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Outside Activities and Conflict of Interest and Commitment Policy

Outside Activities and Conflict of Interest and Commitment Policy

Purpose

This policy is intended to provide expectations and requirements for Employees conducting Outside Activities, as well as establishing the necessary processes for transparency and accountability through the identification, disclosure, approval, and, when possible, management of Conflicts of Interest and Conflicts of Commitment, in order to help the University and its Employees comply with applicable laws and regulations.

Scope

All University Employees, as defined below.

Policy History

I.  Effective Date: September 11, 2024

II.  Approval: September 18, 2024

III.  Policy History:  

  • While first approved on June 20, 2024, this policy combined and therefore replaced the following policies upon its Effective Date: 
    • Conflict of Interest Policy (first approved May 15, 1998)
    • Conflict of Interest & Commitment Policy for Sponsored Research Programs (first approved June 12, 1995)
    • Faculty Outside Employment and Additional Services (first approved May 7, 2013)*
    • Financial Conflict of Interest Policy for all Public Health Service Sponsored Researchers (first approved August 24, 2012)
    • Staff Outside Employment and Additional University Services (first approved December 10, 2003)
  • Approved as amended: September 18, 2024

*This is separate from Senate DOC 2018-07; updated consultation on this policy is currently in progress in the Academic Senate.

IV.  Maintenance of Policy:  Vice President, Office of Human Resources; Associate Provost for Faculty and Administrative Affairs. Office of the Provost; Sr. Research Compliance & Export Control Administrator, Office for Academic Research and the University of Dayton Research Institute

Definitions

1.  Conflict of interest (COI) is an Outside Activity of an Employee or an Employee’s Family Member that:

     a.  Creates or appears to create an improper influence on the Employee’s or another individual’s University Responsibilities;

     b.  Creates or appears to create a material interest or Financial Interest in a University contract or transaction;

     c.  Provides or appears to provide a financial or material benefit through inappropriate use of knowledge or information confidential to the University; or

     d.  Involves the use of University resources without prior approval.

2.  Conflict of Commitment (COC) is an Outside Activity of an Employee that may:

     a.  Interfere with an Employee’s ability to fulfill University Responsibilities; or

     b.  Compete with the University’s interests, including its educational, research, or service missions.

3.  Employee means, for the purpose of this Policy, any individual who has accepted full- or part-time employment at the University of Dayton and receives compensation for such employment, as well as any contractors involved in sponsored research for the University. While some nonemployees are subject to obligations related to conflicts of interest (e.g., Board of Trustees members), this policy is not applicable to nonemployees.

4.  Family Member means any member of the Employee’s immediate family, specifically any dependent children and spouse.

5.  Financial Conflict of Interest (FCOI) in Research exists when financial interests could affect, or be perceived to affect, the design, conduct, or reporting of Research. An FCOI may arise when the Investigator (or the Investigator’s Family Member) holds a Significant Financial Interest (SFI) that is related to the Employee’s Research. Examples include, but are not limited to, the following situations:

     a.  The SFI is held in an entity that is funding the Research, providing in-kind support for the Research, or participating in the Research, or the entity may otherwise financially benefit from the Research.

     b.  The SFI could affect the design, conduct, or reporting of the Research.

     c.  The SFI could be affected by the Research.

6.  Financial Interest means anything of monetary value, whether or not the value is readily ascertainable.

7.  Foreign Talent Recruitment Program is any program, position, or activity that includes compensation in the form of cash, in-kind compensation, including research funding, promised future compensation, complimentary foreign travel, things of non de minimis value, honorific titles, career advancement opportunities, or other types of remuneration or consideration directly provided by a foreign country at any level (national, provincial, or local) or their designee, or an entity based in, funded by, or affiliated with a foreign country, whether or not directly sponsored by the foreign country, to an individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue.

8.  Gift means any gratuity, favor, discount, entertainment, hospitality, loan, forbearance, license, special access, equipment time, samples, research data, or other item having monetary value. A gift also includes services as well as gifts of training, transportation, local travel, lodging, meals, research hours, whether provided in-kind, by purchase of a ticket, payment in advance, or reimbursement after the expense has occurred.

