Research Protections

Definition of Conflict of Interest

Relates to situations in which financial or other personal considerations, circumstances, or relationships may compromise, may involve the potential for compromising, or may have the appearance of compromising a Covered Employee’s objectivity in fulfilling their University Employment Responsibilities. The bias that such conflicts may impart can affect many University responsibilities, including decisions about personnel, the purchase of equipment and other supplies, the selection of instructional materials for classroom use, the collection, analysis and interpretation of data, the sharing of research results, the choice of research protocols, the use of statistical methods, and the mentoring and judgment of student work.

Definiton of Conflict of Commitment

The term “Conflict of Commitment” relates to the distribution of effort between one’s University appointment and one’s outside activities. The latter may include professionally related activities such as involvement with professional societies, participation on review panels, and external professional activities for pay. These activities often promote professional development.

Conflicts of Interest and Commitment, applies to:

• Faculty (9 month, 12 month, and part-time), including adjunct faculty members.
• EHRA staff members
• Research personnel involved in the design, conduct, or reporting of a funded research project, contract, sub-contract, or other agreement.
• Individuals responsible for the design, conduct, or reporting of a Public Health Service (PHS) funded research project are also required to disclose sponsored travel and paid authorships.

Disclosures must include the Significant Financial Interests of family members (i.e., spouse, siblings and dependent children).

Publicly Traded Companies

• Ownership of stock, options, etc. from any entity during the preceding 12 months, for you and your family members that appears to be related to your institutional responsibilities.
• Note: Investments in which you do not directly control investment decisions, such as mutual funds or retirement accounts, do not need to be disclosed.

Privately Held or Nonprofit Companies

• Any ownership or equity interest from any entity whose stock is not publicly traded, by you and your family members that appears to be related to your institutional responsibilities.

Other Financial Interests

• Any secondary employment that is related to your professional responsibilities at the university.  Examples would include: private consulting, serving on a board of directors, speaking engagement, etc. Note: This reporting is in addition to the separate prior notification and approval requirements for SHRA and EHRA employees.
• Royalties from textbooks or other scholarly works

Intellectual Property Rights

• Intellectual Property (IP) in which you or your family members, have an existing or proposed licensing interest.
• IP rights held (or in negotiation) for a pending or issued patent in which you or your family members are listed as inventors.
• Excluding IP held by ASU.

External Roles

• Paid or unpaid positions of influence, by you or your family members, with an entity in which the interests of the entity appear related to your institutional responsibilities (i.e. CEO, President, Scientific Advisory Board member, etc.).

Student Involvement or Supervisory Roles

• Situations in which an activity could create a potential conflict of interest or commitment with respect to a faculty member’s mentorship responsibility.
• Textbook or course material selection that results in receipt of royalties or other potential financial conflicts of interest.

Sponsored Travel (PHS only)

• Any reimbursed or sponsored travel whose aggregate value paid or reimbursed by any single entity meets or exceeds $5,000 in the prior twelve months, except travel that is reimbursed or sponsored by a Federal, state, or local government agency, an institution of higher education, an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education.

• Annually (October 1st deadline)
• At the time of research project proposal
• At each new increment of research project funding
• Within thirty (30) days of discovering or acquiring any financial interests for which disclosure is required
• Prior to engaging in External Professional Activities for Pay (EPAP)

All disclosures should be made using the Cayuse Outside Interests platform.

• Annual disclosures: required from all EPA faculty/staff, and should be made through the “New Disclosure” link, and selecting the "Start a new Annual disclosure" option in Cayuse. Annual email reminders will be sent prior to the October 1st deadline. (Note: all annual disclosures must be submitted via Cayuse.)
• EPAP disclosures: The EPAP disclosures are new incorporated into the Annual COI disclosure form.
• Project specific disclosures: A separate COI disclosure is required for each research project. A Project-Based disclosure can be submitted through the "New Disclosure" link, and selecting the "Start a Research-Based disclosure" option in Cayuse. A COI disclosure must be received from all listed personnel before the proposal will be sent to the funding agency/sponsor.

• COI Annual Disclosure Tutorial (PDF)
• COI Research-Based Disclosure (PDF)