# Presentation: 097223

## Conflict of Interest in Research

**	****	****NCI Ethics and You**

***A Primer for New Employees***

## MISSION

**To stimulate and support scientific discovery and its application to  achieve a future when all cancers are  uncommon and easily treated**

## GOALS

**To acquire new knowledge to help prevent, detect, diagnose, and treat disease and disability**
**To sustain the Nation’s medical research capacity**
**To provide Federal stewardship**

## GOALS

**And do it with the highest possible integrity and responsibility in the       conduct of science**

## The Non-Government to Government Transition

**Retool your basic assumptions...**

## The Non-Government to Government Transition

**A Federal job is a public trust**

## The Non-Government to Government Transition

**Federal corporate ethics are laws and regulations**
**Executive Orders**
**Federal Laws**
**Federal Regulations**

## Conflict of Interest in Research

**Conflicting Financial Interests**
**Impartiality in Performing Official Duties**
**Misuse of Position**
**Representation **
**Gifts**
**Activities with Outside Organizations**
**Seeking Other Employment**

## Conflicting Financial Interests

**Business thought says,**** **
- “*Put your money where your mouth is—invest in what you believe in!” *
**Federal thought says,**
- “*If the government pays you to work  on it, keep your personal finances     out of it.”*

## Conflicting Financial Interests

**Federal criminal law says that you cannot take official action in your job on matters that will have an effect on your personal financial interests**

## Conflicting Financial Interests

**They include:**
**Stocks, stock options, bonds**
**Mutual funds and sector funds**
**Salary, fees, honoraria, or other income**
**Invention rights and royalties**
**Employment interests--professional position or title**

## Conflicting Financial Interests

**Personal financial interests are those of: **
**Yourself**
**Spouse**
**Minor children or legal dependents**
**Organization in which you are a partner, officer, trustee, board member, employee**
**Organization with whom you are seeking employment**

## Conflicting Financial Interests

**Federal employees, researchers, medical personnel, administrators, contracting personnel, grants personnel, procurement personnel, and others holding positions of trust...**

## Conflicting Financial Interests

**Should not own >$5,000 in stock in the associated company**
**Should not have a spouse...working for the company**
**Should not have an outside activity with the company **
**Should not be negotiating for employment with the company**
**Should not accept sponsored travel/gifts from the company**

## Conflicting Financial Interests

**What should you do if you think you have a conflict of interest?**

## Conflicting Financial Interests

**DISQUALIFY **
**Stop, do not pass go, do not collect $200**

## Conflicting Financial Interests

**DISCLOSE **
** ****Contact your Ethics Official**

## Conflicting Financial Interests

**RESOLVE **
**Work out a Solution**

## Contacting NCI Ethics Officials

- _[nciethics-r@mail.nih.gov](mailto:nciethics-r@mail.nih.gov)_
**Bethesda Office 301-496-1148**
- Maureen Wilson, Ph.D., DEC, _[wilsonm](mailto:wilsonm@mail.nih.gov)__[@mail.nih.](mailto:wilsonm@mail.nih.gov)__[gov](mailto:wilsonm@mail.nih.gov)_
- Cheryl Lynn Nelson  _[nelsonc2@mail.nih.](mailto:nelsonc2@mail.nih.gov)__[gov](mailto:nelsonc2@mail.nih.gov)_
**Rockville Office 301-496-9950**
- Cynthia Morgan _[ ](mailto:Morganmorganc@mail.nih.gov)__[morganc](mailto:Morganmorganc@mail.nih.gov)__[@mail.nih.](mailto:Morganmorganc@mail.nih.gov)__[gov](mailto:Morganmorganc@mail.nih.gov)_
- Shari Wahlert _wahlerts@mail.nih.gov_
**Frederick Office 301-846-5286**
- Mary Gregg _[mgregg@mail.nih.gov](mailto:mgregg@mail.nih.gov)_
- Diane Christensen _[christdi@mail.nih.gov](mailto:christdi@mail.nih.gov)_

## Conflict of Interest in Research

**Conflicting Financial Interests**
**Impartiality in Performing Official Duties**
**Misuse of Position **
**Representation**
**Gifts**
**Activities with Outside Organizations**
**Seeking Other Employment**

## Impartiality in Performing Official Duties

***	******	******	******A Question of Fairness ***
**   ****You should not act on a matter if a reasonable person who knew the circumstances of the situation **
**Could legitimately question your fairness or**
**Imply bias or favoritism**

