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THE JOHNS HOPKINS
BLOOMBERG SCHOOL OF PUBLIC HEALTH OFFICE OF THE DEAN Effective Date: January 23, 1990 POLICY AND PROCEDURE MEMORANDUM FACULTY - 4 SUBJECT: Conflicts of Interest and Commitment DEFINITIONS:
Conflict of Interest: Conflicts of Interest may take many forms but generally occur when a
faculty member’s obligations to the University could be compromised by his or
her external agreements, particularly financial ones that provide research or
other funding. They can also arise if a
faculty member engages in activities at another institution that directly
compete with activities of the Johns Hopkins University.
Conflict of Commitment:
A Conflict of Commitment occurs when a faculty members’ time and
attention devoted to external activities interferes with their ability to
fulfill their obligations to the School.
This
PPM applies to all full-time faculty.
In addition, there are disclosure requirements for any faculty member
(full- or part-time) involved in human subjects research. The
faculty recognizes its obligation to report extramural professional activities
annually and to seek prior advice on proposed extramural professional
activities which may present possible conflicts of interest or commitment with
responsibilities to the University. Appointment
to the faculty of The Johns Hopkins Bloomberg School of Public Health carries
the responsibility of directing one's principal professional effort and energy
to the objectives of the School through teaching, research, and service. External consulting and service activities
that provide for maintenance and development of professional skills, facilitate
the transfer of basic knowledge, and contribute to the richness of the academic
experience are faculty privileges and are encouraged. External activities shall not interfere with the timely and high quality performance of research, professional practice, academic (including teaching) and service roles in the School. Some
consulting activities may represent possible conflicts of interest and/or
possible conflicts of commitment. In
order to preserve the public trust, prior to entering into an external
agreement, each individual shall report his/her external professional
activities to their department chair.
Free disclosure is the best preventive measure against uncertainty. Identification
of possible conflicts of interest and/or commitment is the responsibility of each individual faculty member. Potential conflicts are best resolved, a priori, by good faith discussions between faculty members and
department chairs or the dean of the School, and, in the case of a conflict of
interest, with the Committee on Conflict of Interest. The
following are implementation guidelines for Conflict of Interest and Conflict
of Commitment, designed to clarify the School's policy statement adopted
December 21, 1981. IMPLEMENTATION
GUIDELINES CONFLICT OF
INTEREST AND COMMITMENT Full-time
appointment to the faculty of The Johns Hopkins Bloomberg School of Public
Health signifies peer recognition of the individual's achievements and
excellence in academic areas of research, teaching and service. To those appointed to its faculty, the
School endeavors to provide an environment that will serve to enhance and
further academic careers and accomplishments.
The acceptance of a full-time faculty appointment connotes the
individual's willingness to commit to the School his or her primary professional
efforts in research, teaching and service.
In this regard, the individual agrees to give highest priority to
meeting the academic and professional objectives of the School over external
interests and goals. Academic
and professional activities may be classified into two broad categories: those
that are internal and those that are external to the University. Internal
professional activities include all sponsored projects (grants, contracts,
etc.) administered by the University and activities supported by University
general funds such as teaching, scholarship (research or professional practice)
and service conducted as a University employee. External activities are those not meeting the above criteria and
would include, for example, services as a consultant for remuneration, service
on public or private boards and advisory committees whether compensated or not,
possessing an ownership interest in a private business or assuming significant
academic activities at another institution. An
arrangement to undertake an external activity with a commercial organization,
or a public or private institution or agency (other than The Johns Hopkins
Bloomberg School of Public Health), in a teaching, research or consultant
capacity should be made only after appropriate disclosure and serious consideration
of the potential for or appearance of a conflict of interest and commitment is
given. In addition, faculty members are
expected to be discriminating in the selection of external activities in order
to avoid impairment of the University's reputation and that of its
faculty. Faculty should avoid
activities that could be perceived as compromising their basic scholarly
independence and freedom of action that are central to university life. Where there is the possibility or appearance
of a conflict between a faculty member's obligations to another organization
and those to the University, the faculty member must discuss and then disclose
in writing his or her plans with the department chair (or, if a department
chair, with the dean) before making a decision. I. Written
Disclosure of Potential Conflicts of Commitment is Required Extramural
consulting and service activities that provide for development and maintenance
of professional skills, facilitate the transfer of basic knowledge, and
contribute to the richness of the academic experience are faculty privileges
and are encouraged. To be certain,
however, that these privileges are not abused, each department chair, along
with his/her faculty, shall monitor the level of commitment to external
activities to ensure they do not interfere with acceptable performance of the
faculty member’s commitment to the School.
