The UO's Conflict of Interest, Conflict of Commitment, and Outside Activities Policy and the Financial Conflict of Interest in Research Policy are nuanced, and employees often have questions.
Below are the most commonly received questions related to each policy. If you don't see a response to your question or you would like a consultation, please contact us.
Frequently Asked Questions
FAQs for the Conflict of Interest, Conflict of Commitment, and Outside Activities Policy
- Who is subject to the UO's Conflict of Interest, Conflict of Commitment, and Outside Activities Policy?
- What activities do I need to disclose?
- What counts as "significant participation in the day-to-day operations" of an entity?
- I do consulting. Do I need to disclose it?
- What things should I consider if I accept a secondary position or a second job?
- What's a conflict of commitment?
- Does the COI/COC Policy apply to only new activities and ownership of equity or do I have to disclose past activities?
- Can I use my UO laptop in my outside activity?
- How often do I need to disclose under the COI/COC Policy?
- My supervisor already knows what I am doing outside of work and is fine with it. Do I still need to disclose anything under the COI/COC Policy?
- How long does review of a disclosure and approval under the COI/COC Policy take?
- What is a management plan?
- Are disclosures and management plans made public?
- I have concerns about another UO employee’s outside activity. Who can I talk to?
FAQs for the Financial Conflict of Interest in Research Policy
- Who is subject to the UO's Financial Conflict of Interest in Research Policy?
- If I am PI on a grant, do I need to submit two disclosures, one for the COI/COC Policy and one for the FCOI Policy?
- How often do I need to disclose under the FCOI Policy?
- How long does review of a disclosure and approval under the FCOI Policy take?
- What is a management plan?
- I have concerns about another UO employee’s outside activity. Who can I talk to?
Conflict of Interest, Conflict of Commitment, and Outside Activities Policy
A: All UO employees are subject to the COI/COC Policy. This includes faculty, officers of administration, classified staff, professors emerit, and those on courtesy appointments, even if those appointments are unpaid.
Q: What activities do I need to disclose?
A: You should disclose any activity or financial interest of yours as an employee, your relatives, or any business with which either is associated that could or would be impacted by you acting in your capacity as a UO employee. Generally, you need to disclose:
- Equity ownership in a company that carries on activities closely related to your UO job duties or within your field of expertise. This includes ownership of a consulting entity.
- Outside activities performed in exchange for equity ownership in a company that carries on activities closely related to your UO job duties or within your field of expertise.
- Outside activities closely related to your UO job duties or within your field of expertise that could lead to research and development or to the creation of technological improvements, innovations, or software.
- Management or significant participation in the day-to-day operations of an entity that carries on activities closely related to your UO job duties or within your field of expertise.
- Employment of UO students in your outside activity who you also teach, directly supervise, or formal advise.
What Activities to Disclose for the COI/COC Policy
What Activities to Disclose for the FCOI Policy
Q: What counts as "significant participation in the day-to-day operations" of an entity?
A: Full-time UO employees are expected to ensure their primary work responsibilities are to the UO. Generally, titles like executive director, founder, or CEO at an outside activity indicate that the commitment rises to "significant participation."
Managing an operation, running a business, or supervising a team at an outside entity is more likely to create a conflict of commitment with your UO responsibilities in addition to presenting a conflict of interest.
Chairing a board or serving as an editor-in-chief for an academic journal, however, typically don't rise to the level of "significant participation."
Q: I do consulting. Do I need to disclose it?
A: Maybe. If you are consulting as an individual or a sole proprietor, you don't need to disclose the activity so long as:
- There is no conflict of commitment.
- The consulting doesn't result in research and development or the creation of technological improvements, inventions, or software.
- The compensation does not include a form of equity.
- You are not employing a UO student who you current teach or formally advise.
- You are not employing someone who you also supervise in your UO role.
In addition, if you own a consulting company, you should disclose that activity in the Research Administration Portal.
Those who are sponsored researchers would need to disclose consulting if it results in more than $5,000 in remuneration in the previous 12 months or if the work is done in exchange for equity interest. Learn more about what must be disclosed for sponsored researchers under the Financial Conflict of Interest in Research Policy.