## Impartiality in Performing Official Duties

***What may imply bias or favoritism?***
**Acting in an ****official**** duty matter**
**Involving a relative who is not your spouse, minor child or legal dependent**
**Involving an organization in which your spouse, minor child, or legal dependent is seeking employment**
**Involving someone who paid you a salary, fee, honorarium,... within the last 12 months**
**Involving an individual with whom you have a close personal or professional relationship**

## Impartiality in Performing Official Duties

**What is the test for impartiality?**
**Would you be comfortable reading about it in the Washington Post?**
**Would you like your mom to read about it in the newspaper?**

## Impartiality in Performing Official Duties

**What do you do if you think you have a problem?**
**Contact an NCI Ethics Official**
- _[nciethics-r@mail.nih.gov](mailto:nciethics-r@mail.nih.gov)_
**Bethesda Office 301-496-1148**
**Executive Blvd. Office 301-9950**
**Frederick Office 301-846-5286**

## Conflict of Interest in Research

**Conflicting Financial Interests**
**Impartiality in Performing Official Duties**
**Misuse of Position**
**Representation **
**Gifts**
**Activities with Outside Organizations**
**Seeking Other Employment**

## Misuse of Position

**You cannot use your position with the Government             for your own personal gain or for the                              benefit of others---this includes:**
**Family**
**Friends**
**Neighbors**
**Charitable causes**
**Others**

## Misuse of Position

**Also, you may not use Government resources including:**
**Property -  phones,                                   computers, facilities**
**Time – yours or others**
**Non-public information**

## Conflict of Interest in Research

**Conflicting Financial Interests**
**Impartiality in Performing Official Duties**
**Misuse of Position **
**Representation**
**Gifts**
**Activities with Outside Organizations**
**Seeking Other Employment**

## Representation

**A Federal law prohibits employees from representing the interests of any individual or organization before any agency of the Federal Government with the intent to influence.**
***EXCEPT***
**Self**
**Spouse, minor children, and                                        legal dependents**
**Parents**

## Representation

**Examples:**
**Testifying in a Federal Court other than for the US Government**
**Appearing before Congress on behalf of an outside organization**
**Lobbying**
**Political Activities**
**Advocating for award of grant or contract**
**Representing a friend or neighbor before a branch of the US Government**
**Social Security**
**Peer Review**

## Conflict of Interest in Research

**Conflicting Financial Interests**
**Impartiality in Performing Official Duties**
**Misuse of Position**
**Representation**
**Gifts**
**Activities with Outside Organizations**
**Seeking Other Employment**

## Gifts

**You may not ask for or accept a gift from persons or organizations who:**
**Do business with or seek to do business with your agency**
**Seek official action by your agency**
**Are regulated by your agency**
**Have interests that may be significantly affected by you               when you are doing your job**
**Are giving you a gift because of your official positions**
**Gifts can be viewed as bribes under the law**

## Gifts

**What is a Gift?**
**Gratuity**
**Favor**
**Discount**
**Entertainment**
**Hospitality**
**Loan or Forbearance**
**Other item having monetary value**

## Gifts

**What is not a Gift?**
**Modest food and refreshments at a meeting**
**Loans generally available from commercial lenders**
**Benefits, rates, discounts generally available to the public or all Government employees**
**Plaques, certificates or trophies**
**Rewards or prizes given as part of public events**
**Pensions or other benefits from participation in an employee benefit plan**
**Anything bought or secured by the Government**
**A Gift accepted by the Government under law**

## Gifts

**What are exceptions to the gift provisions? **
**Gifts valued at $20 or less and no more than $50/source/year****                                                     ****NO CASH or SECURITIES!**
**Waiver of registration for a meeting at which you are speaking**
**Authorized**** ****attendance at a widely attended event of interest to your agency**

## Conflict of Interest in Research

**Conflicting Financial Interests**
**Impartiality in Performing Official Duties**
**Misuse of Position **
**Representation**
**Gifts**
**Activities with Outside Organizations**
**Seeking Other Employment**

## Activities with  Outside Organizations

***What you can do***
***Depends on what you do for the***
***Government***
***	******	******~Need prior clearance~***

## Activities with Outside Organizations

**Generally**
**Activities involving professional competence with organizations outside the Department of Health and Human Services**

## Activities with Outside Organizations

**Teaching and Speaking **
**Writing and Editing**
**Consulting/Advising**
**Legal Consulting/Advice**
**Outside Clinical Practice**
**Legal Advice**
**Serving on Boards and Committees**

