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Re: Conflict of Interest Herbert B. Chermside 26 Jan 1999 11:14 EST

Your questions suggest a propensity to be very limiting and controlling
with the policy currently envisioned.

COI is a VERY complex issue, usually confounded by multiple policies
imposed by multiple external ources.  It is an exercise in regulating
behavior according to some standard of morality/ethics -- and we all know
that it is impossible to reach a strong agreement an to what is moral and
what immoral.  Or, as to what is germain to a given situation and what not.
 Certainly there is some agreement among many individuals as to what a
minimum standard should be; if you are very lucky, you will create a  COI
policy, and system for enforcing it, which is acceptable to a sufficient
majority of your constituents that it will be followed rather than ignored
or circumvented.

Caveats having been stated, our answers are interspersed.  Also I have
posted at
http://views.vcu.edu/views/ospa/dwnloads/coisrava.ppt
a copy of a PowerPoint presentation I gave recently on the subject.  I will
leave it posted there one week.

See VCU's OSPA web page for discussion of all COI relevant to our PI's. Go to
http://views.vcu.edu/views/ospa/OSPA_Guidelines/App_Proc.html
and scroll down near bottom (page is too long, but will be a while till we
can spend time revising!)

At 06:08 PM 1/25/99 EST, you wrote:
>We are reviewing our conflict of interest policy and would appreciate
>receiving the following information.  We will be happy to submit copies
>of responses to the participants of this survey.

Please do.

 Please list your
>institution, your name and your title.  If you are not the person
>responding directly, please let us know who provided the information.
>
>1.  Does your university have a standing committee which reviews
>conflict of interest cases?

No

 What level university official was (is)
>responsible for developing the policy?
Title

Director, Sponsored Programs ensured that it was done and managed most of
the process, to the extent that the University had any discretion.

>
>2.  Which university office screens awards and proposals to determien if
>there is a possible conflict?  List office and person's title which
>screens.

PI self report is prime notice of need for any review.  Office of Sponsored
Programs   a) requires a "declaration of interest" form for each  sponsored
project with a for-profit sponsor (relates to state COI law),  b) has
question regarding financial interests on internal approval sheet (relates
to policy engendered by PHS/NSF regulations).

Suggest that checking out each proposal by some central staff is waste of
resources and will be perceived by PI's as police state activity.
>
>3.  If you use a committee, does the committee screen all cases, or only
>those that indicate there is a possible conflict?

No Committee

Could we have a copy
>of the screening form via email?  What benchmarks are used to determine
>a possible conflict?  Dollar amount or other.

$10,000/yr income and/or 3% ownership in entity  --  luckily, we were able
to influence levels selected by PHS/NSF to meet state regs, or we'd have
differing standards!!

>
>4.  If a faculty memeber indicates that he many have a conflict, how is
>the conflict managed-- examples.

Re State COI law, there is a procedure by which the VP Research can make a
determination that it is to the benefit of the University to undertake the
contract which would otherwise be prohibited under COI law.

Under policy responsive to PHS/NSF regs, conflict can be managed.  Follow
up would be part of management plan.  We have set it up so that PI suggests
management plan and central authority ( a small committee set up to support
director, Sponsored Programs) approves or rejects.  Concept is that PI is
pest placed to know how to manage the conflict, and, unless the PI is
trying to get away with something,it will be a good plan.  If the PI is not
acting in good faith, the subcommittee is expected to detect that and veto
plans until one appears to meet the communal expectation of "ethical
behavior".  So far, PI's seem to think that is a reasonable process.

Is there any routine follow up to
>determine if he follows through with the management plan?  Examples.
>
>5.  Does the form indicating a possible conflict go the the Chair,
>Provost, Dean, Counsel's office?  All above, other?

There is awareness by these academic managers (but not Counsel) of the
possible conflict, because they see the internal routing sheets, but they
do not become privy to the financial details of a possible conflict.  The
faculty members involved in creating one policy were explicit that such
financial details should not be given to chairs or deans, as a way to avoid
having the setting of salary influenced by knowledge of any other inclme
the individual PI might have.  If reporting on state form (state COI law)
is involved, those forms are explicitly designed to show only a few ranges
of value, rather than specific value -- I believe it is because the
legislators, who designed the form (and have to report on iot themselves)
wanted to minimize the detail available.

>
>6.  What fields of research are most often involved with potential
>conflicts?

For us, life sciences/health sciences, for the two reasons that those are
our big fields of research and that those fields have (and the University
encourages) much professorial entrepreneurship.
>
>7.  How many cases were reviewed last year for potential conflicts?

Several

How
>many were considered conflicts?

About half involved a possible conflict or a clear appearance of conflict.

Were there any awards turned down
>because the conflict couldn't be managed?

No.

>
>8.  What steps do you consider most helpful in managing conflicts?

Enlisting the conflicted person in developing the management plan.
>
>9.  What are the most significant issues universities need to address in
>managing potential conflicts?

a) avoid witch hunts
b) always use the "[insert name of your most yellow journalism daily paper]
Test", i.e., do you want it reported on the front page, either that your PI
is "getting away" with something, or that Nasty U. is improperly
restraining its faculty members.
c) Times change, perceptions change, etc.  Don't cast in stone something
which would hurt if dropped on your toe!
d) do not set the level of ethical behavior any higher than society's
lowest mean acceptable standard.

>
>10.  What complaints, if any have faculty had in filling out forms
>relative to conflicts?

"Too much @#$%*&#$ bureaucracy!"
>
>If you wish to fax your responses, our fax is 215/204-7486.

Thanks for the opportunity to put in my two cents worth on a subject that
concerns me.  Thirty five years ago I "knew" what a scientist's ethical
standards were.  I haven't changed my expectations.  But I am distressed
a) that some people apparently never learnmed any standards, and   b) there
are so many prople out there who think you can legislate morality/ethics.
It's a MESS!! out there.

Chuck

>
>I want to thank you for your assistance in this and I look forward to
>your responses.
>
>William R. Tash, PhD
>Vice Provost for Research
>Temple University
>Philadelphia, PA  19122
>
>
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Herbert B. Chermside, CRA
Director, Sponsored Programs Administration
Virginia Comonwealth University
PO BOX 980568
Richmond, VA  23298-0568
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