9.  University Responsibilities means, collectively, the educational, research, scholarship, service, and administration activities that constitute an Employee’s obligations to the University, including time and effort allocation and the protection of University resources and intellectual property. University Responsibilities are the same as institutional responsibilities as used in applicable federal regulations.

10. Investigator is an Employee who serves as project director, principal investigator, and any other position, who is responsible for the design, conduct, or reporting of University Research or proposals for such Research. This definition may include post-doctoral research employees, graduate student/assistants, senior scientists, or technicians.

11. Outside Activity(ies) is any activity, relationship, or interest, paid or unpaid, that an Employee or the Employee’s Family Member pursues that:

     a.  Relies on or utilizes the same expertise as the Employee’s teaching, research, clinical, or service responsibilities;

     b.  Is similar to the Employee’s area of scholarship or employment duties;

     c.  Has the potential to influence or impact the Employee’s duties; or

     d.  Is with an outside entity that conducts business with the University.

For example, this includes, but is not limited to, outside employment, consulting, advising, personally reimbursed or sponsored travel, conducting research outside the University, roles on outside boards, financial interests, gifts, foreign government affiliations (any academic, scientific, professional, or institutional affiliation with a foreign government entity, including participation in a Foreign Talent Recruitment Program), and other compensated or uncompensated activities or interests.

12. Public Health Service (PHS) means the Public Health Service of the U.S. Department of Health and Human Services, and any components of the PHS to which the authority of the PHS may be delegated. The components of the PHS include, but are not limited to, the Administration for Children and Families (ACF), Administration on Aging (AoA), Agency for Healthcare Research and Quality (AHRQ), Agency for Toxic Substances and Disease Registry (ATSDR), Centers for Disease Control and Prevention (CDC), Federal Occupational Health (FOH), Food and Drug Administration (FDA), Health Resources and Services Administration (HRSA), Indian Health Service (IHS), National Institutes of Health (NIH), and Substance Abuse and Mental Health Services Administration (SAMHSA).

13. Research means a systematic investigation, study, or experiment designed to contribute to generalizable knowledge, such as designing research, directing or serving as a researcher performing laboratory experiments, having a role in soliciting consent from research subjects, analyzing or reporting research data, or submitting manuscripts or abstracts concerning the research for publication. This includes projects for which outside support is requested and/or projects for which approval (or exemption) of an Institutional Review Board (IRB) or Institutional Animal Care and Use Committee (IACUC).

14. Significant Financial Interest is an Outside Activity for an Investigator that reasonably appear to be related to the Investigator’s University Responsibilities during the twelve (12) months preceding disclosure, which include the following:

a.  Payments received, and/or equity interests held, in aggregate, exceeding $10,000. For Investigators engaged in PHS or Department of Energy (DOE) funded research, the aggregate threshold is $5,000;

b.  Any equity interest in a non-publicly traded entity;

c.  Any equity interest in a publicly-traded company that is 5% or greater; or

d.  Intellectual property rights and interests from an entity other than the University upon receipt of income.

Policy

I.  Introduction

The University encourages individual participation in Outside Activities, such as collaborations with government, industry, and other private institutions, because such participation helps advance the University’s mission through mutually beneficial partnerships, helps attract very capable students, substantial gifts and endowments, and grants and research contracts and contributes to social and economic development and increased knowledge. Participation in Outside Activities may also enhance an Employee’s professional skills or demonstrate proof of contemporary expertise, e.g., for the purposes of licensure, certification and/or program accreditation, or may constitute public service that can be beneficial to the University as well as the individual Employee. Therefore, participation in Outside Activities is permitted to the extent that the activity aligns with the Employee’s University Responsibilities to the University, and that participation does not create a Conflict of Commitment or Conflict of Interest. Employees conducting Research (i.e., Investigators) must also avoid Financial Conflicts of Interest.

