AASU Conflict of Interest Policy Pertaining to Sponsored Projects

Summary : This policy sets forth procedures and guidelines that are to be followed in resolving actual and potential faculty conflicts of interest and commitment pertaining to sponsored projects. This policy applies to all sponsored projects funded by A) commercial sponsors, B) those federal agencies having specific conflict of interest requirements, and C) purchase orders and subcontracts issued by Armstrong Atlantic State University on behalf of sponsored projects, irrespective of the source of funds.

The university and its faculty often benefit from the faculty's participation in both public and private outside activities. The university has no interest in setting forth detailed rules that may interfere with faculty members' legitimate outside interests.

Faculty members, in turn, must also ensure that their outside obligations, financial interests, and activities do not conflict or interfere with their commitment to the university. This obligation pertains to both full-time and part-time faculty.
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The areas of potential conflict may be divided into two categories. Conflicts of Interest are defined as situations in which faculty members may have opportunity to influence the university's business decisions in ways that could lead to personal gain or give improper advantage to members of their families or to associates. Conflicts of Commitment are defined as situations in which faculty members' external activities interfere or appear to interfere with their paramount obligations to their students, colleagues, and the university.

In those circumstances in which the university is engaged in or intends to engage in a sponsored project with a commercial organization under one of the university's sponsored projects, a conflict of interest may occur when a faculty member's affiliation with the external organization meets any of the following criteria:

• a) The faculty 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 member is participating in any capacity.

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

  c) The faculty member has dealings with such organization or corporation from which he or she derives income of more that $10,000 per year, exclusive of dividends and interest.

  d) The faculty member's immediate family (spouse, parents, parents-in law, siblings, children, or other relatives living at the same address as the faculty member) meet any of the criteria stated in a-c above.
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Each faculty member 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 by falling within the criteria stated in paragraphs a-d above. A disclosure must be completed prior to the university's acceptance of the sponsored project or issuance of a purchase order or subcontract for the acquisition of goods and services. The disclosure form (Attachment 1) is to be sent to the Office of Sponsored Programs via the faculty member's department chair or dean. Positive disclosures will be reviewed by the Council of Deans.

In reviewing the positive disclosures, the committee will be guided by the following practices and apply them as may be appropriate:

a) Assure adherence to relevant university policies and other university documents that they deem  appropriate.

b) Consider the nature and extent of the financial interest in the relationship of the faculty member and the external organization.

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

d) Consult with and obtain additional information from the faculty member as either the committee, or the faculty member feel may be helpful in resolving actual or potential conflicts.

e) Act in a timely manner so as not to delay unduly the conduct of the sponsored project.

f) Conclude that the university may take one of the following actions:

1. Accept the sponsored project award.
2. Do not accept the sponsored project award.
3. Accept the sponsored project subject to suitable modifications in either the sponsored project award document or the external organizational affiliation(s) of the faculty member or faculty member's family.
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If the faculty member is dissatisfied with the review conclusion, the faculty member may appeal to the Vice President and Dean of Faculty who will consult with the faculty member and the Research and Scholarship Committee as deemed necessary and appropriate to the particular circumstance. The decision of the Vice President and Dean of Faculty shall be final.

Violations of this policy, such as willful concealment of financial interests, may result in sanctions being imposed upon the violating individual. The Research and Scholarship Committee will review allegations of violations and will make recommendations regarding the imposition of sanctions to the Vice President and Dean of Faculty.

The Office of Sponsored Programs shall maintain the records pertaining to each disclosure in strict confidence while complying with Georgia's Open Record Law. Access to such records will be limited to the faculty member, the Research and Scholarship Committee, the Vice-President and Dean of Faculty, and others who have a legal right to review the records.

Certain sponsors, particularly federal agencies, may differ from this policy with regard to the timing and frequency of faculty disclosures and other provisions as well. In the case of such discrepancies, the sponsor's requirements will generally prevail.
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Appendix

The following list of examples serves as a set of guidelines for identifying potential conflicts of interest and commitment. It is not intended as a comprehensive list of all potential situations that could present faculty members and the university with difficulty.

• 1. Activities that present the potential for conflict.
  • a) Relationships that might enable a faculty member to influence the university's dealings with an outside organization in ways leading to personal gain or improper advantage for the faculty member, or his or her associates or family members. For example: a faculty member or family member could have a financial interest in an organization with which the university does business and could be in a position to influence relevant business decisions. Ordinarily, making full disclosure of such relationships and making appropriate arrangements to mitigate potential conflicts of interest would resolve such problems.

    b) Situations in which the time or creative energy a faculty member may devote to external activities appear substantial enough so as to compromise the amount or quality of his or her participation in the instructional, scholarly, or administrative work of the university.

    c) Situations in which a faculty member directs students into a research area from which the faculty member may realize a financial gain. In such situations, the ability of a faculty member to render objective, independent judgement about the students' scholarly best interests may be diminished.
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  2. Activities that are very likely to present unacceptable conflicts.

  • a) Situations in which a faculty member assumes executive responsibilities for an outside organization that might seriously divert his or her attention from university duties. Faculty members should consult with the appropriate dean before accepting any outside management position.

    b) 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 faculty member or the university that conflict with the Board of Regent's Intellectual Property Policy or with the university's obligations under sponsored projects.

    c) Circumstances in which a substantial body of research that could and ordinarily would be carried on within the university is conducted elsewhere to the detriment of the university and its legitimate interests.

    d) Any activity that a faculty member may wish to undertake on an individual basis that a) involves or appears to involve the university significantly through the use of these resources, facilities, or the participation of academic colleagues, students, and staff, b) involves the use of the university's name or implied endorsement, or c) violates any of the principles set forth in any university policy.

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