It's also important to remember that, even if you don't need to disclose an activity, you cannot make private, commercial use of UO resources. This includes the use of university spaces, a UO laptop, confidential records, and more. For example, if you want to hire the student with the best grades as an intern at your consulting firm and you access the confidential student information to determine who that person is, you may be violating state ethics laws and UO policy.
Q: What things should I consider if I accept a secondary position or a second job?
A: We encourage faculty to disclose the secondary position or second job to be sure that a management plan is not required under the UO's Conflict of Interest, Conflict of Commitment, and Outside Activities Policy or under the Financial Conflict of Interest in Research Policy. Disclosures are submitted through the Research Administration Portal (link prompts you to enter your Duck ID.) As part of our office's review, we will also request an export control compliance check if the secondary employer is outside of the United States.
If you receive federal funding to support your research and the employer of the secondary position is outside of the United States, contact your post-award team at Sponsored Project Services to ask about disclosing the foreign collaboration to current sponsors and in proposals.
You'll also want to be sure that you avoid using your official UO position to benefit you in your secondary position. The UO Ethics website has a number of helpful scenarios and short videos.
Q: What's a conflict of commitment?
A: A conflict of commitment is a situation where an individual engages in outside activities, either paid or unpaid, that substantially interfere with the individual’s duties to the University of Oregon. Activities that are less than 1 day in a 7-day work week, generally averaged out over a term, do not result in a conflict of commitment. This calculation is prorated for employees with less than 1.0 FTE. Please email us if you would like us to calculate your specific conflict of commitment threshold.
The 1-day-in-7 rule does not apply to employees on approved leave, such as sabbaticals, or during summer term for 9-month faculty members who do not have allocated summer FTE, although the conflict of interest provisions in the COI/COC Policy do still apply.
A: If the past activity has concluded, you do not need to disclose that activity - unless you are a sponsored researcher and the past activity needs to be reported under the Financial Conflict of Interest (FCOI) in Research Policy. Learn more about what must be disclosed for sponsored researchers under the FCOI Policy.
If you are currently engaged in an outside activity that does not fit within one of the exempt categories listed in the COI/COC Policy or you currently have an equity interest in a company, you should disclose it using the Research Administration Portal.
Q: Can I use my UO laptop in my outside activity?
A: Probably not. The prohibition of using UO laptops in an outside activities based stems from Oregon State ethics laws (ORS 244.040) that place constraints on using UO resources, including laptops, for private purposes. Surprisingly, Oregon’s ethic laws have no de minimis exception. Whether the laptop use is for 5 minutes for 50 hours, the prohibition applies. While some may consider a quick email check an acceptable level of risk as the odds that the Oregon Government Ethics Commission will take an interest may be slim, the risks increase with the seniority and profile of the person.
There is an exception that would allow university laptop use in outside activities, and that would be confirmation that the use is part of official compensation. The Commission tends to favor formal authorizations that the laptop equipment is part of someone’s compensation, like an offer letter. There have been pushes for less formal approval, such as an email from a supervisor. The latter would work for meeting the UO’s Acceptable Use Policy, but should something come before the Commission, the more official the approval, the better.
Q: How often do I need to disclose under the COI/COC Policy?
A: You only need to disclose outside activities if they do not fit within one of the exempt categories listed in the COI/COC Policy. You should disclose prior to engaging in that activity.
Please note that there may be instances in which the outside activity does fall into an exempt category, but still requires disclosure as there is a conflict of interest as defined in the COI/COC Policy. As one example, this can occur when you hire a UO student who you also teach in the outside activity.
If unsure whether to disclose the activity, disclose it! Disclosing the activity places the burden of compliance on the university, and our team will be able to make a determination and help with any next steps.
If you already have a management plan for an outside activity, you should disclose annually and any time there is a change to your outside activities.
A: Yes. Disclosures should be submitted through the Research Administration Portal.
Q: How long does review of a disclosure and approval under the COI/COC Policy take?
A: Our staff typically review disclosures and make a determination within 3 business days. If a disclosure doesn't include enough information, we may ask for additional details, and this correspondence will increase the amount of time required to make an accurate determination.