II. Expectations and Responsibilities of Employees

     A.  Employees are obligated to be familiar with, and to abide by, the provisions of this Policy.

     B.  All Employees are required to conduct their University Responsibilities with integrity, demonstrating both honesty and transparency. Full-time Employees are required to devote their primary professional commitment to the University, and must arrange Outside Activities so as not to conflict or interfere with this commitment to the University.

     C.  Employees must take all necessary steps to avoid, eliminate, remediate, and/or manage Conflicts of Interest (including Financial Conflicts of Interest) and Conflicts of Commitment, as described below.

     D.  All full-time Employees must complete annual training on this Policy and the Employee’s obligations regarding disclosure, in accordance with Appendix A below. Part-time Employees may be required to complete the annual training if assigned by their unit.

     E.  All full-time Employees must disclose an Outside Activity prior to engagement (for review and approval), and must provide an updated disclosure within thirty (30) days of a substantive change to a previously disclosed Outside Activity or, in the case of no changes, at least annually thereafter. Part-time Employees may also be required to disclose Outside Activities by their unit. Such Employees shall disclose their Outside Activities via the Conflict of Interest and Commitment Disclosure Form (in accordance with Appendix B below), and shall cooperate with the evaluation of any actual or potential Conflicts of Interest (including Financial Conflicts of Interest) and Conflicts of Commitment.  The University reserves the right to deny or revoke the approval of an Outside Activity at any time if it determines such Outside Activity violates this policy.

     F.  For all Outside Activities, whether paid or unpaid, Employees must not agree to transfer, license, grant, or assign to other people or entities any intellectual property rights that the University owns pursuant to the University’s Intellectual Property Policy without prior approval of the University’s intellectual property administrator. Employees who wish to participate in the commercialization of their University work must work with the University’s Office of Technology and Entrepreneurial Partnerships.

III. Conflict of Interest

     A.  Employees are prohibited from engaging in an Outside Activity that creates an improper influence on their University Responsibilities. Employees are also prohibited from engaging in an Outside Activity that creates a material interest or Financial Interest in a University contract or transaction or that provides a financial or material benefit through inappropriate use of knowledge or information confidential to the University.

     B.  Employees must be especially sensitive to potential Conflicts of Interest between their Outside Activities and their University Responsibilities relative to students and trainees working under their supervision and/or as a part of sponsored research. To avoid such conflicts, an Employee may not hire or directly supervise a University student in an Outside Activity while simultaneously serving as the student’s advisor, supervisor, or as a participant on that student’s thesis or dissertation committee without prior approval.

     C.  For Employees performing Sponsored Research:

        1.  Federal regulations and federal agency guidance require Investigators to avoid potential Financial Conflicts of Interest or allow such conflicts to be managed. If the University determines that a Financial Conflict of Interest cannot be managed, the Investigator must eliminate the Outside Activity or refrain from participating in the Research.

        2.  Federal regulations also state that Investigators working on federally funded research projects (a) must disclose if they are a party to a Foreign Talent Recruitment Program contract, agreement, or other arrangement; and (b) are prohibited from participating in a malign Foreign Talent Recruitment Program. See Appendix B for more information.

IV. Conflict of Commitment

     A.  Employees are prohibited from engaging in Outside Activities that are so substantial or demanding of an Employee’s time and attention so as to interfere with the Employee’s University Responsibilities. Full-time Employees are also prohibited from engaging in an Outside Activity that competes with the University’s educational, research, or service missions.  The appropriate amount of commitment an Employee may devote to Outside Activities may differ among University units but must be in accordance with this policy as well as other University policies, and aligned with the expectations discussed below:

        1.  Faculty expectations

          a)  Generally, the proportion of a full-time faculty member’s professional effort devoted to Outside Activities shall not exceed one business day per week during their contracted (on-duty) hours. Depending on the facts and circumstances of each individual case, a greater commitment of time may raise no conflict of commitment concerns, while a lesser commitment of time may raise significant concerns. Outside Activities during off-duty hours are not subject to time limitations; however, to ensure a conflict does not exist, the Outside Activities are still subject to prior approval and disclosure requirements included in this policy.

        b)  Absent prior approval, Outside Activities that create an actual or a perceived conflict of commitment (and therefore are generally not permitted) include, but are not limited to, the following examples:

          (1)  For full-time faculty members, teaching at another university or otherwise representing yourself as a faculty member of another university.