Indicators of “acceptable” performance might include the following: ·
Meeting
expectations as an adviser, including being accessible to advisees and responsive
to requests for review of proposal and thesis ·
Meeting
expectations for publishing scholarly works ·
Providing
high quality course instruction, supported by student evaluations, among other
indicators ·
Serving
on relevant national, state, and local advisory committees, participation in
professional meetings and societies, service on editorial boards or serving as
a journal editor, and service on grant review committees ·
Serving
on School and departmental committees, including evidence of regular attendance
and participation ·
Meeting
financial and project expectations on funded research as PI or co-investigator ·
Meeting
salary support expectations from restricted fund sources ·
Managing
technology transfer and patents and/or licenses derived from research Faculty need to carefully
consider the potential for a conflict of commitment when agreeing to provide
external consulting and advisory responsibilities. Prior to making commitments that could conflict with full-time
research, teaching, and/or service responsibilities, advice should be sought
from the chair or immediate supervisor. II. Guiding
Principles for Conflict of Interest 1. All financial and fiduciary interests that
might appear to present a conflict of interest related to research activities must be reported to and reviewed by the Committee on Conflict of Interest. 2. There is no “de minimus” level below which a
financial interest is exempt from reporting. 3. The Committee on Conflict of Interest may
recommend either prohibition of the proposed research activity or procedures
for management of the conflict of interest. 4. All full- and part-time faculty may not participate in
research projects involving human subjects while having a significant financial
interest in the research project or in a financially interested company. Exceptions may be granted if the investigator provides the Conflict of Interest Committee with a compelling
justification for participating in a specific research project while
maintaining certain significant financial interests. 5. Faculty shall not participate in outside
research or educational activities that compete significantly with similar
programs at institutions outside of the Johns Hopkins University. Full
written disclosure is the best preventive measure to avoid any conflict or
appearance of conflict between the obligations of members of the faculty to the
University on the one hand and personal interests and other competing
activities on the other. Members of the faculty must disclose in writing all
external activities which pose an actual or potential conflict of interest or
which appear to pose a conflict of interest.
A determination as to whether a conflict of interest exists or will
arise in a particular situation will always be a matter of individual judgment
based on all the facts. While informal
discussion with the department chair, associate dean for graduate education and
research, or other University officials may guide a faculty member's decisions,
the faculty member also must make a written statement of disclosure whenever
consideration is given to entering into an arrangement which may conflict or
appear to conflict with that faculty member's obligation to the
University. If University students or
staff are in any way associated with, or their efforts committed by, the
proposed arrangement, the nature and extent of their involvement must be
explicitly outlined regardless of whether academic credit is provided for the
experience or separate remuneration is paid to them. This information should be
provided at least two weeks prior to the planned execution of any agreement. It is the responsibility of the department chair or
other University official to respond in writing to the faculty member within
two weeks of receipt of a written disclosure of a potential conflict of
interest. Should the response be a
request for further information before a decision can be made, the faculty
member must postpone the new arrangement until permission is given. The circumstances under which written
disclosure must be made are described in Section III below. III. Written
Disclosure of Conflict of Interest and/or Commitment Must be Made at the Time
the Activity is Proposed. The purpose of the following list is to assist
members of the faculty in recognizing those situations presenting a possible
conflict of interest and/or commitment.
