Grants Office

Conflict of Interest Policy

CONFLICTS OF SIGNIFICANT FINANCIAL INTERESTS POLICY AS RELATED TO GRANTS AND SPONSORED RESEARCH PROJECTS

This policy sets forth procedures and guidelines to be followed in resolving actual and potential grant applicants' conflicts of financial interests pertaining to grants and sponsored research projects
funded by: 1) commercial sponsors, 2) federal agencies having specific conflicts of interests requirements, such as the National Science Foundation and the Public Health Service, and 3) purchase orders and subcontracts issued by SOUTHERN UTAH UNIVERSITY (SUU) for such projects regardless of the source of funds.

SUU benefits from faculty and staff participation in grants and sponsored research projects and in other public and private activities. The University has not set forth detailed rules that may interfere with faculty and staff outside interests. However, full-time and part-time faculty and staff must ensure that their outside financial interests, and participation in outside activities, do not conflict or interfere with their obligations to the university.

This policy specifically addresses Conflicts of Financial Interests, situations in which grant applicants may have the opportunity to influence the University's business decisions in ways that could lead to personal gain or give improper advantage to themselves, co-applicants (anyone involved in the design, conduct and reporting of the research results), or their spouses or dependents. Such conflicts could affect the design, conduct or reporting of research results. A financial interest is defined as anything of monetary value, including, but not limited to, salary or other payments for services (e.g., consulting fees or honoraria); equity interests (e.g. stocks, stock options or other ownership interests); and intellectual property rights (e.g., patents, copyrights, royalties from such rights). A "significant" financial interest would exceed $10,000 in value (in terms of income) or would represent more than 5% ownership in a given organization.

When the University engages in or intends to engage in a sponsored project with an external organization, or has subcontracted or intends to subcontract with an external organization under a sponsored project, a significant conflict of financial interest may occur when a grant applicant's affiliation with the external organization meets any of the following criteria:
 

The grant applicant is an officer, director, partner, trustee, employee, advisory board member, or agent of the external organization or corporation either funding a sponsored project or providing goods and services under a sponsored project on which the applicant is participating in any capacity.

The grant applicant is the actual or beneficial owner of more than five percent (5%) of the voting stock or controlling interest of such organization or corporation.

The grant applicant has dealings with such organization or corporation from which he or she derives income of more than $10,000 per year, exclusive of dividends and interest.

The grant applicant's or co-applicants' spouses or dependents (dependent children or other relatives living at the same address as the applicant or co-applicant) meet any of the criteria stated in the paragraphs above.

Each grant applicant and co-applicant participating in a sponsored project covered by this policy must disclose whether or not he or she has external affiliations that may constitute a conflict as described above. A Disclosure form (Attachment 1) is to be completed and submitted to the Academic Grants Office at the same time the required Internal Review Form is submitted for institutional approval. The form must be updated on an annual basis and/or whenever new financial interests are secured. Negative disclosures will be filed in the Academic Grants Office, with no further review required. Positive disclosure forms will be reviewed by a Conflict Review Committee consisting of the appropriate College Dean, the Director of Grants, and one faculty representative from the  Grants Committee. The review must be completed prior to the University's acceptance of the sponsored project or issuance of purchase orders or subcontracts for the acquisition of goods and services.
<strong>In reviewing positive disclosures, the Conflict Review Committee will be guided by the following:
Assure adherence to relevant state law and University policies such as:

- Utah Public Officers' and Employees' Ethics Act;, Utah Code Annotated Sec. 67-16-1 et.seq. (The Ethics Act), which in some instances may require additional reporting responsibilities. In many instances, this policy is broader than the Ethics Act in the kids of situations covered.
- existing agreements and provisions on Ethical Standards regarding outside employment;  -and SUU policies on Confidentiality, and Patents and Intellectual Property; and other University documents the Conflict Review Committee may deem appropriate.

Consider the nature and extent of the financial interests in the relationship of the applicant, co-applicants and their spouses or dependents and the external organization.

Give special consideration to the terms and conditions of sponsored project agreements that may mitigate or complicate the given situation.

APPENDIX

The following list of examples serves as a guide for identifying potential conflicts of interests. It is not intended to be a comprehensive list of all potential conflicts.

1. ACTIVITIES THAT ARE CLEARLY PERMISSIBLE

Outside employment, service on boards and committees of public or private organizations, service as a consultant to outside organizations, or other outside activities as allowed by the terms of the appropriate collective bargaining agreement, provided the income generated from any organization through such activities does not exceed the $10,000 threshold.

Acceptance of royalties for published works and patents, payment for the creation of computer software or artistic works, or of honoraria for occasional speeches.

Acceptance of income from seminars, lectures, or teaching engagements
sponsored by public or nonprofit entities.

Service on boards and committees of public or private organizations and
acceptance of income for service on advisory committees or review panels for public or nonprofit entities.

2. ACTIVITIES THAT PRESENT THE POTENTIAL FOR CONFLICTS

Relationships that might enable an applicant or co-applicant to influence the University's dealings with an outside organization in ways leading to personal gain or improper advantage for the applicant or co-applicant's spouses or dependents. (Note: Making full disclosure of such relationships and making appropriate arrangements to manage, reduce or eliminate potential conflicts would resolve such potential problems.) 

3. ACTIVITIES THAT ARE VERY LIKELY TO BE UNACCEPTABLE

Use for personal profit of unpublished information emanating from sponsored agreements or confidential university sources, or assisting an outside organization by giving it exclusive access to such information, or consulting with outside organizations that impose obligations upon the applicant or co-applicant that conflict with the University's patents and intellectual property policies or the University's obligations under sponsored projects agreements.

The applicant or co-applicant or their spouses or dependents is an officer, director, partner, trustee, employee, advisory board member, or agent of an external organization or corporation either funding a sponsored project or providing goods and services under a sponsored project on which the applicant or co- applicant is participating in any capacity.

The applicant or co-applicant or their spouses or dependents is the actual or beneficial owner of more than five percent (5%) of the voting stock or controlling interest of such organization or corporation.

The applicant or co-applicant or their spouses or dependents has dealings with such organization or corporation from which he or she derives income of more than $10,000 per year, exclusive of dividends and interest.