Ohio Administrative Code › Title 3341 - Bowling Green State University › Chapter 3341-7 - Research › Section 3341-7-01 - Conflict of interest in sponsored programs and research

Current
			 through all regulations passed and filed through July 1,
			 2024
(A)
								Policy statement and purpose
It is the purpose of this policy to set
				forth the principles for identifying potential for conflicts of interest and
				the assurance that they do not improperly affect university activities and the
				procedures for reviewing and addressing potential conflicts that
				occur.
(B)
								Policy
Bowling Green state university actively
				encourages and participates in interaction with both the public and private
				sectors as an important component of its research, education, and public
				service activities. The university encourages the recruitment, retention, and
				recognition of individuals with creative abilities who can contribute to
				technology transfer and interactions with external entities (both private and
				public) consistent with their primary commitment to the university. For the
				purpose of this policy, external entity means any corporation, partnership,
				sole proprietorship, firm, franchise, association, organization, holding
				company, joint-stock company, receivership, business or real estate trust, or
				any other non-governmental legal entity organized for profit, not-for-profit,
				or charitable purposes. Employees involved in such interactions may receive
				personal financial compensation in accordance with the principles and
				guidelines provided in this policy. Activities supported by grants and
				contracts from public and private entities provide a valuable source of funds
				and equipment for the university. Professional interactions, including
				consulting arrangements, between employees and public entities and private
				businesses advance the university's ability to provide a high quality research
				and educational experience for students and enhance employment opportunities
				for students. University licensing of technology, employee's consulting,
				assisting in new business start-ups, and other forms of technology transfer to
				both public and private entities are critical to meeting society's needs. The
				university is committed to fostering the welfare of the state of Ohio through
				interaction by the university with other public and private
				entities.
At the same time, the university and
				its employees are committed to conducting themselves and university activities
				in accordance with the highest standards of integrity and ethics. This includes
				the identification of the potential for conflicts of interest and the assurance
				that they do not improperly affect university activities. It is the purpose of
				this policy to set forth the principles for identifying such potential for
				conflicts and the procedures for reviewing and addressing potential conflicts
				that occur.
(1)
									A conflict of interest occurs when an employee
			 compromises his/her professional judgment in carrying out university teaching,
			 research, outreach, or public service activities because of an external
			 relationship that directly or indirectly affects the significant financial
			 interest of the employee, an immediate family member, or any associated entity.
			 University employees are free to have financial interests in private companies.
			 Modest holdings do not fall under the purview of this policy. Nevertheless,
			 there is the potential for a conflict of interest when an employee, an
			 immediate member, or an associated entity has a significant financial interest
			 in a business. Thus, it is imperative that such interests be disclosed and, if
			 necessary, appropriate steps taken to insure that the employee's professional
			 judgment is not compromised.
A financial interest is an interest in
				an external entity consisting of: any stock, stock option, or similar ownership
				interest in such business, but excluding any interest arising solely by reason
				of investment in such business by a mutual, pension, or other institutional
				investment fund over which the employee does not exercise control; or receipt
				of, or the right or expectation to receive, any income from an external entity
				whether in the form of a fee (e.g., consulting), salary, allowance,
				forbearance, forgiveness, interest in real or personal property, dividend,
				royalty derived from the licensing of technology or other processes or
				products, rent, capital gain, real or personal property, or any other form of
				compensation, or any combination thereof. For the purposes of this policy, a
				financial interest is significant, and thus disclosure is required, when the
				interest in a business by an employee or by an immediate family member exceeds
				five thousand dollars in annual income of all types, or when there is any
				equity or ownership. Disclosure is also required when an extended family member
				holds a financial interest valued at ten per cent or more in an external
				entity.
There is also the potential for a
				conflict of interest when an employee, or any family member, serves on the
				board of directors or the advisory board of a business, or holds an executive
				position in a business. This does not mean that direct involvement in a company
				is necessarily precluded. Indeed, such involvement can be of important benefit
				to the research/instructional mission of the university by providing students
				with experience at the academic/industrial interface. But service on boards or
				in executive positions does create the potential for a conflict of interest.
				Thus, it is imperative that service in these capacities be disclosed and, if
				necessary, appropriate steps taken to insure that the employee's professional
				judgment is not compromised.
The potential for conflicts arises
				because of the nature and scope of employee's activities and responsibilities.
				The university assumes that potential for conflicts may occur in the normal
				conduct of activities. However, it is essential that the potential for
				conflicts be disclosed and reviewed by the university. After disclosure, the
				university can then make an informed judgment about a particular case and
				require appropriate oversight, limitations, or prohibitions on the activity in
				accordance with this policy.
Employees are encouraged to participate
				in technology transfer activities and other interactions with external
				entities. Such activities, referred to in this document as external
				relationships, may have the potential for conflicts of interest. This policy is
				predicated on the belief that disclosure of potential conflicts of interest
				itself will effectively address the vast majority of cases. In those few cases
				in which measures need to be taken to effectively manage potential conflicts of
				interest, the goal is to insure that the employee's professional judgment is
				not compromised while maintaining the benefits that result from entrepreneurial
				activities and external relationships.
(a)
										Significant
			 combinations of activities and external relationships
The potential for a conflict of
				interest arises when certain behaviors on the part of the employee occur and
				are coupled to the existence of certain external relationships. Some
				combinations are assumed to not have potential for a conflict of interest.
				Other combinations represent sufficient potential for conflict of interest that
				they require review and prior approval by the university before the employee
				can engage in the activity.
The following is a representative,
				though not inclusive, list of activities and external relationships covered by
				this policy. The categories are general guidelines, and application of
				appropriate review and oversight will always be in accordance with maintaining
				the full integrity or reputation of the university and its employees within the
				context of academic freedom.
Any combination of activity and
				external relationship not specifically represented in
											