          (2) Using your professional or clinical expertise during on-duty hours to provide services that compete with those provided by the University.

          (3) Participating in Outside Activities to the detriment of your University Responsibilities or that increase the burden on your colleagues.

          (4) Participating in professional and/or private business activities that interfere with or reduce effort and time committed to awarded federal or other external funds.

          (5) Conducting research or novel scientific investigation as an employee of or a private consultant to an outside entity when such work may be conducted as research sponsored through the University.

      2.  Staff Expectations

       a)  Staff members may participate in Outside Activities during off-duty hours; however, to ensure a conflict does not exist, such Outside Activities are still subject to prior approval and disclosure requirements included in this policy.

      b)  Staff members must use accrued vacation and/or leave without pay for Outside Activities occurring during on-duty hours.  However, staff members may perform unpaid Outside Activities that advance the University’s interests during on-duty hours if prior approval from the staff member’s supervisor is obtained and the Outside Activity otherwise complies with this policy.

     B.  Employees involved in an Outside Activity with a foreign entity may raise unique Conflict of Commitment concerns. Conflicts of Commitment may exist in an Outside Activity with a foreign entity in a variety of situations, including but not limited to when:

        1.  An Employee cites a primary affiliation with the foreign entity on publications;

        2. An Employee’s activities at the foreign entity compete with their obligations to carry out similar activities at the University; or

        3. Intellectual property that would be the sole property of the University becomes jointly shared with the foreign entity.

V.  Approval and Management of Conflicts of Interest and Conflicts of Commitment 

     A.  If upon review of an Employee’s Conflict of Interest and Commitment Disclosure Form it is determined by the appropriate reviewer that an Outside Activity creates a Conflict of Interest or Commitment that can be approved but requires management, the appropriate reviewer shall draft a Conflict of Interest Management Plan (COIMP), which is a set of written obligations meant to reduce, mitigate, or eliminate the Conflict or Commitment. Such a plan shall be reviewed and agreed to by the Employee, their supervisor, and the vice president or dean of the Employee’s unit. Employees shall be responsible for compliance with the terms and conditions of the COIMP.

     B.  If upon review of an Employee’s Conflict of Interest and Commitment Disclosure Form it is determined by the appropriate reviewer, the Employee’s supervisor, and the vice president or dean of the Employee’s unit that the Outside Activity creates a COI or COC that cannot be managed, the Employee will not be permitted to participate in such Outside Activity.

     C.  If the Employee is not satisfied with the determination, an appeal can be made to the Provost and Executive Vice President of Academic Affairs or the Executive Vice President for Business and Administrative Services, as appropriate. Faculty members can also appeal the determination to the Faculty Hearing Committee on Grievances.

VI. Use of University Resources for Outside Activities

     A. Outside Activities are private endeavors of the Employee and the distinction from the University must be clear. Employees shall not use the University’s name, trademarks, logos, indicia, or the fact that the Employee is affiliated with the University in a manner that suggests that the University approves, disapproves, endorses, or promotes the Outside Activity. For example, University letterheads or University computer resources or email accounts are not to be used by an Employee for communication related to an Outside Activity, nor should the University be identified in any other way in the Outside Activity.

     B. When working with University personnel, students, and third parties, including vendors, contractors, and sponsors related to an Outside Activity, an Employee shall appropriately designate their capacity as part of such Outside Activity and ensure any communications are appropriately labeled to designate the source.

     C. Employees may not use University’s facilities, equipment, administrative support services, supplies, or other resources for Outside Activities except when such use is pursuant to a contractual agreement with the University or is approved in writing by the appropriate dean or vice president. In granting such approval, the dean or vice president will consider all affected parties and evaluate any potential liability, and consult with appropriate University personnel before such use is approved. In no case should such use limit access for University students or operations, and in most cases, adequate compensation should be paid to the University for such use. The University reserves the right to deny the use of University resources at any point without regard to any prior approvals.

