabinet accessible only to the Director or his/her
designee and shall be made available to others on a "need
to know" basis as required to carry out this policy.
A Memorandum of Understanding (MOU) is a document developed
and agreed to by the CIRC and the Investigator(s) and
approved by the Vice President for Research that constitutes
a plan for the resolution of a potential or actual conflict
of interest. This may also be referred to as the Conflict
of Interest Resolution Plan.
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A conflict of interest may take various forms but exists
when there is a divergence between an individual's private
interests and his or her professional obligations to
the University such that an independent observer might
reasonably question whether the individual's professional
actions or decisions might be influenced by considerations
of gain, financial or otherwise, for the individual or
his or her family members or for other parties. A conflict
of interest depends on the situation, not on the character
or the actions of the individual.
Conflicts of interest are common and practically unavoidable
in a modern research university. Conflicts of interest
can arise out of the fact that a mission of the University
is to promote public good by fostering the transfer of
knowledge gained through University research and scholarship
to the private sector. Two important means of accomplishing
this mission include consulting and the commercialization
of technologies derived from University activities. It
is appropriate that individuals be rewarded for their
participation in these activities through consulting
fees, sharing in royalties resulting from the commercialization
of their work, ownership and/or other associations with
spin-off companies. It is wrong, however, for an individual's
actions or decisions, made in the course of his or her
University activities, to be determined by considerations
of personal financial gain. Such behavior calls into
question the professional objectivity and ethics of the
individual and reflects negatively on both the institution
and the sponsor of the activity.
Investigators are expected to conduct their affairs so
as to avoid or minimize conflicts of interest, and they
must respond appropriately when apparent conflicts of
interest arise. To that end, the purposes of this policy
are to educate individuals about situations that generate
conflicts of interest; to provide means for individuals
and the University to manage, reduce, or eliminate actual
or potential conflicts of interest; and to describe situations
that are prohibited. Every employee has an obligation
to become familiar with, and abide by, the provisions
of this policy. If a situation arises that raises questions
of conflict of interest, employees are urged to discuss
the situation with their Department Chair, College Dean,
Director of Sponsored Programs Administration
or the Vice President for Research.
Prior to the University entering into any of the arrangements
listed below, the involved investigator(s) must have
submitted to the University through the channels described
in this document a complete certification and disclosure.
This disclosure must include:
- his or her current or pending relationship with the outside enterprise
or entity in which the Investigator has a significant financial interest,
- any current or pending relationship or significant financial interest of his/her
immediate family that exists with the outside enterprise or entity,
- the relationship of the proposed University activity to the enterprise or
entity, and
- the means by which the Investigator proposes to address actual or potential
conflicts of interest that arise from his/her dual University and enterprise
or entity roles or that of an immediate family member.
- Projects where any of the involved Investigators or their immediate family
members have employment or consulting arrangements or significant financial
interests in an enterprise or entity whose interests might be affected by the
outcome of
the proposed project;
- Projects in which any of the involved Investigators or their immediate
family members have employment or consulting arrangements or significant
financial interests in the proposed sponsor, subcontractor, vendor, or collaborator
with
the proposed project;
- Gifts, including cash or property, which will be under the control or
will directly support the teaching or research activities of an Investigator
from an enterprise or entity in which that employee or immediate family members
have an employment or consulting arrangement or significant financial interest;
- University technology licensing arrangements with an enterprise or entity
for which the Investigator or immediate family members have employment or
consulting arrangements or significant financial interests.
Common sense must prevail in the interpretation of these
provisions. That is, if a reasonable, disinterested person
would question the relationship, it must be disclosed
and approval sought for the proposed arrangement.
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As part of The University of Southern Mississippi's proposal
submission process, Investigators must certify on the
Conflict of Interest Certification Form (Attachment A)
to their knowledge of and compliance with the financial
disclosure policy of the University as outlined herein
and respond to the questions. The questions on the form
are intended to be inclusive of members of the Investigator’s
immediate family. If the Investigator responds in the
affirmative to any of the questions on the Conflict of
Interest Certification Form, he/she shall complete a
full, narrative disclosure with all supporting documentation
that identifies the business enterprise or entity involved
and the nature and amount of the interest and submit
it with the Conflict of Interest Certification Form to
the Director of Sponsored Programs Administration in a sealed envelope marked Confidential Disclosure.
Accompanying the disclosure shall be a proposed Conflict
of Interest Resolution Plan (CIRP) developed by the Investigator.
The CIRP should detail the proposed steps that would
be taken to manage, reduce, or eliminate any actual or
potential conflict of interest. Investigators must also
disclose in writing to the Director of Sponsored Programs Administration on an ad hoc basis new
situations in which significant financial interests are
obtained and which may raise questions of conflict of
interest in regard to proposals submitted or funded projects
as soon as such situations arise.
The Director of Sponsored Programs Administration will conduct an initial review of the financial
disclosure to determine whether there may be a potential
conflict of interest. If the initial determination is
made that there may be a potential or actual conflict
of interest, the disclosure packet shall be forwarded
to the Vice President for Research for action.
The Vice President will review the financial disclosure
and appoint a CIRC to review the disclosure and recommend
action(s) or restrictions that might be imposed to manage,
reduce, or eliminate actual or potential conflicts of
interest. Such actions or restrictions may include but
are not limited to:
- public disclosure of significant financial interests;
- monitoring of research by independent reviewers;
- modification of the research plan;
- disqualification from participation in that portion of the research that
would be affected by the significant financial interests;
- divestiture of the significant financial interests; or
- severance of relationships that create actual or potential conflicts.