It is not intended to place specific restrictions on external activities
or situations requiring disclosure or to inhibit members of the faculty from enlarging
their professional activities and involvement. Trust, good faith and candid discussion of
controversial issues among colleagues have always been central to the life of
this School. The activities of faculty
members must be governed by thoughtful and shared consideration of particular
circumstances, rather than rigid rules.
The requirement for disclosure in the situations outlined below is meant
to ensure that all possible situations involving conflicts of interest will be
considered candidly and fairly.
Disclosure thus serves to protect individual faculty members, the Johns
Hopkins University, and academic freedom in general. Written disclosure must be made promptly in any of the following
circumstances: 1. Whenever the name of The Johns
Hopkins University or any of its schools or divisions might be used by another
party. Since an academic relationship can be of
great value to a non-university organization, opportunities for external
activities may be offered to faculty in part because of their association with
The Johns Hopkins Bloomberg School of Public Health. It must be remembered that there is no way to separate a faculty
member completely from his or her association with the University. Disclosure prior to undertaking an external
activity or arrangement serves to protect the faculty member and the University
from possible disrepute or embarrassment and the faculty member from making
commitments that interfere with their primary obligations to the School. Faculty members must be discriminating in
the selection of external activities, regardless of whether they are
professional or non-professional in character, or whether the obligation is to
be discharged in "off hours" or during vacation. Any written agreement with a faculty
member directly or indirectly providing an external organization with an
opportunity to use the name of The Johns Hopkins University (or any derivative
such as "Johns Hopkins" or "JHU"), or any of its schools or
divisions, must be approved by appropriate University and School authorities. 2. Whenever a proposed arrangement
involves or commits the use of facilities or resources belonging to The Johns
Hopkins University. Under normal circumstances,
adequate disclosure can be made by following the standard procedure of proposal
(grant/contract) review in the faculty member's department and by the Research
Administration Office prior to obtaining final institutional signature.
However, in some cases, additional information may be necessary if, for
example, the University will be investing its resources and sharing in the
risks of a venture. The University's
policies on technology transfer, copyrights and inventions are stated in the
Intellectual Property Policy
adopted by the Board of Trustees on June 8, 1992, with minor modifications made
by the Provost on October 29, 1992.
That policy allows each division to implement an individual Intellectual
Property Policy within the parameters established by the University-wide
policy. Closely following the model of
the University-wide Intellectual Property Policy, the School of Public Health
adopted its Intellectual Property and Equity Policy
on February 23, 1993. 3. Whenever an external arrangement
provides for transfer of intellectual or tangible property rights including
patent ownership or licensing to an organization other than the University. A faculty member must disclose any
relationship he or she is considering or is engaged in with another
organization when any of the following conditions are part of the arrangement:
(a) the organization anticipates or is currently providing financial or other support
for the faculty member's work; or (b) the organization has requested use of
intellectual property (e.g., inventions, know-how) or tangible property (e.g.,
research materials) or original works or authorship (e.g., computer software)
of that faculty member's scholarly work or the work of a subordinate faculty or
staff member. The University's
Intellectual Property Policy
describes fully the University's position on these matters. 4. Whenever an external arrangement
(sponsored research or professional practice/consulting) is being considered
that would restrict the faculty member's public disclosure of the existence of
the arrangement. It is the University's
policy that a faculty member must not
undertake any activity in which the sponsor requires confidentiality of
sponsorship. 5. Whenever an external arrangement
would restrict the faculty member's public disclosure of information developed
by the faculty member. In the case of a relationship with an
external organization, the faculty member must ascertain whether there are
requirements for confidentiality that might compromise his or her own
fundamental rights of academic freedom or those of other faculty members or
students. Academic freedom means, in
part, unhindered discussion and publication of results of research. 6. Whenever a faculty member's
relationship to an external party might appear to influence either the conduct
of the University's business or the conduct of research within the University. 7. University policy states that a
faculty member (and the faculty member's spouse and dependent children) may not
hold or control stock (excluding mutual funds) in a company that is supporting
concurrently his or her academic work thorough financial or in-kind means. Therefore, the following situations also require disclosure: ·
Ownership
interests in any organization benefiting from a faculty member's research or
practice activities and/or; ·
Situations
in which a faculty member is in a position to influence University decision
making regarding purchasing products or services from an organization in which: §
The
faculty member holds an equity interest (equity is defined as stock or stock
options owned directly, through partnerships, trusts, or corporations, by the
faculty member; ownership of mutual funds is excluded); §
The
faculty member holds a position in the organization or on its governing Board;
or §
The
faculty member serves as a paid or unpaid consultant to the organization. 8. Disclosure must be made of a
relationship with an organization when the organization proposes to conduct
business with the University (or an affiliated organization) under
circumstances that the faculty member may influence or may appear to influence
the decision-making process on behalf of either party. IV. Procedures
for Annual Reporting On an annual basis, all faculty to whom this PPM
applies (see Policy) are expected to report in writing concerning: 1.
