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Executive Policy E5.214: Conflicts of Interest
In general, conflicts of interests of concern within the scope of this policy are related to the potential for self-gain, usually but not always of a fiscal nature. Such potential can on occasion undermine the judgment or objectivity of members of the faculty staff or administration so as to compromise their primary obligations and; dedication to academic values. But it is not only self-gain but also the appearance of self-gain or bias, whether in research or some other pursuit normally conducted within the University's range of activities, that may undermine the public's trust in the institution.
Opportunities for investigators or scholars to receive financial or other personal rewards from their work are to be welcomed provided that they do not impair the objectivity, integrity, or professional commitments of the staff members involved. Thus it is important to emphasize that it is not participation in a situation offering opportunity for personal gain that is addressed here, but rather situations with recognizable potential to occasion conflicts of interests.
II. Objectives
The objectives of this executive policy and attendant procedures are (1) to define the conflicts of interest of concern, and (2) to supplement the policy of the Board of Regents pertaining to such conflicts through guidelines for and procedures to be followed by all affected employees of the University.
III. Policy
- Definitions
- Conflict of Interests
A potential or actual conflict of interest exists when commitments and obligations to the University or to widely recognized professional norms are likely to be compromised by a person's other interests or commitments, especially financial, particularly if those interests or commitments are not disclosed.
- Members of the Immediate Family
Dependents, the spouse, and all members of the household are considered members of the immediate family. Circumstances or relationships that must be disclosed or resolved for members of the faculty, staff or administrators usually must also be disclosed or resolved if the faculty or staff member or administrator knows or should know that a member of his or her immediate family has or had such a relationship.
- Administrators
"Administrators" in the context of this policy includes all administrative employees, whether or not they hold faculty rank, who direct or can materially influence the conduct of research.
- Staff
"Staff" in the context of this policy includes all employees of the University, all RCUH employees involved in University research activities, and all students who are either employed or receiving stipends as a result of their involvement in University research activities.
- Scope, Requirements, And Sanctions
Faculty members, staff and administrators of the University are required to make regular, timely, and full confidential disclosures to their administrative supervisors of all outside remunerative activities related to their teaching, research, service, or administrative responsibilities. They must also disclose equities and positions of members of their immediate family which could create a conflict or the perception of a conflict of interests between their academic obligations and their outside activities and/or holdings. Supervisory personnel, who are themselves subject to this policy and its requirements for full disclosures, are also obligated not to encourage, condone, or overlook such conflicts of interests of persons under their supervision. Failure, whether willful or not, to comply with the requirements or provisions of this policy may be sanctioned as is non-compliance with any other University policy.
University of Hawai’i faculty members, staff and administrators participating in PHS-supported research under consortium agreements are also covered by this policy.
- Guidelines
- Obligations
A person who accepts an appointment to the faculty, staff or administration of the University has an obligation to devote his/her primary professional effort to the University to the extent required by the appointment. Other activities or commitments must be arranged so as not to conflict with or dilute this commitment. While employment outside the contract period may not represent a conflict of commitment, it can generate a conflict of interest.
- Confidentiality
To encourage full disclosure of potential conflicts without undue intrusion on the privacy of University personnel or their families, all information provided shall be treated confidentially and shall include data only to the extent necessary for review and consideration in the resolution of conflicts or apparent conflicts.
- Subsequent Disclosure
Financial, personal, or professional relationships that indicate or suggest a potential conflict of interests or a perception thereof shall be fully and accurately disclosed in all formal communications relating to the sponsored research or similar activity, including communications in professional journals.
- Withdrawal from Decisions
Members of the faculty, staff and/or administration shall not attempt to make decisions or exert influence concerning any University relationship affecting a company or comparable organization in which they or members of their immediate family have a personal or professional interest.
- Technology Transfer
The commercialization and the transfer of technology can create conflicts of interest. Pertinent interim guidelines and procedures have been issued as an administrative directive under Section 5-3(f) "Patent and Copyright Policy" of the Bylaws and Procedures of the Board of Regents.
- Encouraging Openness and Exchange of Information
- The free exchange of information is a fundamental value underlying the University's mission. Faculty members, staff and administrators have the right to know the general nature, purposes, methods, results, and sponsorship of research and related activities conducted within the University.
- To avoid broad limitations on collegian communication, arrangements involving the receipt of confidential information, which may not be shared with colleagues reasonably promptly, shall be kept to a minimum. When such arrangements are unavoidable, the scope of the project shall be defined so as to permit the exchange of as much information as possible.
- Insofar as possible and in accordance with all pertinent Regents' and Executive Policies on the conduct of research and technology transfer, all significant results shall be published or publicly disclosed with reasonable promptness whether the results are favorable or unfavorable to the interests of any sponsor. Certain restrictions or limited delays in dissemination of information may be warranted by scientific prudence, the need to prepare patent applications, other legal rights, or other justifiable reasons.
- Assignment Of Students And Staff
- Staffing of sponsored research is subject to University policies, and sponsors may not interfere with staffing decisions.
- Students and post-doctoral fellows shall not be exploited nor their education compromised in the service of sponsored research or the financial gain of the supervisor. Employment of students or fellows by companies in which their faculty supervisor has economic interests, or agencies in which their supervisor has other but comparable interests, must be disclosed on Part II of the attached Disclosure Form by the student's academic supervisor.
- Faculty members shall take all necessary precautions to ensure that their students' progress and academic standing are not jeopardized by violations of any professional norms in projects in which they participate, or by students' naiveté about the circumstances surrounding industrially sponsored research.
- Compensation To Clinical Investigators
Arrangements for compensation for clinical studies shall not adversely affect the conduct or influence the outcome of clinical research.
Attachment:
(1) University of Hawai’i Disclosure Form
(2) Procedures
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