Conflict of Interest Situations with Possible Management Plans
Consulting Relationship
Faculty and staff have the right to acquire and retain outside interests or relationships of a professional, personal, or economic nature that do not conflict with University interests or the individual employee's commitment to the University. The success of relationships between industry and academia are critically dependent upon maintaining openness, scientific integrity and independence. Prior to entering into a consulting or other outside work situation, faculty and staff must consider the following:
- Each faculty/staff member is expected to know his/her school/college/unit policy on outside professional activities and to report outside activities in compliance with that policy.
- Faculty and staff members with a 50% or more appointment owe their primary loyalty to the University.
- A University employee may not use his/her University position for his/her personal financial benefit or for the benefit of family members to the detriment of the University. This implies that a faculty/staff member must not allow outside activities and interests to compromise the educational program to the student’s detriment.
- A University employee may not use University facilities or resources on behalf of an outside interest without an explicit agreement with the University, including provisions to repay the cost of those resources.
- It is important to consider the need to access sponsor confidential information and the appropriateness of the activity within the University.
- Each faculty/staff member must consider the appropriateness of UM student/trainees participation in the consulting or other outside work situation.
- The scope of work within consulting contracts needs to be clearly defined in order to protect rights to intellectual property that may be developed as a result of the research.
Example 1: Consulting with minimal risk
Company A wishes to sponsor research into the University under the direction of Professor Z. The focus of the research is to perform basic research methodologies to develop improved methods for strengthening and improving the durability of concrete used in highways. Company A and Professor Z have an ongoing consulting relationship clearly unrelated to the focus of the UM side of the company sponsored research project. No UM students or trainees are assigned or supported by this sponsored research project.
This situation presents minimal risks and falls into what the COI committees refer to as “Administrative Shunt” category requiring disclosure to the appropriate conflict of interest review committee.
Example 1a: Consulting with student element
The UM side of the company sponsored project (described above) will provide support for one GSRA under the direct supervision of Professor Z. This is an unacceptable situation (see Operating Principle #4).
Management solutions may include the following:
- Appointing another faculty member (with no connection to the company) to serve as thesis advisor of the student, if the focus of the thesis is based on this research.
- Serving as co-thesis advisor with another faculty member (with no connection to the company), if the focus of the thesis is based on this research.
Example 1b: Consulting with significant risk
The UM side of the company sponsored research project (described above) is directly related to the work conducted by Professor Z as a consultant to the company.
This situation presents significant risks. The example solutions provided below are intended to be a guide for demonstrating how particular conflict situations may be managed [note: the details of some situations may make COI management unworkable and the project will not commence]. The examples are not intended to be all-inclusive as each individual situation may require a greater or lesser degree of management based upon the elements of risk presented.
- Appoint a different faculty member, who has no connection to the company, as PI. The new PI oversees all aspects of the sponsored project to the University. This minimizes the conflict of interest for Professor Z, who may decide to be involved in the project as a representative of the company.
- Appoint a different faculty member, who has no connection to the company, as PI and allow the original faculty member (Professor Z) to serve as co-investigator. The new PI oversees all aspects of the sponsored project (see notes below).
- Although the least desirable, if the technical work requires that Professor Z remain as PI, another individual with no connection to the company is appointed to oversee the performance of the sponsored project (although this individual may not participate in the research activity).
- For examples B & C the following additional management conditions may apply:
- Consulting relationships do not require disclosure to and approval by the Regents under the State of Michigan Conflict of Interest Statute.
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Notes:
Professor Z will need to provide a written statement that clearly describes and distinguishes between his/her obligations as a key investigator on the sponsored project and his/her obligations to the company as a consultant. Professor Z does not participate in any decision-making as a representative of the company sponsor and would disclose his/her company connection to lab staff, students, oversight committees (IRB, UCUCA), Purchasing, as well as in any publications about the research. Annual evaluations of staff or key personnel involved in the project would not be the sole responsibility of Professor Z; additional oversight would be provided by a higher-level academic administrator. If human subjects are involved in the research, the new PI or another individual with no connection to the company would oversee all aspects of human subject participation