Conflict of Interest in Research

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Conflict of Interest in Research

• NCI Ethics and You

A Primer for New Employees
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MISSION

• To stimulate and support scientific discovery and
  its application to achieve a future when all
  cancers are uncommon and easily treated

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GOALS

• To acquire new knowledge to help prevent, detect,
  diagnose, and treat disease and disability
• To sustain the Nations medical research capacity
• To provide Federal stewardship

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GOALS

• And do it with the highest possible integrity and
  responsibility in the conduct of science

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The Non-Government to Government Transition

• Retool your basic assumptions

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The Non-Government to Government Transition

• A Federal job is a public trust

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The Non-Government to Government Transition

• Federal corporate ethics are laws and regulations
• Executive Orders
• Federal Laws
• Federal Regulations

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Conflict of Interest in Research

• Conflicting Financial Interests
• Impartiality in Performing Official Duties
• Misuse of Position
• Representation
• Gifts
• Activities with Outside Organizations
• Seeking Other Employment

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Conflicting Financial Interests

• Business thought says,
• Put your money where your mouth isinvest in
  what you believe in!
• Federal thought says,
• If the government pays you to work on it, keep
  your personal finances out of it.

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Conflicting Financial Interests

• Federal criminal law says that you cannot take
  official action in your job on matters that will
  have an effect on your personal financial
  interests

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Conflicting Financial Interests

• They include
• Stocks, stock options, bonds
• Mutual funds and sector funds
• Salary, fees, honoraria, or other income
• Invention rights and royalties
• Employment interests--professional position or
  title

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Conflicting Financial Interests

• Personal financial interests are those of
• Yourself
• Spouse
• Minor children or legal dependents
• Organization in which you are a partner, officer,
  trustee, board member, employee
• Organization with whom you are seeking employment

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Conflicting Financial Interests

• Federal employees, researchers, medical
  personnel, administrators, contracting personnel,
  grants personnel, procurement personnel, and
  others holding positions of trust

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Conflicting Financial Interests

• Should not own gt5,000 in stock in the associated
  company
• Should not have a spouseworking for the company
• Should not have an outside activity with the
  company
• Should not be negotiating for employment with the
  company
• Should not accept sponsored travel/gifts from the
  company

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Conflicting Financial Interests

• What should you do if you think you have a
  conflict of interest?

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Conflicting Financial Interests

• DISQUALIFY
• Stop, do not pass go, do not collect 200

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Conflicting Financial Interests

• DISCLOSE
• Contact your Ethics Official

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Conflicting Financial Interests

• RESOLVE
• Work out a Solution

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Contacting NCI Ethics Officials

• nciethics-r_at_mail.nih.gov
• Bethesda Office 301-496-1148
• Maureen Wilson, Ph.D., DEC, wilsonm_at_mail.nih.gov
• Cheryl Lynn Nelson nelsonc2_at_mail.nih.gov
• Rockville Office 301-496-9950
• Cynthia Morgan morganc_at_mail.nih.gov
• Shari Wahlert wahlerts_at_mail.nih.gov
• Frederick Office 301-846-5286
• Mary Gregg mgregg_at_mail.nih.gov
• Diane Christensen christdi_at_mail.nih.gov

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Conflict of Interest in Research

• Conflicting Financial Interests
• Impartiality in Performing Official Duties
• Misuse of Position
• Representation
• Gifts
• Activities with Outside Organizations
• Seeking Other Employment

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Impartiality in Performing Official Duties

• A Question of Fairness
• You should not act on a matter if a reasonable
  person who knew the circumstances of the
  situation
• Could legitimately question your fairness or
• Imply bias or favoritism

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Impartiality in Performing Official Duties

• What may imply bias or favoritism?
• Acting in an official duty matter
• Involving a relative who is not your spouse,
  minor child or legal dependent
• Involving an organization in which your spouse,
  minor child, or legal dependent is seeking
  employment
• Involving someone who paid you a salary, fee,
  honorarium, within the last 12 months
• Involving an individual with whom you have a
  close personal or professional relationship

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Impartiality in Performing Official Duties

• What is the test for impartiality?
• Would you be comfortable reading about it in the
  Washington Post?
• Would you like your mom to read about it in the
  newspaper?

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Impartiality in Performing Official Duties

• What do you do if you think you have a problem?
• Contact an NCI Ethics Official
• nciethics-r_at_mail.nih.gov
• Bethesda Office 301-496-1148
• Executive Blvd. Office 301-9950
• Frederick Office 301-846-5286

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Conflict of Interest in Research

• Conflicting Financial Interests
• Impartiality in Performing Official Duties
• Misuse of Position
• Representation
• Gifts
• Activities with Outside Organizations
• Seeking Other Employment

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Misuse of Position

• You cannot use your position with the Government
  for your own personal gain or for the
  benefit of
  others---this includes
• Family
• Friends
• Neighbors
• Charitable causes
• Others

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Misuse of Position

• Also, you may not use Government resources
  including
• Property - phones,
  computers, facilities
• Time yours or others
• Non-public information

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Conflict of Interest in Research

• Conflicting Financial Interests
• Impartiality in Performing Official Duties
• Misuse of Position
• Representation
• Gifts
• Activities with Outside Organizations
• Seeking Other Employment

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Representation

• A Federal law prohibits employees from
  representing the interests of any individual or
  organization before any agency of the Federal
  Government with the intent to influence.
• EXCEPT
• Self
• Spouse, minor children, and
  legal dependents
• Parents

