Types of Conflicts of Interest
Conflicts of Interest in Research (For Investigators Only)
University and USF Health policies on conflicts of interest in research require that any University employee responsible for the design, conduct, or reporting of a sponsored research project conducted under the auspices of the University must disclose financial or other interests that are, or may be perceived to be, related to the project prior to the submission of a proposal for funding or at the time a potential conflict develops during the conduct of a funded project. If the University determines that such interests may affect the design, conduct, or reporting of the project, steps will be taken to manage or eliminate the conflict.It is the responsibility of each University employee to report all financial interests, whether or not the financial interest reaches any particular threshold established by state or federal law. USF Health’s policy on reporting conflicts of interest in research is described in the USF Health Policy on Conflicts of Interest and Conflicts of Commitment.
Outside Activities (For All USF Health Employees)
USF Health does not impose limitations on the outside activities that faculty and research officers may pursue in their individual capacity, other than to expect that such work will not interfere with their other University responsibilities (conflict of commitment) or otherwise create a conflict with their University employment. USF Health’s policies on conflicts of interest and commitment are described in the USF Health Policy on Conflicts of Interest and Conflicts of Commitment.Conflicts of Commitment. University employees owe their primary professional allegiance to the University, and their primary commitment of time and intellectual energies should be to these activities that are associated with their University employment. For faculty members, a University appointment also conveys an obligation for a faculty member to have a significant presence on the University campus (or at affiliated institutions), to fulfill primary obligations to the University, to be accessible to students and staff, and to be available to other University employees, patients or affiliates throughout each semester of the faculty member’s appointment, unless the department chair and/or dean has granted specific prior approval for absences that would interfere with accomplishing academic responsibilities. The specific responsibilities and professional activities that constitute an appropriate and primary commitment should be based on a general understanding between the employee and his or her department chair, dean or supervisor and may differ as among colleges, departments and disciplines.
Attempts of employees to balance University responsibilities with outside activities--such as consulting, public service or pro bono work – can result in conflicts regarding allocation of time and energies. Therefore, a University employee who intends to engage in an activity which is not part of the employee’s University duties and for which the employee receives compensation or which is related to the employee’s professional interests or which otherwise may create a conflict with the full and faithful performance of the employee’s University duties should report the activity as required by the USF Health Policy on Conflicts of Interest and Conflicts of Commitment prior to engaging in the activity.
Conflicts of Interest with University Employment. State law prohibits public employees (including University employees) from engaging in certain outside activities and relationships that create a conflict with the individual’s public employment.
Prohibited Activities: Florida law provides that no employee of a state agency (including a state university) shall
There are exceptions to these prohibitions; therefore, potentially prohibited relationships should be disclosed and reviewed to determine whether a prohibited relationship exists and whether there is an exception that applies. |
Apart from these prohibited relationships, a conflict of interest can occur whenever there is a divergence between a 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 are determined by considerations of personal gain, financial or otherwise. A conflict of interest depends on the situation, and not on the character or actions of the individual. Therefore, a University employee who intends to engage in an activity which is not part of the employee’s University duties and for which the employee receives compensation or which is related to the employee’s professional interests or which otherwise may create a conflict with the employee’s University duties should report the activity as required by the USF Health Policy on Conflicts of Interest and Conflicts of Commitment prior to engaging in the activity.
Ownership in Company Doing Business with the University
A special circumstance arises where a faculty member has an ownership interest in a company, usually an emerging or start-up company, that is licensing an invention or other technology from the University (“faculty-owned company”). Participation of faculty member in a start-up company licensing the faculty member’s invention can be attractive for both the faculty member and the University as this arrangement may offer the best option for rapid commercial development of University technology. It is within the purview of the University Office of Patents and Licensing to determine that a faculty-owned company has the best prospects of commercializing a new technology. If the faculty member/owner also has a contractual or employment relationship with the company licensing the University’s technology, then the activity is prohibited under the Florida Code of Ethics for Public Officers and Employees (Florida Statutes, Chapter 112.313). The activity may proceed under an exemption to the statutory prohibition which requires the University President and the Chair of the University Board of Trustees to specifically authorize the activity.General Principles:
As a rule, there should be a clear demarcation of effort between faculty duties and those activities associated with involvement in commercial enterprises. In order to minimize the potential for conflicts of interest, including prohibited substantial conflicts of the faculty member that interfere with the proper discharge of his or her duties in the public interest, the USF Health faculty member should
- Ensure that any use of University resources (laboratory facilities, clerical and service staff support, etc.) to benefit a private individual, organization, or commercial entity is disclosed (in writing) to and approved by the Vice President or designee. Depending upon the nature and extent of the faculty member’s involvement with the company, the Vice President may require a Memorandum-of-Understanding (MOU) which carefully stipulates the extent and nature of facilities utilization, and establishes use charges based on the cost to the University of maintaining the facilities. In principle, faculty-owned companies or company employees should not have access to University facilities beyond that available to similarly qualified, non-University entrepreneurs.
