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How Can Conflicts of Interest Be Managed?

How Can Conflicts of Interest Be Managed?

Options for Management | What is the Unit Head’s Role in Managing COI?

The Annual Reporting of Non-University Activities is the implementation of policies and regulations. Whether in conjunction with RNUA or not, COI can be managed in a variety of ways.

Resolution is situation-specific.
Strive for the simplest effective means of managing the conflict.
Resolution always begins with disclosure and sometimes involves a combination of conflict management techniques.
The Unit Head works with the individual to create a mechanism to manage the conflict. This written document ranges from a simple paragraph to a formal conflict management plan.

The options for management include (but are not limited to) disclosure plus:

A statement demonstrating why the conflict is unlikely to affect the activity in question
Removing the conflicted individual from the financial aspects of the project
Implementing a process to ensure that results are verifiable
Creating an oversight committee to monitor the situation
Providing special protections for students
Modifying the plan or scope of the activity/research
Abstaining from promotional decisions for staff
Removing purchasing decision authority
Divesting financial interests
Severing relationships that constitute actual or potential conflicts
A leave of absence with or without pay
Reducing the percentage of the individual ’s UIC appointment
And/or any of an unknown number of possible alternatives.

What is the Unit Head’s Role in Managing COI?

The Unit Head must approve all external activities, whether they involve conflicts or not, as disclosed in the annual RNUA (Reports of Non-University Activities) process. Because the Unit Head’s signature on the RNUA form documents approval of the activities, the Unit Head holds some responsibility for ensuring all activities are properly reported and monitored. Even beyond the RNUA process, all real or apparent conflicts are initially disclosed to, and managed in cooperation with, the Unit Head.

According to University policy, the Unit Head holds primary responsibility for working with the academic staff member to manage conflicts. “It is incumbent upon the academic staff member and the unit executive officer to manage or resolve real or apparent conflicts.”

The COI officer is an additional resource. According to University policy, “In trying to reach a mutually acceptable remedy, the advice of the dean or Vice Chancellor for Research may be sought.”
If desired, the Unit Head may appoint a departmental COI committee as an additional resource.