     D. Employees must not use the name or logos of the University in publicity or promotion of a product or service related to an Outside Activity without the express written authorization of the responsible officials of the University, and must ensure any permitted use is not detrimental to the reputation or interests of the University.

     E. Employees engaging in Outside Activities may not use other University employees or students to assist in the Outside Activity unless they obtain pre-approval as discussed in Appendix B.

VII. Violations

     A. Violations of this policy include but are not limited to the failure to disclose or obtain prior approval as required before engaging in Outside Activities, including participation in Foreign Talent Recruitment Programs.  Violations of this policy also include the failure on an Employee to complete the required annual training or abide by a Conflict of Interest Management Plan (COIMP), if applicable.

     B. Individuals who violate this policy may be subject to corrective or disciplinary action, up to and including termination or dismissal, in accordance with applicable policies, procedures, or collective bargaining agreements. Violations may also require reporting by the University to governmental authorities or sponsors.

 

Reference Documents

  1. Outside Activities and Conflict of Interest & Commitment TeamDynamix Form
  2. Outside Activities and Conflict of Interest & Commitment Porches Site
  3. Intellectual Property Policy
  4. Policy on Use of Facilities and Address
  5. Policy Prohibiting Illegal, Fraudulent, Dishonest, and Unethical Conduct
  6. Faculty Handbook
  7. Public Health Service (e.g., NIH) Financial Conflict of Interest Policy
  8. National Science Foundation Recipient Standards (Chapter IX, Proposal & Award Policies and Procedure Guide (PAPPG) (NSF 24-1)
  9. Office of Science and Technology Policy (whitehouse.gov): Guidelines for Federal Research Agencies Regarding Foreign Talent Recruitment Programs
  10. Office of Science and Technology Policy (whitehouse.gov):  Policy Regarding Use of Common Disclosure Forms

Applicable Regulations

  1. 42 CFR 50 Subpart F and 45 CFR 94
  2. Federal Acquisition Regulation (FAR) 52.203-13: Contractor Code of Business Ethics and Conduct (acquisition.gov)

Appendix A to Outside Activities and Conflict of Interest and Commitment Policy

ANNUAL TRAINING

All Full-time Employees must complete annual training on the University’s Outside Activities and Conflicts of Interest & Commitment Policy (“Policy”) and an Employee’s obligations regarding disclosure and approval of Outside Activities. Part-time Employees may be required to complete the annual training if assigned by their unit.

     1.  Training shall be completed as a part of an Employee’s annual submission of the Conflict of Interest and Commitment Disclosure Form. An Employee shall not be required to complete the training for other submissions of the Disclosure Form (e.g., disclosure of a new Outside Activity or a substantive change to a previously disclosed Outside Activity).  

     2.  This mandatory training is accessed through SciShield.  An Employee will log in using their University of Dayton username and password and select the Annual Outside Activities and Conflict of Interest & Commitment Policy Training. 

     3.  When prompted during the training, the Employee will navigate to the Conflict of Interest and Commitment Disclosure Form in TeamDynamix.

     4.  After completion of the Disclosure Form, the Employee will select the “I agree” checkbox, and submit their disclosure.

     5.  The Employee shall then return to the training in SciShield to certify understanding of the training and submit to record completion. 

     6.  Employees will receive automatic notification through SciShield on an annual basis to complete the training and submit a new Disclosure Form.

     7.  In the event it is determined that an Employee has failed to comply with the Outside Activities and Conflict of Interest & Commitment Policy and its associated procedures, additional training may be required.

     8.  Employees participating in sponsored research at the University who meet the definition of “Investigator” may be required to complete additional training.

