Introduction to Individual Conflict of Interest

About Conflict of Interest (COI)

Increasingly, Penn State researchers, including faculty, students, staff, administrators, and other University officers, have interests and ties outside the University. Some of those outside interests and ties are to private industry through privately-funded research, consulting practices, or individual entrepreneurial activity and are considered financial in nature. However, not all outside interests are financial. Non-financial outside interests might be based upon personal values and beliefs, a desire for career advancement and enhanced reputation, the need for publishable results, conflicting time commitments, and personal and family relationships. Outside ties or outside interests do not automatically present conflicts of interest for researchers; however, such outside interests can present the potential for a real or perceived conflict of interest between a researcher's outside interests and his or her research and other University activities.

The challenge for Penn State researchers today, then, is not to abandon all outside interests or activities, but to balance and manage those outside interest with their Penn State research and other scholarly activities. To that end, Penn State has in place several resources to help ensure the proper balance and management of interests and to aid researchers in complying with their duty to report outside financial or business interest appropriately. These resources include the Individual Conflict of Interest Policy (RA20), the Conflict of Interest Committee ("COIC"), and the Conflict of Interest ("COI") staff in the Office for Research Protections ("ORP").

Penn State adopted its Individual Conflict of Interest Policy, RA 20, in order to protect the reputation and the research and other scholarly activities of Penn State researchers, to enhance the public's trust in these activities and to comply with Federal regulations, policies and recommendations. RA 20 defines an individual conflict of interest as "situations in which financial considerations may compromise, or have the appearance of compromising, an employee's professional judgment in designing, conducting, evaluating, or reporting on University Research and Technology Transfer programs and other scholarly activities." Under RA 20, all researchers have a duty to report to their department and to the COIC their significant financial or business interests, which are then confidentially reviewed by the department and the the COIC. If the interests are found by the COIC to present the potential for a real or perceived conflict of interest for the researcher, then the COIC and COI staff will work together with the researcher to properly manage the individual's research or other scholarly activities in order to minimize or manage the potential conflict. The determination that a real or perceived conflict of interest is present is NOT a determination that a researchers has acted inappropriately or unethically.

The issue of conflicts of interest in research is becoming ever more prominent in the research community and in the national media. Because of this increased scrutiny on researchers' outside interests and based upon Penn State's overall goals and mission, it is especially important for researchers here at Penn State to be sure they identify their significant financial or business interests, report those interests appropriately, and take any necessary steps, in cooperation with their department, the COI staff and COIC, to manage the real or perceived conflict effectively.

**Please note that Penn State has policies governing two separate types of Conflict of Interest:

The ORP covers two areas of Conflict of Interest:

To learn more details about the reporting requirements of each, click on the links provided above.