Conflict of Interest Determination and Disclosure
Does a Conflict of Interest (COI) Exist?
COI Does Not Exist
The following are examples that typically do not pose a conflict of interest between the employee and the University:
- A staff member works as an administrative assistant at the University and plays in a band that performs on the weekends at local hangouts.
- A faculty member, on occasion, visits a corporation in which their spouse is employed. Their visits are related to student advising, while their spouse works in the purchasing department for the corporation, and the two do not overlap in any capacity.
- The spouse of a faculty member serves as an external reviewer for a federal funding agency in his field of expertise.
- An employee’s family owns a restaurant, and the restaurant has been approached about catering upcoming off-campus events.
- A faculty member who receives a grant for research from XYZ Company. However, their spouse owns stock with the XYZ company as part of their investment portfolio (401k).
COI Potentially Exists
Examples of situations that have the potential to be a conflict of interest:
- Department Chair Y wrote a book prior to their employment at CU. Faculty members within the department may feel pressure to use the book for their classes since it is relevant to their teaching topics.
- A faculty member who is working as an adjunct faculty member at another university in order to be involved in a research project.
- Joe manages a lab on campus, and the lab has recently flooded. Their spouse works for a company that specializes in lab cleanups, and the company is registered as a Clemson University vendor.
- Sam owns a consulting company on the side. A company that regularly uses the employee's consulting company recently sent a "gift" to Sam to use in their University capacity.
- An employee owns a lawn care business and would like to become a vendor for the University.
COI Does Exist
Examples of situations that result in a conflict of interest:
- Department Chair A was recently promoted from within the department, and now she supervises their spouse.
- A purchasing agent for the University wants to hire their brother-in-law to provide consulting services to the department in which they work.
- A staff member owns a business that specializes in a product that is needed for the department in which they work on campus. The employee wants the department to purchase the products directly from them.
- An employee’s spouse is involved in the same sponsored project, and the employee is the lead Principal Investigator.
- A professor who is using their Clemson lab to collect data. They want to hire several of their students to perform the work in the Clemson lab for the company they own.
Who Determines If COI Exists?
For research personnel, the Conflict of Interest Research Committee is responsible for identifying conflicts of interest.
For staff and faculty who are not engaged in research, the General Conflict of Interest Committee is responsible for identifying conflicts of interest.
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Will my information be kept confidential?
Clemson University must make certain information available concerning identified financial conflicts of interest held by senior/key personnel via a publicly accessible website or by a written response to any requestor within five business days of a request. PHS defines “senior/key personnel” as the project director or Principal Investigator and any other person identified as senior/key personnel by the Institution in the grant application, progress report, or any other report submitted to the PHS by the institution. At a minimum, Clemson University must provide the following information:
- Investigator's name;
- Investigator's title and role with respect to the research project;
- Name of the entity in which the significant financial interest is held;
- Nature of the significant financial interest; and
- Approximate dollar value of the significant financial interest (dollar ranges are permissible: $0-$4,999; $5,000-$9,999; $10,000-$19,999; amounts between $20,000-$100,000 by increments of $20,000; amounts above $100,000 by increments of $50,000) or a statement that the interest is one whose value cannot be readily determined through reference to public prices or other reasonable measures of fair market value.
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If it is determined that I have a conflict of interest, will it affect the acceptance of an award?
Prior to the expenditure of research funds where the research relates to a conflict of interest, the conflict must be managed. An award that relates to a conflict of interest can be accepted, but may be held until the conflict of interest is managed. Each conflict of interest has unique circumstances, and the expenditure of funds will be dependent on the nature of the conflict and the nature of the award.
Disclosure
How To Complete a Disclosure
- Log in to InfoEd using your Clemson University username and password.
- Select "External Interests" on the left navigation panel.
- Select "New" in the drop-down panel.
- Select "Edit/Submit Disclosure".
The time it takes to complete the disclosure form depends on whether you have any interests to disclose. The disclosure form takes approximately 5 minutes to complete and certify if you have nothing to disclose.
Anyone required to complete a disclosure form must do so annually, within 30 days of discovering or acquiring a new significant financial interest, and when changes occur in the circumstances of a financial interest or outside activity that was previously disclosed.
Details About the Online System
To aid in facilitating easy and efficient COI disclosure, the online system has several key features:
- The expiration date on your form is a year from your most recent submission. If you update your form mid-way through the year, your expiration date is reset.
- 30 days before your form expires, you will receive a notification that your form is expiring soon.
- Previous disclosures will automatically be copied to your next draft within InfoEd.
Note: Federal regulations and University policy require disclosure to be made on an annual basis.
Who Should Disclose
A member of the University community – officer, administrator, faculty, staff, student or trainee – may be deemed to have a conflict of interest when they or any of that person's family possesses a personal or financial interest related to an activity that involves their University responsibilities. This includes all full-time, part-time, temporary, and contract employees and others acting on Clemson's behalf in the performance of the teaching, research, public service, administration and business operations of the University. Additionally, all research personnel (defined as tenure/tenure track faculty, research faculty, research associates, postdoctoral research fellows, and others identified at the time of proposal submission as having potential for a conflict of interest related to a research activity that involves their University responsibilities) must file an annual conflict of interest disclosure.
Why It Is Important
Confirming that you do not have any potential conflicts by completing a disclosure form is part of the University's conflict of interest oversight process and key to demonstrating the University's management of potential conflicts. It is also the responsibility of the Institution, rather than individuals, to determine whether a conflict of interest exists between your research and financial interests.
After Disclosure Form Is Submitted
After a disclosure form is submitted, the form is reviewed for completeness and accuracy. The COI Office will determine whether a potential conflict of interest exists and if further review is required.
Further review will include members of one of the Conflict of Interest Committees and, if a conflict exists, a COI management plan will be created. This will involve your department chair or supervisor and the ADR/Dean of your college.
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If I disclose a Significant Financial Interest (SFI), will it delay submission of my proposal?
All investigators listed on the proposal must complete a disclosure form prior to submission of a proposal for research funding. Once your disclosure is made, the submission of a proposal will not be delayed for conflict of interest reasons. If a disclosure is determined to relate to the research within the proposal, awarded funds may be held until the potential conflict is managed.
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What is a conflict of interest management plan?
Once a conflict of interest has been identified, the Conflict of Interest Office and the appropriate committee will consult with you, your department chair or supervisor, and the ADR/Dean of your college. Together, the group will design a plan of conditions or restrictions to manage the conflict of interest. You will have the opportunity to review and accept this plan. This is called a COI management plan.