Appendix B to Outside Activities and Conflict of Interest and Commitment Policy

DISCLOSURE PROCEDURE

Proper completion of the Conflict of Interest and Commitment Disclosure Form (Disclosure Form) promotes transparency and accountability. (See also Guidance Regarding Outside Activities for Conflict of Interest and Commitment Disclosure). 

I.  Conflict of Interest and Commitment Disclosure Procedure

     a.  All full-time Employees must complete a Disclosure Form upon hire, and annually thereafter. Part-time Employees may also be required to disclose Outside Activities by their unit. Employees will receive notification from SciShield when it is time to complete the annual training and Disclosure Form.

     b.  A Disclosure Form must be submitted regardless of whether the Employee is engaged in any Outside Activities.

     c.  A new Disclosure Form must also be submitted within thirty (30) days of a substantive change to any previously disclosed Outside Activity, if an Employee intends to engage in a new Outside Activity, or if they acquire any new Financial Interests.

II. Review of Disclosure Forms

     a.  Disclosure Forms will be routed to and reviewed by a designated reviewer. Disclosures submitted by staff will be primarily reviewed by the Office of Human Resources. Disclosures submitted by faculty will be primarily reviewed by the Office of the Provost. Disclosure submitted by UDRI employees and faculty and staff performing sponsored research will be primarily reviewed by Research Compliance.

     b.  Disclosure Forms submitted in which an Outside Activity is not identified will be filed without additional review, and the Employee and supervisor will receive a “Notification of No Disclosure”.

     c.  If an Employee submits a Disclosure Form in which at least one Outside Activity is reported, the Employee and Supervisor will receive a “Outside Activity Under Review Notification”. 

     d.  The reviewer, in consultation with the Employee’s supervisor as appropriate, will determine on a case-by-case basis if a disclosed Outside Activity related to the Employee’s University Responsibilities presents a Conflict of Interest or Commitment that requires management. For Investigators, additional considerations will include whether:

        i.  the Outside Activity involves an organization that provides support that is used in Research (e.g., funding, products, or services);

        ii. the Outside Activity could directly and significantly affect the design, conduct, or reporting of the Research; and/or

        iii. the outcome of the Research could affect the value of the Financial Interest.

     e.  If the reviewer determines that none of the Outside Activities disclosed present a Conflict of Interest or Commitment that needs to be managed, the Employee and Supervisor will receive a “Outside Activity Approved” notification.

     f.  If the reviewer determines that at least one Outside Activity presents a Conflict of Interest or Commitment that can be managed, the Employee and Supervisor will receive a “Outside Activity - Conflict of Interest Needs Managed” Notification, and a Conflict of Interest Management Plan (COIMP) will be drafted (See Section III below).

     g.  If the reviewer, in consultation with the Employee’s supervisor and the vice president or dean of the Employee’s unit, determines that a disclosed Outside Activity presents an impermissible Conflict of Interest or Commitment or one that cannot be managed, the Employee and Supervisor will receive a “Outside Activity Denied” Notification with further details.

     h.  All Disclosure Forms will be maintained electronically in TeamDynamix and within an Employee’s personnel file.

III. Conflict of Interest Management Plans

     a.  Upon determination that a manageable Conflict of Interest or Commitment exists with the disclosed Outside Activity, the reviewer will draft and share with the Employee and supervisor a COIMP. The COIMP may include requirements such as:

        i.  monitoring by a colleague (within the department or in another department or unit on campus) with appropriate expertise, by an impartial external third party, or small ad hoc COI committee;

        ii. disclosure of COI, recusal, or resignation from service on board of directors; and/or

        iii.refraining from the decision-making process as part of the Employee’s University Responsibilities when services or products are being selected involving the Outside Activity entity.

     b.  For Investigators, the COIMP may include one or more of the following requirements:

        i.  severance of the Outside Activity or personal relationship (e.g., relinquishing a fiduciary role, terminating a consulting agreement, or divesting equity);

        ii. disclosure of the financial interests of the Investigator in all relevant publications and presentations;

        iii. disclosure to co-Investigators, members of the Employee’s laboratory or research group, students, or trainees;

        iv. disclosure of an Investigator’s financial interest in the informed consent document for human subjects research;

        v. limiting the role of the conflicted Investigator in the Research, including through the participation of non-conflicted project team members; and/or

        vi. restricting an Investigator’s role in the analysis, interpretation, and reporting of Research data.

        vii. modification of the Research plan.

        viii. oversight by an independent Research monitor or committee; and/or

        ix. other conditions, restrictions, and/or reporting requirements as recommended by the reviewer.

     c.  The final COIMP will be signed electronically and maintained in TeamDynamix. 