ownership
of any equity interest in any firm that supports (or has been asked to support)
his or her scholarship (research or professional practice, teaching or service,
(this includes participation in a Small Business Innovation Research [SBIR] or
Small Business Technology Transfer [STTR] grant)); 2.
ownership of any equity interest in
any firm that is developing or marketing commercial products based on his or
her scholarship (research or professional practice), teaching or service; and 3.
circumstances in which the faculty
member directly or indirectly profits from the selection of a University
supplier or contractor because the faculty member: (a) holds an equity interest
in, (b) holds a position or serves on the governing board of (c) serves as a
paid consultant to, or (d) receives other direct compensation from the supplier
or contractor, 4.
teaching at another institution for 8 or more hours and 5.
all paid and unpaid consulting activities. Faculty will complete the Annual Report Form and
return it to the assistant dean for research administration no later than the
15th of January each year. The Conflict
of Interest Committee will review the forms and request additional information
in cases where there appears to be a conflict or the potential for one. Once all information has been collected and
decisions made, the forms will be returned to the chairs for their review and
questions back to the Committee. This Annual Reporting Form will be in addition to
any disclosures made during the year as discussed in section III above. V. Conflict of Interest Resolution
If, at the time disclosure
is made, on the Annual Report or at other times during the year, the Committee
on Conflict of Interest concludes that the ongoing or proposed activity
presents an actual or apparent conflict of interest which must be discontinued,
the faculty member may make an appeal to a faculty committee. The appeal shall be made in writing setting
forth the grounds for the appeal and must be received by the dean within two weeks
following the date of the decision from which the appeal is taken. The faculty committee shall be comprised of
three members of the full-time faculty of the School, one appointed by the
faculty member, one by the department chair and one by the dean. In the case of an appeal by a department
chair, the Committee shall comprise three members, one appointed by the dean, a
second by the department chair, and a third member to be selected by agreement
of the dean and the department chair. Should the faculty member dispute the
decision of the faculty committee, he or she may appeal the decision to the
Provost. The appeal must be in writing
setting forth the grounds for the appeal and must be received by the Provost within
two weeks following the date of the faculty committee's decision. The decision of the Provost in the matter
shall be final. VI. Conflict of Commitment Resolution If, at the time disclosure
is made, on the Annual Report or at other times during the year, the faculty
and the department chair will work together to resolve the conflict. In the event a mutually agreeable solution
cannot be reached, the faculty member may make an appeal as detailed in section V above. VII. Confidentiality
of Disclosures All reports in which equity holdings are disclosed
shall be maintained in a secure location, separate from other faculty
records. Access to these reports shall
be limited to the department chair, the associate dean for graduate education
and research, the assistant dean for research administration, the dean, and the
faculty committee hearing any appeal.
The Provost and the President shall have access to the records/reports
in the case of any appeal. Under
ordinary circumstances, reports will be maintained for five years and then destroyed. |
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