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WILKES UNIVERSITY
CONFLICT OF INTEREST IN SPONSORED RESEARCH POLICY
These guidelines define Wilkes University’s general policy and procedures regarding conflicts of
interest in relationship to sponsored projects and sponsored research. The guidelines are
responsive to requirements of the NSF (Section 510 of the Grants Policy Manual) and the Public
Health Service (NIH GUIDE, Volume 24, Number 25, July 14, 1995). They are intended to
protect the credibility and integrity of the University’s faculty and staff and to ensure compliance
with Federal financial conflict of interest regulations.
Wilkes University has no interest in interfering with faculty and staff in their pursuit of
legitimate outside interests. The University does, however, have a responsibility to manage,
reduce or eliminate any actual or potential conflicts of interest that may be presented by a
financial interest of an investigator. The University therefore requires that investigators disclose
any significant financial interest that may reasonably appear to be affected by sponsored projects.
Definitions
A potential conflict of interest occurs when there is a divergence between a person’s private
interests and his or her professional obligations to Wilkes University such that an independent
observer might reasonably question whether the person’s professional actions or decisions are
determined by considerations of personal gain, financial or otherwise. For the purposes of this
policy, a conflict of interest exists when the University, through procedures described herein,
reasonably determines that a significant financial interest could directly and significantly affect
the design, conduct, or reporting of sponsored projects.
Investigator means the principal investigator/project director, co-principal investigators, and any
other person who is responsible for the design, conduct, or reporting of research, educational, or
service activities funded, or proposed for funding, by an external sponsor. In this context, the
term "Investigator" includes the investigator's spouse and dependent children
“Significant financial interest” means 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)
 intellectual property rights (e.g., patents, copyrights and royalties from such rights).
Specifically, a conflict of interest may occur when a faculty or staff member’s affilation with the
external organization meets any one of the following criteria:
1. The faculty or staff member 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 faculty or staff member is participating in any capacity.
2. The faculty or staff member is the actual or beneficial owner of more than 5% of the
voting stock or controlling interest of such an organization or corporation.
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3. The faculty or staff member 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.
4. The faculty or staff member’s immediate family (spouse and dependent children) meet
any of the criteria stated in 1-3 above.
The term “financial interest” does not include:
1. Salary, royalties, or other remuneration from Wilkes University;
2. Income from seminars, lectures, or teaching engagements sponsored by public or
nonprofit entities; or
3. Income from service on advisory committees or review panels for public or nonprofit
entities.
Disclosure
1. Each Investigator is required to disclose the following significant financial interests:
(i) Any significant financial interest of the Investigator that would reasonably appear to be
affected by the research or educational activities funded, or proposed for funding, by an external
sponsor; or
(ii) Any significant financial interest of the Investigator in an entity whose financial interest
would reasonably appear to be affected by the research or educational activities funded, or
proposed for funding, by an external sponsor.
Regardless of the above minimum requirements, a faculty or staff member, in his or her own best
interest, may choose to disclose any other financial or related interest that could present an actual
conflict of interest or be perceived to present a conflict of interest. Disclosure is a key factor in
protecting one's reputation and career from potentially embarrassing or harmful allegations of
misconduct.
2. Each Investigator who has a significant financial interest requiring disclosure shall complete a
Significant Financial Interests Disclosure Form and attach all required supporting
documentation. The completed Disclosure Form must be submitted to the office of the Director
of Grant Support at least three days before the proposal submission date. Supporting
documentation that identifies the business enterprise or entity involved and the nature and
amount of the interest should be submitted in a sealed envelope marked confidential and
accompany the Disclosure Form. This disclosure information will be forwarded to the Vice
President for Finance and Support Operations for review.
3. If the proposal is funded, all financial disclosures must be updated by Investigators during the
period of the award, either on an annual basis or as new reportable Significant Financial Interests
are obtained.
Review Process
1. The Wilkes University Vice President for Finance and Support Operations shall review all
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financial disclosures to determine whether a conflict of interest exists. A conflict of interest
exists when the review reasonably determines that a significant financial interest could directly
and significantly affect the design, conduct, or reporting of the proposed sponsored project. If the
Vice President for Finance and Support Operations determines that there is a potential for
conflict of interest covered by this policy, then the Vice President will convene the Conflict
Review Committee to determine what conditions or restrictions, if any, should be imposed by the
institution to manage actual or potential conflicts of interest arising from the disclosed significant
financial interests. Members of the Conflict Review Committee will include the Vice President
for Finance and Support Operations, the Director of Grant Support, and thethe Dean of the
College or School where the individual under review holds a position. If the individual under
review is a Dean, the Provost will appoint the third committee member.
Following review of the disclosure materials, the Conflict Review Committee may impose
conditions or restrictions, including the following:
1.
2.
3.
4.
5.
6.
Public disclosure of significant financial interests;
Monitoring of research by independent reviewers;
Modification of the research plan;
Disqualification from participation in all or a portion of the research funded;
Divestiture of significant financial interests; or
Severance of relationships that create actual or potential conflicts.
The Conflict Review Committee may require that a plan for reducing or eliminating conflicts of
interest be incorporated into a Memo of Understanding between Wilkes University and the
Investigator.
3. The Vice President for Finance and Support Operations will notify the Provost of the
conditions or restrictions to be imposed. If the Provost determines that imposing the above
referenced conditions or restrictions would be ineffective or inequitable, or 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 the Provost may
recommend that, to the extent permitted by Federal regulations [PHS policy, for example, does
not permit such an action], the research go forward without imposing such conditions or
restrictions. The Provost may also consider faculty appeals to Conflict Review Committee’s
decision(s). The Provost shall make the final decision regarding any resolutions that may be
required regarding a proposed condition or restriction.
Managing Conflicts of Interest
Actual or potential conflicts of interest will be satisfactorily managed, reduced, or eliminated in
accordance with these Guidelines and all required reports regarding the conflict of interest
submitted to the sponsor prior to expenditure of any funds under an award. [For example, the
PHS requires the University to report to the PHS Awarding Component the existence of a
conflicting interest (but not the nature of the interest or other details) found by the University and
assure that the interest has been managed, reduced or eliminated. NSF only requires the
University to report conflicts that cannot be satisfactorily managed, reduced, or eliminated.]
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Violations of Conflict of Interest Policy
Whenever an Investigator has violated this policy or the terms of any resolution plan required by
the Conflict Review Committee (including failure to file or knowingly filing incomplete,
erroneous, or misleading disclosure forms) the Vice President for Finance and Support
Operations shall notify the Provost, who will impose sanctions or institute disciplinary
proceedings against the violating individual.
If the violation results in a collateral proceeding under College policies regarding research
misconduct, then the Provost will defer decision on sanctions until the misconduct process is
completed.
In addition, the University shall follow Federal regulations regarding the notification of the
sponsoring agency in the event an Investigator has failed to comply with this policy. The sponsor
may take its own action as it deems appropriate, including the suspension of funding for the
Investigator until the matter is resolved.
Record Maintenance
Records of investigator financial disclosures and of actions taken to manage actual or potential
conflicts of interest, shall be retained by the Vice President for Finance and Support Operation’s
Office until 3 years after the letter of the termination or completion of the award to which they
relate, or the resolution of any government action involving those records.
Collaborative Projects/Subagreements
Collaborators/subrecipients/subcontractors from other organizations must either comply with this
policy or provide a certification that their organizations are in compliance with Federal policies
regarding investigator significant financial interest disclosure and that their portion of the project
is in compliance with their institutional policies.
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