## Activities with Outside Organizations

**Official - You represent the NCI**
**Related to ****professional and official**** competence**
**Use Government title and affiliation**
**Use Government resources**
**Use Government time**
**Use Government travel –sometimes reimburseable**
**May talk about current projects*****
**May serve on boards and committees*****
**May provide advice, but generally not consult*****
***	******	******	******     *********with limitations***

## Activities with Outside Organizations

**Personal - You represent yourself**
**Related to ****professional**** competence**
**May be compensated or uncompensated**
**May not use your Government title and affiliation**
**May not use Government resources if compensated**
**May not use Government time if compensated**
**May not use Government travel – may be reimbursed in certain circumstances**
**May not use non-public information or discuss your current projects within the last 12 months**

## Activities with Outside Organizations

**What if you can’t decide whether it is official business or personal activity?**
**Contact an NCI Ethics Official**
- _[nciethics-r@mail.nih.gov](mailto:nciethics-r@mail.nih.gov)_
**Bethesda Office 301-496-1148**
**Frederick Office 301-846-5286**

## Activities with Outside Organizations

**How do you obtain clearance?**

## Activities with Outside Organizations

***BEFORE YOU ACCEPT.....***
**Talk to your SUPERVISOR**
**Contact the Ethics Office**
-           _[nciethics](mailto:nciethics-r@mail.nih.gov)__[-r@mail.nih.gov](mailto:nciethics-r@mail.nih.gov)_

## Activities with Outside Organizations

***Before You Begin....***
**Clear through your ARC**
**Obtain Approval by submitting paperwork to the NCI ETHICS OFFICE Office nearest you.**
**Bethesda Office 31/4A48**
**Frederick Office 372/12**
**Executive Blvd 6116/Suite 600**
**Forms may be found at**** **_[http://ethics.od.nih.gov/forms.htm](http://ethics.od.nih.gov/forms.htm)_

## Conflict of Interest in Research

**Conflicting Financial Interests**
**Impartiality in Performing Official Duties**
**Misuse of Position **
**Representation**
**Gifts**
**Activities with Outside Organizations**
**Seeking Other Employment**

## Seeking Other Employment

**Federal criminal law says that you cannot   take official action in your job on matters    that will have an effect on your personal financial interests**
**The relationship developed in seeking employment is a financial interest**

## Seeking Other Employment

**What do you do if you wish to seek       outside employment?**
**DISQUALIFY – if needed**
**DISCLOSE – as necessary**
**RESOLVE – if required**

## Conflict of Interest Commandments

**Avoid Conflicting Financial Interests**
**Maintain Impartiality in Performing Official Duties**
**Don’t Misuse Government Position **
**Don’t Represent Outside Organizations to the Federal Government**
**Be Careful of Non-Feds Bearing Gifts**
**Get Prior Authorization for Activities with Outside Organizations**
**Avoid Conflict of Interest in Seeking Outside Employment**

## Media Inquiries

**Contact the Press Office when:**
**Your study is accepted for publication**
**A journalist calls you for an interview**
**You need background material for reporters**
**A development in your field is likely to generate media attention**
**General Contact Information**: 301-496-6641.       email:  mcneilc@mail.nih.gov

## Congressional Inquiries

- Call the Office of Congressional and Legislative Affairs:
-                 301-496-5217

## Legal Inquiries

- Contact the Office of General Counsel
-                      301-496-4108

## Conflict of Interest Commandments

**If you can’t figure it out...**

## Conflict of Interest Commandments

**Contact an NCI Ethics Official**
- _[nciethics](mailto:nciethics-r@mail.nih.gov)__[-r@mail.nih.](mailto:nciethics-r@mail.nih.gov)__[gov](mailto:nciethics-r@mail.nih.gov)_
**Bethesda Office 301-496-1148**
**Frederick Office 301-846-5286**
**Executive Blvd. Office 301-496-9950**
**For further information see**
- _[http://ethics.](http://ethics.od.nih.gov/)__[od](http://ethics.od.nih.gov/)__[.](http://ethics.od.nih.gov/)__[nih](http://ethics.od.nih.gov/)__[.](http://ethics.od.nih.gov/)__[gov](http://ethics.od.nih.gov/)__[/](http://ethics.od.nih.gov/)_
_**http://camp.nci.nih.gov/public/ethics/index.html**_