Business Policies and Procedures Manual
Chapter 45: Research

Organizational Conflict of Interest

BPPM 45.15

For more information contact:
   Office of Research Support and Operations
   509-335-0890 / orso@wsu.edu
   Office of Research Assurances (ORA)
   509-335-7183 / ORA ora.wsu.edu/contact/
   Compliance and Risk Management
   509-335-6893 / compliance.risk@wsu.edu
   Office of Internal Audit
  509-335-5336 / ia.central@wsu.edu

1.0   Overview and Purpose

This policy sets forth requirements for the disclosure and management of actual, potential, and apparent organizational conflicts of interest (OCIs). As defined in Federal Acquisition Regulation (FAR) 2.101, an OCI means that because of other activities or relationships with other persons:

  • A person (or entity) is unable or potentially unable to render impartial assistance or advice to the government; or
  • The person’s objectivity in performing the contract work is or might be otherwise impaired; or   
  • The person has an unfair competitive advantage. (48 CFR 2.101)

OCIs are further described in FAR Subpart 9.5. (48 CFR 9.500–8)

Managing OCIs allows WSU to continue to provide valuable advice and service to the federal government while maintaining its integrity and reputation.

An OCI is distinct from an individual conflict of interest. This policy does not address individual conflicts of interest, which are addressed under WSU Executive Policy Manual EP45 and EP27.

2.0  Applicability

This policy applies to all WSU personnel, including staff, faculty (all ranks, including emeritus), volunteers, trainees, interns, fellows, officers, student employees, and contingent workers. For purposes of this policy, the terms “University employees” and “University personnel” include all of these categories and are used interchangeably.

3.0  Definitions

3.1    Activities

For the purposes of this policy, the term “Activities” is defined as relationships, interests, commitments, or obligations relating to the federal government. (See also Section 4.0.)

3.2    OCI

For purposes of this policy, an OCI is defined as any relationship, interest, commitment, or obligation that may adversely affect, or be in conflict with, the services the University performs as a federal awardee or contractor. An OCI or potential OCI is subject to management if it reasonably appears to an objective outside observer to be an OCI, even if an actual conflict does not exist.

There are three types of OCIs:

  • Unequal access to information: An unfair competitive advantage resulting from obtaining information not generally available to others seeking federal funding.
  • Impaired objectivity: Assessing performance or evaluating products of someone within your own organization or a direct competitor seeking federal funding.
  • Biased ground rules: Providing engineering or technical assistance or writing the work requirements for a funding opportunity when someone within your own organization is an applicant.

4.0  Requirements

The University is required to certify to the federal government that any potential OCI is being appropriately managed. To collect the information needed to make these mandated certifications, the University requires all University personnel to disclose those Activities (see Section 3.1) that may give rise to an OCI, regardless of whether the Activities are considered part of their WSU employment. Specific responsibilities, timeframes, and procedures for reporting are set forth in Section 5.0 below.

Activities that must be reported include, but are not limited to, the following:

  • Serving as an advisor or consultant to the federal government;
  • Serving as a member of a federal advisory board;
  • Working, consulting, or serving on any federal standard setting committee or board;
  • Working on contracts providing scientific, engineering, and technical direction to the federal government; and
  • Having any access to proprietary, confidential, or sensitive data in the custody and possession of the federal government or other entities working with the government.

5.0  Procedures

5.1    Methods of Disclosure

University personnel must disclose any new Activities that may give rise to an OCI through the MyResearch disclosure system within 30 days of the start of the Activity.

The COI Administrator reviews disclosures in MyResearch to identify OCIs that may require management (see Section 5.2).

5.2    Management of an OCI

When a OCI is identified, the COI Administrator works with the appropriate University offices, in consultation with the Attorney General’s Office, as appropriate, to develop and administer a management plan to prevent unfair advantage or loss of objectivity regarding federal contract work. Appropriate University offices include, but are not limited to, ORSO, Internal Audit, and Compliance and Risk Management.

Management of the OCI may include, but is not limited to:

  • Recusal from certain activities;
  • Restrictions on participating in certain contracts or programs;
  • Additional safeguards for maintaining confidentiality of data; or
  • Review of work by an independent third party.

6.0  Examples

The following examples describe situations in which questions concerning OCIs may arise. They are not all inclusive but are intended to help illustrate how to apply this policy in individual situations:

  • A faculty member in a WSU college provides the federal Defense Advanced Research Projects Agency (DARPA) with technical direction for the development of a Broad Agency Announcement (BAA). The faculty member must disclose the activity in MyResearch. If anyone from WSU submits a proposal pursuant to that DARPA BAA, a potential OCI may exist that needs to be managed and/or disclosed to DARPA.
  • WSU develops a detailed model plan for the scientific and technical training of staff at the Air Force Research Laboratory. The University personnel involved in the development of the plan must disclose the activity in MyResearch. The Laboratory adopts the curriculum and incorporates it into a request for proposal to conduct the training. If anyone from WSU responds to the proposal, a potential OCI exists. This potential OCI may need to be disclosed to the Air Force.
  • Researchers in a WSU college work on a project for the U.S. Department of Homeland Security (DHS) and have access to confidential government information. This work must be disclosed in MyResearch. Researchers in another WSU college submit a proposal for funding to DHS related to the same scientific area. DHS may consider this a potential OCI subject to disclosure.
  • A WSU researcher serves as a reviewer for the National Science Foundation (NSF). This individual must follow NSF’s conflict of interest guidelines and recuse themselves from certain proposals. However, this activity generally does not create an OCI for the researcher or their WSU colleagues.

7.0  Related Policies

  • Conflict of Commitment (Section 5.0 in EP45)
  • University Ethics Policy (EP45)
  • University Research Personnel Conflict of Interest, Technology Transfer, and State Ethics Requirements (EP27)
  • Compensation for Outside Activities (Faculty Manual Section II.D.4)
  • Policy on Compensated Outside Service by Faculty Members – Consulting (Faculty Manual Section IV.D)
  • Extended Professional Activities (Faculty Manual Section IV.E)
  • Faculty Compensation Outside Assigned Duties (BPPM 60.44)

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Revisions:  July 2024 – new policy (Rev. 631)