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Representation

• Examples
• Testifying in a Federal Court other than for the
  US Government
• Appearing before Congress on behalf of an outside
  organization
• Lobbying
• Political Activities
• Advocating for award of grant or contract
• Representing a friend or neighbor before a branch
  of the US Government
• Social Security
• Peer Review

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Conflict of Interest in Research

• Conflicting Financial Interests
• Impartiality in Performing Official Duties
• Misuse of Position
• Representation
• Gifts
• Activities with Outside Organizations
• Seeking Other Employment

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Gifts

• You may not ask for or accept a gift from persons
  or organizations who
• Do business with or seek to do business with your
  agency
• Seek official action by your agency
• Are regulated by your agency
• Have interests that may be significantly affected
  by you when you are doing your job
• Are giving you a gift because of your official
  positions
• Gifts can be viewed as bribes under the law

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Gifts

• What is a Gift?
• Gratuity
• Favor
• Discount
• Entertainment
• Hospitality
• Loan or Forbearance
• Other item having monetary value

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Gifts

• What is not a Gift?
• Modest food and refreshments at a meeting
• Loans generally available from commercial lenders
• Benefits, rates, discounts generally available to
  the public or all Government employees
• Plaques, certificates or trophies
• Rewards or prizes given as part of public events
• Pensions or other benefits from participation in
  an employee benefit plan
• Anything bought or secured by the Government
• A Gift accepted by the Government under law

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Gifts

• What are exceptions to the gift provisions?
• Gifts valued at 20 or less and no more than
  50/source/year
  NO CASH or SECURITIES!
• Waiver of registration for a meeting at which you
  are speaking
• Authorized attendance at a widely attended event
  of interest to your agency

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Conflict of Interest in Research

• Conflicting Financial Interests
• Impartiality in Performing Official Duties
• Misuse of Position
• Representation
• Gifts
• Activities with Outside Organizations
• Seeking Other Employment

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Activities with Outside Organizations

• What you can do
• Depends on what you do for the
• Government
• Need prior clearance

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Activities with Outside Organizations

• Generally
• Activities involving professional competence with
  organizations outside the Department of Health
  and Human Services

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Activities with Outside Organizations

• Teaching and Speaking
• Writing and Editing
• Consulting/Advising
• Legal Consulting/Advice
• Outside Clinical Practice
• Legal Advice
• Serving on Boards and Committees

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Activities with Outside Organizations

• Official - You represent the NCI
• Related to professional and official competence
• Use Government title and affiliation
• Use Government resources
• Use Government time
• Use Government travel sometimes reimburseable
• May talk about current projects
• May serve on boards and committees
• May provide advice, but generally not consult
• with limitations

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Activities with Outside Organizations

• Personal - You represent yourself
• Related to professional competence
• May be compensated or uncompensated
• May not use your Government title and affiliation
• May not use Government resources if compensated
• May not use Government time if compensated
• May not use Government travel may be reimbursed
  in certain circumstances
• May not use non-public information or discuss
  your current projects within the last 12 months

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Activities with Outside Organizations

• What if you cant decide whether it is official
  business or personal activity?
• Contact an NCI Ethics Official
• nciethics-r_at_mail.nih.gov
• Bethesda Office 301-496-1148
• Frederick Office 301-846-5286

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Activities with Outside Organizations

• How do you obtain clearance?

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Activities with Outside Organizations

• BEFORE YOU ACCEPT..
• Talk to your SUPERVISOR
• Contact the Ethics Office
• nciethics-r_at_mail.nih.gov

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Activities with Outside Organizations

• Before You Begin.
• Clear through your ARC
• Obtain Approval by submitting paperwork to the
  NCI ETHICS OFFICE Office nearest you.
• Bethesda Office 31/4A48
• Frederick Office 372/12
• Executive Blvd 6116/Suite 600
• Forms may be found at http//ethics.od.nih.gov/for
  ms.htm

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Conflict of Interest in Research

• Conflicting Financial Interests
• Impartiality in Performing Official Duties
• Misuse of Position
• Representation
• Gifts
• Activities with Outside Organizations
• Seeking Other Employment

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Seeking Other Employment

• Federal criminal law says that you cannot take
  official action in your job on matters that
  will have an effect on your personal financial
  interests
• The relationship developed in seeking employment
  is a financial interest

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Seeking Other Employment

• What do you do if you wish to seek outside
  employment?
• DISQUALIFY if needed
• DISCLOSE as necessary
• RESOLVE if required

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Conflict of Interest Commandments

• Avoid Conflicting Financial Interests
• Maintain Impartiality in Performing Official
  Duties
• Dont Misuse Government Position
• Dont Represent Outside Organizations to the
  Federal Government
• Be Careful of Non-Feds Bearing Gifts
• Get Prior Authorization for Activities with
  Outside Organizations
• Avoid Conflict of Interest in Seeking Outside
  Employment

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Media Inquiries

• Contact the Press Office when
• Your study is accepted for publication
• A journalist calls you for an interview
• You need background material for reporters
• A development in your field is likely to generate
  media attention
• General Contact Information 301-496-6641.
  email mcneilc_at_mail.nih.gov

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Congressional Inquiries

• Call the Office of Congressional and Legislative
  Affairs
• 301-496-5217

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Legal Inquiries

• Contact the Office of General Counsel
• 301-496-4108

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Conflict of Interest Commandments

• If you cant figure it out

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Conflict of Interest Commandments

• Contact an NCI Ethics Official
• nciethics-r_at_mail.nih.gov
• Bethesda Office 301-496-1148
• Frederick Office 301-846-5286
• Executive Blvd. Office 301-496-9950
• For further information see
• http//ethics.od.nih.gov/
• http//camp.nci.nih.gov/public/ethics/index.html