Development of management plans can take 2-3 months, depending on the amount of time supervisors or other signatories need to review the management plan.
A: A management plan describes steps that an employee undertakes to mitigate a conflict of interest or commitment. They serve as a record of institutional approval and help ensure everyone is on the same page about how an existing, apparent, or potential conflict will be managed. The plans:
- Summarize an employee's outside activities that require approval under the COI-COC Policy
- Contain steps related to transparency, arm's length transactions, and time commitment
- Clarify policies related to intellectual property, human subjects research, and hiring UO employees or students in the outside activity
Our staff use a standard management plan template to create a draft, and we share this draft with the employee for their input and to answer any questions. We then share the draft with the employee's supervisor and, depending on the circumstance, with a department head or dean. The plans are posted in the Research Administration Portal for formal approval by the signatories and formal acceptance by the employee.
Q: Are disclosures and management plans made public?
A: Disclosures and management plans are subject to public records requests. The Public Records Office receives these requests and redacts information as required under public records laws.
Q: I have concerns about another UO employee’s outside activity. Who can I talk to?
A: If you have a concern about another employee’s activities, please visit the UO Ethics webpage to report a concern.
Financial Conflict of Interest in Research Policy
Q: Who is subject to the UO's Financial Conflict of Interest in Research Policy?
A: Researchers who are responsible for the design, conduct, and reporting of sponsored awards are subject to the FCOI Policy. These investigators must have submitted a disclosure within the past 365 days before a proposal is submitted, and they must complete the required FCOI training before the funding is set up, if the project is awarded.
A: No. You submit one disclosure in the Research Administration Portal that includes all your outside activities and interests as defined under both policies. Our staff evaluate the outside activities you disclose against both policies. Be sure to include all of your outside activities and interests. Many activities fall under both policies, but there are some activities that are covered under one policy but not the other. If you aren't sure what to include, include everything, and our staff will make a determination on whether the activity is exempt. We also love questions! So feel free to ask.
What Activities to Disclose for the COI/COC Policy
What Activities to Disclose for the FCOI Policy
Q: How often do I need to disclose under the FCOI Policy?
A: Annually and within 30 days of a change in your outside activities. If you've reported a future activity in your disclosure under the COI/COC Policy, it's especially important to update your disclosure once you receive $5,000 in remuneration for an outside activity to remain compliant with the FCOI Policy.
Q: How long does review of a disclosure and approval under the FCOI Policy?
A: Once a sponsored award is funded, our staff typically review disclosures and make a determination within 3 business days. If a disclosure doesn't include enough information, we may ask for additional details, and this correspondence will increase the amount of time required to make an accurate determination.
Development of management plans can take 2-3 months, as financial conflicts of interest in research are brought to the Conflict of Interest in Research Committee that meets monthly.
A: A management plan describes steps that an employee undertakes to mitigate a financial conflict of interest in research and ensure transparency and objectivity in the design, conduct, and reporting of the research. The management plan serves as a record of institutional approval and help ensure everyone is on the same page about how an existing, apparent, or potential conflict will be managed. The plans:
- Summarize an employee's outside activities that require approval under the COI-COC Policy
- Contain steps related to transparency, arm's length transactions, and time commitment
- Clarify policies related to intellectual property, human subjects research, and hiring UO employees or students in the outside activity
Our staff use a standard management plan template to create a draft, and the draft is reviewed and approved by the Conflict of Interest in Research Committee (COIRC). The researcher may request further considerations for the committee regarding plan steps.
The plans are posted in the Research Administration Portal for formal approval by the signatories and formal acceptance by the employee.
If the researcher, appropriate signatory officials, and the COIRC disagree with the terms of a management plan, the institution has the responsibility to determine the disposition of the application or award, including reassigning a researcher's responsibility on the award or not accepting the award.
Financial conflicts of interest must be managed within 60 days of a determination by the COIRC that an investigator has a conflict. A management plan must be in place and any reporting of the conflict as required by the sponsor must be done prior to the UO's expenditure of any funds associated with the specific sponsored project.
Q: I have concerns about another UO employee’s outside activity. Who can I talk to?
A: If you have a concern about another employee’s activities, please visit the UO Ethics webpage to report a concern.