IV.  Significant Financial Interest (SFI) and Financial Conflicts of Interest (FCOI) in Research

     a.  Investigators must also include Significant Financial Interests as part of their Disclosure Form.

        i. For Investigators engaging in any PHS or Department of Energy (DOE) funded Research, a Disclosure Form must be submitted by the time of application and the conflict of interest training must be completed prior to beginning work on a funded project.

        ii. Investigators assigned to a new sponsored research program that have not completed a Disclosure Form in the previous twelve (12) months will also be required to submit prior to beginning work on the program.

     b. If the Disclosure Form reveals an SFI, it will be reviewed for a determination of whether it constitutes a Financial Conflict of Interest. If an FCOI exists, the University will take action to manage the FCOI including the reduction or elimination of the conflict, as appropriate.

     c.  If the University determines that there is an FCOI that can be managed, a written COIMP will be drafted and implemented to address the requirements listed in Section III of this Procedure above as appropriate. The University and Investigator must formally agree to the proposed management strategies and sign the written COIMP before any related federally sponsored research, including those funded by PHS or DOE, goes forward.

     d.  The vice president for academic research, vice president for UDRI, or their designee(s) is responsible for providing FCOI reports to outside funding agencies as required by federal regulations or the terms of sponsored research agreements. If the funding for the Research is made available from PHS or DOE, such reports shall be made to the PHS or DOE prior to the expenditure of any federal research funds, or within sixty (60) days of any subsequently identified FCOI.

     e.  If an Investigator fails to disclose a Significant Financial Interest that is determined to be a Financial Conflict of Interest or to comply with a COIMP, or if the University fails to review or manage an FCOI related to a PHS or DOE-funded project, the University will complete a retrospective review of the Investigator’s Outside Activities and the Research at issue to evaluate whether these actions created any bias in the design, conduct, or reporting of the Research. If bias is found, the University will take corrective action as it deems appropriate including reporting to the appropriate sponsoring agency.    

     f.  Documentation of the retrospective review shall include the project number, project title, Principal Investigator, name of Investigator with the Financial Conflict of Interest, name of the entity with which the Investigator has the Financial Conflict of Interest, reason(s) for the retrospective review, detailed methodology used for the retrospective review, and findings and conclusions of the review. 

V.  Participation in Foreign Talent Recruitment Programs

     a.  Foreign Talent Recruitment Programs (FTRPs) 

        i.  Participation in an FTRP is considered an Outside Activity under the Outside Activities and Conflict of Interest & Commitment Policy. Therefore, all full-time Employees (and part-time Employees if required by their unit) must submit a Disclosure Form and receive approval from their unit prior to participating in an FTRP.

        ii. Employees must include any contracts, agreements, and other pertinent documentation related to the FTRP with their Disclosure Form.

        iii. Employees must disclose their participation in an FTRP on their annual Disclosure Form.

     b.  Malign Foreign Talent Recruitment Programs (MFTRPs)

        i. Investigators engaging in federally funded research are prohibited from participating in an MFTRP.

        ii. For Employees not engaged in federally funded research, participation in an MFTRP is subject to the same pre-approval and disclosure requirements as described above for FTRPs.

        iii. Investigators should immediately contact the departments below if they are currently participating in, or have participated in an MFTRP during the last 12 months:

          1.  Office of Research Compliance

          2.  Employee’s unit director, supervisor, or Chair

     c.  Federal Research Agency Disclosure and Certification

        i.  Foreign Talent Recruitment Programs (FTRPs)

          1.  Investigators engaged in federally funded research are required to disclose current or pending participation in, or applications to, an FTRP to the federal agency per applicable federal research agency requirements. Requirements may include disclosure of the FTRP in the Biographical Sketch or Curriculum Vitae (CV) and/or in other/current and pending support documents.

