Conflict of Interest
And Commitment
Disclosure and Management
Johnna Doyle
Deputy Legal Counsel
The Colorado State University System
Working Together, Creating Knowledge
Conflicts of interest, or at least potential conflicts
of interest, never will be entirely removed from
our modern and increasingly complex society.
The goal for universities and companies should be
to recognize and pragmatically manage conflict-ofinterest issues in a way that preserves the core
values of academia and fosters the benefits of
innovation for all society.
--Business-Higher Education Forum , American Council on Education & the National
Alliance of Business University-Industry Research Collaboration Initiative
Why should we care so much
about conflict of interest?
Undisclosed or unmanaged COI can:
Undermine the public trust in CSU-Pueblo
Compromise data and/or interpretation of
research results
Have an adverse impact on students’ progress
toward degree
Create hard feelings/problems in the
workplace
Violate State and Federal laws
Colorado State Law
C.R.S. 18-8-308
• A public servant commits failing to disclose a conflict of interest if
he exercises any substantial discretionary function in connection
with a government contract, purchase, payment or other pecuniary
transaction without have given seventy two hours’ actual advance
written notice to the secretary of state and to the governing body
of the government which employs the public servant of the
existence of a known potential conflicting interest of the public
servant in the transaction with reference to which he is about to act
in his official capacity.
• A “potential conflicting interest” exists when the public servant is a
director, present, general manager, or similar executive officer or
own or control directly or indirectly a substantial interest in any
nongovernmental entity participating in the transaction.
• Failure to disclose is a call 2 misdemeanor
WHAT IS A CONFLICT OF INTEREST?
AND WHAT DO WE DO ABOUT
THEM?
Potential for Real or Perceived
Conflict of Interest Arise:
Financial/ Other Transaction
• Equity or stock in an outside
entity
• Benefit from a family
member’s company that
provides services to
university
• Gifts and awards
Nonfinancial
• Personal Advancement
• Career Advancement
• Favoritism
• Scientific Bias
Potential for Real or Perceived
Conflict of Interest Arise:
Conflict of Commitment
• Opting to submit a proposal
through an external entity
instead of university w/o
cause
• Accepting external
commitments that
significantly
burden/interfere with
primary university
obligations
Institutional COI
• External relationships with
significant financial or other
impact to the university
– funding research at the
university
– making substantial gifts to the
university
– funding endowed chairs at
the university
– developing/marketing IP
licensed from CSU-Pueblo
University Policy & Guidance
Conflict of Interest/Conflict of Commitment
Public employment and appointment is a public trust, and any
effort to realize personal gain through official conduct, other
than as compensation set through established processes, or
disclosure of confidential information, is a violation of that
trust.
All decisions of the Board of Governors, the University and an
individual faculty member in their role as faculty are to be
made solely on the basis of a desire to promote the best
interest of the institution.
From Section 2.7.1.1Faculty Handbook
Conflict of Commitment
A conflict arising to the degree to which an
employee’s outside activities overlap with
his/her workplace obligations; exists when a
faculty member or admin pro undertakes
external commitments that substantially
interfere with his/her primary obligations and
commitments to the University.
Disclosure of COI
When are disclosures to be made?
Upon hire
Annually--by October 1
Event—By occurrence.
How are Conflicts Disclosed?
Conflict of Interest Form
Submit to Department Chair for Review
If a COI then management plan submitted
Plan goes to the Dean for review
Provost has final approval of plan
Management Plans
Should describe the situation giving rise to the actual or potential conflict of
interest and consider addressing the following issues as appropriate to the
specific situation:
•Conflict of Interest Summary
•Role in Contracts
•Disclosures
•Use of University Resources
within University Policy.
Regulatory Approvals
• Reaffirm Commitment to CSUPueblo
•Conflicts related to
student/advisor roles
•Designate Administrator for
Oversight Responsibility
•Documentation of work
performed provides for others
to replicate, evaluate quality
and outcome
•Reporting Timelines
Supervisors’ Role:
• Review annual survey responses
• Question answers that don’t seem right or ask
for additional information
• Sign form to certify that information is true
and correct to the best of Supervisor’s
knowledge
Actual Conflicts of Interest
• The initial or orientation of a faculty member’s research with
the use of University resources to serve the needs of a private
firm or public agency without approval of the University.
• Transmission to a private firm or use of personal gain of the
information, records, results, material or products which have
been acquired through University research or employment
when such disclosures are not made generally available.
• Failure to inform the appropriate office of the
University about licensing agreements and inventions
in which the University might have equity.
Actual Conflicts of Interest cont’d
• The use of University resources in sponsored research or in
consulting by an employee without referring to the
appropriate administrative office the questions whether
appropriate costs should be defrayed by the outside agency.
• The use of students, without recompense from salary or
academic credit, for work on behalf of an outside agency.
Actual Conflicts of Interest cont’d
• The use of the University’s name, facilities, or equipment for
personal purposes, or for which the employee receives
remuneration for private gain.
• Personal use of University resources to support political
candidates or non-profit organizations even though not for
remuneration.
• The purchase of equipment, instruments, or supplies for
University teaching or research from a private firm with which
the employee is affiliated.
Actual Conflicts of Interest Cont’d
• Negotiation or influence upon the negotiation
of contracts between the University and
outside organizations with which an employee
has consulting or other significant relations of
material benefit to the employee.
• Hiring of members of the immediate family by
employees.
Actual Conflicts of Interest cont’d
• Adoption of one’s own textbook or other
teaching aids, which would entail acceptance of
royalties as personal income.
• Certain types of outside employment as offers of
employment involving assignments that have the
potential to compromise the institutional
position of the faculty member. For example
teaching courses for another institution that
directly compete with courses at CSU-Pueblo.
Actual Conflicts of Interest cont’d
• Performing work for clients for pay when the
work in questions falls within the regular
assignment of the faculty member.
• Any outside relationship that conflict with the
teaching, scholarly, and services
responsibilities of the faculty member.
Actual Conflicts of Interest cont’d
• Consulting relationships involving activities with
the potential to compromise the institutional
position of the faculty member.
• Financial interest in companies and other kinds of
organizations doing business with the University.
• Financial gain to the individual that results from
involvement in University decisions.
Wrap-Up
• Conflicts of interest are not necessarily unwarranted,
unethical, or illegal; nor are they always avoidable.
• Disclosure/management protects the individual and the
institution.
• As entrepreneurial activities increase so will the opportunity
for real/perceived COI.
• COI management is an ongoing process; one plan doesn’t fit
all.
• Failure to identify, disclose, and managed COI appropriately
can damage careers and undermine reputations.
Bottom line
Use common sense
When in doubt,
DISCLOSE!!!!
DISCLOSE!!!!
DISCLOSE!!!!