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Found that issues related to University Policy on Outside Professional Activities seemed be particularly confusing to faculty and administrators

To further add to the confusion there are federal requirements that are separate from University policy

Will cover:

• What institutional and federal policy entails

• when they apply

• how to report activities

Outside professional activities are not a bad thing or something to be avoided

USC and all research universities encourage (and expect) faculty interactions and working relationships between faculty and government agencies, business & industry as important parts of their research, education and public service activities (See policy preamble – goes to lengths…)

Interactions with the private sector bring increased potential for financial conflicts of interest or the perception of conflict (commitment as well as financial)

This is what must be avoided and what federal and institutional policy is designed to address

The University is responsible for assisting its faculty identify activities that present potential conflicts and in reducing or managing the conflicts to assure that they do not threaten the integrity the university and faculty.

Not possible nor necessary to eliminate all perceived or real financial conflicts of interest. existence of a conflict is not necessarily a problem; it is how individuals and institutions respond (don’t respond) to conflicts that may be problematic. (That is where a clear enforced policy comes in)

The term Conflict of Interest is used often with the assumption that everyone has the same understanding of it’s meaning.

When unable to give the dictionary definition…. often fall back on the Supreme Court Justice Black’s comment about pornography “I may not be able to define it, but I know it when I see it”.

I think most agree that they can recognize a conflict of interest (particularly when it’s someone else)

Thought a graphic might help us better understand what we are talking about

Every faculty member has a primary interest/duty (teach, conduct research, & pursue scholarly activities) which includes Integrity in research, patient/subject welfare when dealing with human subjects in research and providing the education to students

Many have secondary interests as well

Conflict occurs when there is a competing secondary interest (equity/management position in start up company in field of research)

Becomes problematic when the secondary interest exerts undue influence on judgement made in pursuit of primary interest/duty

All conflicts do not lead to an adverse outcome. Generally, are dealing with situations that may lead to an adverse or questionable outcome.

Factors that create a “potential” conflict are generally the same as found in an “actual” conflict

Again, a conflict of interest is not necessarily a bad thing as long as it is

•recognized

•disclosed

•appropriately managed.

No articulated policy at USC prior to 1994

Catalyst for creating policy was proposed federal regulations with PHS first proposed rule in 1989: revised in ’91

NSF followed with proposed rule in 1992

Initially many differences in policies

Under pressure from Universities – agencies worked together and produced final rules that were similar w/ few small differences

Jointly published Final Rule in July of 1995

Note: That neither is call “Conflict of Interest Policy”

USC endured a grueling process to develop its current policy

•1990 Committee appointed by Provost

•18 months later – final draft sent to Faculty Senate (rejected in spring of ’92)

•Second committee formed in Fall of ’92

•Policy signed by President – April ‘94

USC requires disclosure of potential conflicts for all sponsored programs (see PAP)

More formalized process for NSF and PHS projects (form)

Project by project

Annual basis (w/updates)

Who – Usually those “listed” as key personnel including:

•Co-PIs

•Research Associates/Post Docs

•Technicians

Whenever the work to be performed under the sponsored project and the results of the undertaking could reasonably be expected to have an impact on a financial interest –

The financial interest is related to the sponsored project and MUST be disclosed

(Disclosure form)

What constitutes a “financial interest” – defined in policy

Financial Interest is in the aggregate and applies to spouse and children

Income or ownership from a single entity

Does not include

•salary

•royalties

•stipends

•honoraria or other remuneration from USC.

•Also NOT income from

•seminars,

•lectures, or

•teaching engagements sponsored by public or nonprofit entities

•income from service or advisory committees/review panels for public and non-profit entities

Instances relate to the organization with whom the key personnel have a financial interest

Financial Interest + relationship = disclosure

Financial interests that are not related to the sponsored project do not need to be disclosed as part of the proposal/grant process

*** This where differences occur between the federal regulations and USC policy

USC policy applies regardless of funding or “related financial interests” and reporting/disclosure requirements are different.

Chose to recognize that all disciplines are not the same and that “one size” does not fit all

Ex: Medicine vs. Arts (Addresses clinical practice plans while performing arts allowed to develop a policy that is reasonable for them)

Note: review policies for Art, Music & Medicine

Policy is very simple – outside professional activities must be approved and reported

Addresses conflicts of interest AND conflict of commitment (e.g. professor of religious studies and pastor of a local church)

Financial conflicts of interest – (per policy) “…situations in which individuals may have the opportunity to influence the University's activities in ways that could lead to inappropriate personal gain or give improper advantage to their associates.”

Conflicts of commitment – (per policy) “…situations in which an individual's external professional activities, often valuable in themselves, interfere with the individual's paramount obligations to students, colleagues, and the University.”

Applies to all

•professors

•associate professors

•assistant professors

•full-time academic instructors

•full-time lecturers. (Tenure track AND research faculty)

•

Note: Applies to Any monetary interest – no threshold as with Fed policy

Policy states that special attention should be given to

•compensated services

•private practice and

•for-profit activities

Including those listed….

Local units by virtue of discipline may have unique circumstances which require faculty disclosure (Art and music)

Each unit should specify which activities should be reported

Medical and health professional practice plans vs. arts

Use of students in outside activities deserves special attention and should include a record of joint activities

Generally – students should not be employed on Sponsored Projects where the PI has a financial interest in the sponsoring company. In cases where a student is involved in research sponsored by a company-funded agreement, the research agreement should state that the presentation of results will not be controlled by the company (or similar non-limiting language related to publication)

Note: That there is no requirement to tell amount of compensation

1.Individual faculty member reports outside professional activities at time of annual review

2.Local unit head (department chair)

•reviews and approves all individual reports

•takes appropriate action to modify or prohibit activities in which a perceived conflict of interest or commitment exists

•submits a summary report, as well as individual cases of “impropriety” tothe head of the supervisory unit (dean).

3.The head of the supervisory unit (dean)

•reviews summary reports from each local unit and advises the Office of Research Compliance (ORC) of situations involving impropriety.

•Reports annually (August 15) to the Office of Research Compliance

4.The Office of Research Compliance will review local unit summary reports to ensure compliance with University policy.

5.The Vice President for Research, upon receiving a referral, will determine if further action is required..

6. Appeals of decisions made by unit heads can be made to the VPR. Further appeal can be made to the University Committee on Conflict of Interest.

Responsibilities of local and supervisory unit heads

Required disclosure is a given and should be included with any publication or presentation