          2.  Federal research agencies may require implementation of mitigation strategies related to the FTRP before awarding a proposal to a recipient institution (e.g., Department of Defense Policy for Risk-Based Security Reviews of Fundamental Research). Mitigation strategies could include, but are not limited to, training, increased frequency of required reporting, and/or replacement of personnel on the project.

        ii. Malign Foreign Talent Recruitment Programs (MFTRPs)

          1.  Federal research agencies may require certification that each Investigator is not a party to an MFTRP in the proposal submission, and annually thereafter for the duration of the award.

          2.  The University must certify that Investigators have been made aware of the requirement.

VI.  Definitions 

     a.  For the purposes of this Procedure, the following definitions apply:

        i.  Foreign Talent Recruitment Program: Please see definition in the Outside Activities and Conflict of Interest & Commitment Policy 

        ii. Malign Foreign Talent Recruitment Program 

          1.  is any program, position, or activity that includes compensation in the form of cash, in-kind compensation, including research funding, promised future compensation, complimentary foreign travel, things of non de-minimis value, honorific titles, career advancement opportunities, or other types of remuneration or consideration directly provided by a foreign country at any level (national, provincial, or local) or their designee, or an entity based in, funded by, or affiliated with a foreign country, whether or not directly sponsored by the foreign country, to the targeted individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue, in exchange for the individual:

            a.  Unauthorized Intellectual Capital Transfer: Engaging in unauthorized transfer of intellectual property, materials, data products, or other nonpublic information owned by a United States entity or developed with a federal research and development award to the government of a foreign country or an entity based in, funded by, or affiliated with a foreign country regardless of whether that government or entity provided support for the development of the intellectual property, materials, or data products;

            b.  Recruitment: Being required to recruit trainees or researchers to enroll in such program, position or activity;

            c.  Establishing Lab, Company or Taking Employment: Establishing a laboratory or company, accepting a faculty position; or undertaking any other employment or appointment in a foreign country or with an entity based in, funded by, or affiliated with a foreign country if such activities are in violation of the standard terms and conditions of a federal research and development award;

            d.  Conflict of Commitment: Being unable to terminate the foreign talent recruitment program contract or agreement except in extraordinary circumstances;

            e.  Scientific/Funding Duplication: Through funding or effort related to the foreign talent recruitment program, being limited in the capacity to carry out a research and development award or required to engage in work that would result in substantial overlap or duplication with a Federal research and development award;

            f.  Foreign Funding: Being required to apply for and successfully receive funding from the sponsoring foreign government’s funding agencies with the sponsoring foreign organization as the recipient;

            g.  Prohibition on Acknowledgement: Being required to omit acknowledgement of the recipient institution with which the individual is affiliated, or the federal research agency sponsoring the research and development award, contrary to the institutional policies or standard terms and conditions of the federal research and development award;

            h.  Disclosure Prohibitions: Being required to not disclose to the federal research agency or employing institution the participation of such individual in such program, position, or activity; or

            i.  Conflict of Interest/Conflict of Commitment: Having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the federal research and development award; and

        2.  A program that is sponsored by:

            a.  A foreign country of concern or an entity based in a foreign country of concern, whether or not directly sponsored by the foreign country of concern;

            b.  An academic institution on the list developed under section 1286(c)(8) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019; or

            c.  A foreign talent recruitment program on the list developed under section 1286(c)(9) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019.

        iii.  Foreign Country of Concern means the People’s Republic of China, the Democratic People’s Republic of Korea, the Russian Federation, the Islamic Republic of Iran, or any other country determined to be a country of concern as determined by the Secretary of State. 

CONTACT

For questions relating to the University policies of Human Resources, please contact:


Office of Human Resources
937-229-2541
Email