- Ensure that the involvement of students, post-doctoral fellows or USF Health employees in research and development projects or other activities for the company has the full knowledge and approval of the Vice President or designee and is documented in an MOU. Examples include the hiring of students and staff outside the context of their University duties, or their support (via a contractual arrangement) within the framework of their University appointments. Safeguards must be instituted on a case-by-case basis to ensure that the performance of University duties and the scholarly mission of the University are not compromised. In particular, faculty must avoid even the appearance of directing students into research activities which serve their own personal interests at the expense of scholarly achievement.
- Not restrict or delay general access to information from University research or impede the progress of students toward their degrees.
- Ensure that work performed by faculty for a faculty-owned company, involving expertise for which faculty are employed by the University, is of a nature which is clearly inappropriate for the University. Typical distinctions include research with scholarly, publishable content vs. refinement of a specific process or product; fundamental inquiry vs. routine or service-oriented tasks, etc. In general, work with scholarly content should be performed as part of faculty duties. In cases where such distinctions are blurred, the Vice President or designee should make the final determination.
- Not alter the scope or direction of any University research in order to materially benefit the company.
In sum, the involvement of a faculty member with an emerging or start-up company technically falls within the University’s review of outside activities, requires the oversight and approval of the Vice President or designee, and may require an MOU where the use of University resources, students or personnel is contemplated. In addition to reporting this special outside activity as required by the USF Health Policy on Conflicts of Interest and Conflicts of Commitment, the faculty member should complete the USF Health document entitled Disclosure of Information Form for Commercial Enterprise and submit both documents to the employee’s Department Head/Chair and the Vice President as a starting point for discussion prior to engaging in the activity. Finally, if the faculty member or employee has an employment or contractual relationship with the company, the activity will fall within one of the state law prohibitions on doing business with one’s agency. This relationship must be specifically authorized by the University President and Chair of the University Board of Trustees prior to engaging in the activity.
Other Situations
There may be other situations not addressed here where a conflict of interest may arise in the context of one’s employment. Here are some other common situations:- Participating in the review of a matter as member of an ethics or review board in which matter the member has a personal, financial or other conflicting interest. [NOTE: The individual board’s policies on conflicts of interest will govern.
- Supervising a relative on a contract or grant (nepotism).
- Influencing a decision by a student or the University in a situation where the employee stands to benefit from the decision.
- Conducting projects of personal interest that are not appropriate to the mission of the University, or do not promise significant contributions to scholarship and knowledge or provide appropriate academic opportunities for students.
- Competing for grants with the University through one’s private company.
- Using University resources—supplies, equipment, and facilities, as well as staff time—for the benefit of private interests without proper notice to, approval of, and compensation to the University.
- Self-serving dealings with entities providing goods or services to, or purchasing good and services from, the University or any of its units. In general, employees are expected to use good judgment in all dealings with individuals, service providers, consultants, suppliers, or firms which seek to become a supplier of goods or services to the University and all customers of University services. To that end, USF Health employees must conduct their business affairs so that the University’s integrity would be unquestioned if the full details of those dealings become public. To learn more about conflicts of interest and the University’s ethical standards in dealing with vendors and companies doing business with the University, click here.
If you are uncertain whether you have a conflict of interest situation, or if you believe you have a conflict of interest but are not certain how to proceed, please contact Olga Joanow, Director of Faculty Relations, USF Health Office of Faculty Affairs (ojoanow@health.usf.edu or 974-1676) to discuss your situation and obtain additional guidance.