				paragraph (B) (1) and paragraph (B) (2) of this policy and that an employee
				reasonably believes constitutes a potential conflict of interest must be
				discussed with the vice president for research & economic development in
				order to determine whether or not it falls under the provisions of this
				policy.
(b)
										Category I-relationships that do not involve a conflict
			 of interest. The following are not considered conflicts of interest and do not
			 require disclosure. They are appropriate, if they are consistent with other
			 policies of the university including the patent policy and copyright
			 policy.
(i)
											An
			 employee receiving royalties and honoraria for published scholarly works,
			 occasional lectures, and other writings or creative works if less than five
			 thousand dollars aggregate over the previous twelve months from a single
			 entity.
(ii)
											An employee receiving honoraria for serving as a
			 special reviewer or serving on review panels for academic or governmental
			 entities.
(iii)
											An employee receiving royalties under the university's
			 royalty-sharing policies, or another academic institution's royalty-sharing
			 policies if less than five thousand dollars aggregate over the previous twelve
			 months from a single entity.
(c)
										Category
			 II-combinations of activities and external relationships that have the
			 potential for conflict of interest. The following combinations range from those
			 that are considered to have minimal to moderate potential for conflict of
			 interest to those that have a moderate to high potential for conflict of
			 interest. The activities in section A are ordinarily appropriate following
			 disclosure and, where necessary, the implementation of oversight or other
			 management procedures. The activities and external relationships listed
			 in
										
			 paragraph (B) of this policy equire case-by-case review and only some of the
			 specific relationships may be approved. Special oversight or management
			 procedures are likely to be required.
(d)
										Section
			 A-combinations of activities and external relationships in which there is a
			 minimal to moderate potential for conflict of interest
(i)
											An employee
			 participating in research on a technology, process, or product developed in
			 whole or in part by that employee in which the employee, a member of his/her
			 immediate family, or an associated entity is entitled to receive royalties from
			 an existing agreement with an external entity under the university's or another
			 academic institution's royalty-sharing policies, but has no other financial
			 interests in the project.
(ii)
											An employee
			 assigning students, postdoctoral fellows, or other trainees to research
			 projects in which the employee, a member of his/her immediate family, or an
			 associated entity is entitled to receive royalties from an existing agreement
			 with an external entity under the university's or another academic
			 institution's royalty-sharing policies, but has no other financial interests in
			 the project.
(iii)
											An employee assigning students or other trainees to
			 instructional projects, for example, design projects, for an external entity in
			 which the employee, a member of his/her immediate family, or an associated
			 entity has a significant financial interest.
(iv)
											An employee
			 receiving reimbursed or sponsored travel related to their institutional
			 responsibilities from an external entity. Excluded is travel that is reimbursed
			 or sponsored by a federal, state, or local government agency, and institution
			 of higher education as defined at
			 20 U.S.C.
			 1001(a), an academic
			 teaching hospital, a medical center, or a research institute that is affiliated
			 with an institution of higher education.
(e)
										Section
			 B-combinations of activities and external relationships in which there is a
			 moderate to high potential for conflict of interest
(i)
											An employee
			 participating in clinical trials or evaluation or development of a technology,
			 process, or product owned or controlled by an external entity in which the
			 employee, a member of his/her family, or an associated entity has a significant
			 financial interest.
(ii)
											An employee assigning students, postdoctoral fellows,
			 or other trainees to projects supported by an external entity in which the
			 employee, a member of his/her family, or an associated entity has a significant
			 financial interest, other than royalty income or the entitlement to future
			 royalty income under university royalty-sharing policies.
(iii)
											An employee
			 receiving university-supervised sponsored project support (whether in dollars
			 or in kind) for research from an external entity in which he/she, a member of
			 his/her family, or an associated entity has a significant financial interest,
			 other than royalty income or the entitlement to future royalty income under
			 university royalty-sharing policies.
(iv)
											An employee
			 receiving sponsored project support from an external entity in which the
			 employee or a member of his/her family serves on the board of directors or
			 advisory board.
(v)
											An employee holding an executive position in an
			 external entity engaged in commercial or research activities directly related
			 to his/her university responsibilities.
(vi)
											An employee
			 taking administrative action on behalf of the university with respect to the
			 university or any university-affiliated organization that is beneficial to in
			 which he/she, a member of his/her family, or an associated entity has a
			 significant financial interest.
(vii)
											An employee
			 taking administrative action on behalf of the university with respect to any
			 supported research activity (a sponsored project) for an external entity in
			 which the employee, a member of his/her family, or an associated entity has a
			 significant financial interest in the sponsor or donor.
(viii)
											An employee
			 while acting in the context of his/her university duties making professional
			 referrals to an external entity in which he/she, a member of his/her family, or
			 an associated entity has a significant financial interest of which the employee
			 is aware or reasonably should be aware.