If the CIRC determines that imposing conditions or restrictions
would be either ineffective or inequitable, and that
the potential negative impacts that may arise from a
significant financial interest are outweighed by interests
of scientific progress, technology transfer, or the public
health and welfare, then it may recommend to the Vice
President for Research that, to the extent permitted
by federal regulations, the research go forward without
imposing such conditions or restrictions.
Upon completion of its review, the CIRC shall present
its findings and recommendations regarding the resolution
plan in writing to the Vice President for Research and
Planning. After final review by the Vice President for
Research, the Vice President shall notify in writing
the Investigator and the Director of Sponsored Programs Administration of his/her final decision regarding
the matter. A Memorandum of Understanding detailing the
Resolution Plan shall be signed by the Investigator,
the Department Chair/Director of the involved unit, and
the Vice President. Actual or potential conflicts of
interest will be satisfactorily managed, reduced, or
eliminated in accordance with this policy prior to accepting
any award, or they will be disclosed to the sponsoring
agency for action.
If the Investigator disagrees with the resolution plan
approved by the Vice President, he/she may appeal to
the President of the University. Such appeal must be
in writing and must be presented to the President within
five (5) working days of receipt of the decision from
the Vice President.
Records of all financial disclosures and of all actions
taken to resolve actual or potential conflicts of interest
will be maintained by Sponsored Programs Administration until at least three years beyond the termination
or completion of the sponsored project award to which
they relate, or the resolution of any government action
involving those records, whichever is longer. All actions
will be reported by the Vice President as required by
the funding agency.
Failure of any Investigator to comply with this policy
shall constitute grounds for disciplinary action as outlined
in the University's policy on Ethics in Research, Scholarly,
and Creative Activities.
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- The University Internal Approval Form and the accompanying Conflict of
Interest Certification Form, which includes conflict of interest certification
statements,
must be completed and processed with the proposal using normal University
procedures.
- Key personnel and the principal investigator(s) will be required to sign the
Conflict of Interest Certification Form containing the COI statements certifying
that the information is true to the best of their knowledge and agree to abide
by University policies and procedures.
- An answer of "YES" to any of the conflict of interest statements
requires a disclosure form and a proposed resolution plan to be submitted to
the Director of Sponsored Programs Administration and marked "Confidential
Disclosure" at the time the Internal Approval Form and proposal are
processed by Sponsored Programs Administration.
Therefore, the disclosure is made prior to the time a proposal is submitted to
an agency.
- Where a conflict of interest is found to exist and a resolution plan is imposed,
a memorandum of understanding detailing the conditions under which the project
is to be carried out will be executed and signed by the Investigator, the Chair/Director
of the unit, and the Vice President for Research.
- Projects that require some of the work to be performed by collaborators or
subcontractors must contain one of the following:
- a letter assuring the University that there is a policy in place at their
institution and that their employees will comply with its regulations or
- a letter certifying that employees from their institution will comply with
The University of Southern Mississippi's Conflict of Interest Policy.
- Upon receipt of an award document but prior to expenditure of any funds,
all individuals employed by the funded project must complete a Conflict of
Interest
Certification Form. These forms may be obtained through SPA.
- All financial certifications and disclosures must be updated during the period
of the award as new, reportable, significant financial interests are obtained.
- If a potential conflict of interest is determined to exist for an individual
to be employed on a sponsored project by the Director of Sponsored Programs Administration, the Vice President for Research shall reconvene a CIRC
prior to the expenditure of funds under the award. The CIRC shall recommend to
the Vice President for Research how to manage, reduce, or eliminate conflicting
interests arising from disclosed significant financial interests.
- A memorandum of understanding between the University and the employee will
detail the conditions or restrictions imposed upon the employee in the conduct
of the project. This memorandum of understanding will be signed by the employee,
the Chair/Director of the unit, and, on behalf of the University, the Vice President
for Research.
- Actual or potential conflicts of interest will be satisfactorily managed,
reduced, or eliminated in accordance with University policy and procedures, and
all required reports regarding the conflict of interest will be submitted to
the funding agency prior to the expenditure of funds under an award.
- Appeals of decisions made by the Vice President for Research may be presented
to the President. The appeal must be made prior to the expenditure of funds under
the award.
- Records of employee financial disclosures and of actions taken to manage actual
or potential conflicts of interests shall be retained by Sponsored Programs Administration.
- Whenever an employee has violated this policy or the terms of the memorandum
of understanding, the Vice President for Research shall recommend sanctions,
which may include disciplinary action as outlined in the University's policy
on Ethics in Research, Scholarly, and Creative Activities. In addition, the Vice
President for Research will follow federal regulations regarding the notification
of the funding agency in the event an employee has failed to comply with this
policy. The funding agency may take its own action as it deems appropriate.
This policy as written defines the general procedures
regarding conflicts of interest and the University's
responsibility in accordance with federal regulations
as published in 60 Federal Register 35810, July 11, 1995,
and 60 Federal Register 39076, July 31, 1995. Modifications
may be required as other federal funding agencies adopt
conflict of interest regulations.
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Click here to use the National Institutes of Health tutorial on conflict of interest.
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