Conflict Review & Management

When a disclosure is submitted, the Office of Research and Innovation reviews the information to determine if any potential Financial Conflict of Interest (FCOI) exists. If a possible conflict is identified, the matter is referred to the FCOI Committee for review.

The FCOI Committee reviews the disclosure and supporting materials to determine if the financial interest could directly and significantly affect the design, conduct, or reporting of the research. If so, the FCOI Committee will take steps either to manage, reduce, or eliminate the conflict of interest.

  • Review Process

    • All FCOI disclosures are reviewed within five (5) business days of receipt.
    • If a potential conflict is identified, a full FCOI Committee review of the interest will occur within ten (10) business days.
    • Investigators will receive an email notification from Cayuse once a formal determination has been made regarding their FCOI disclosure.

  • Management Plans

    If a conflict is confirmed, the FCOI Committee works with the investigator to implement a Management Plan. Requirements included in the Management Plan may include:

    • Public disclosure in publications and presentations
    • Disclosure to study participants (if human subjects are involved)
    • Modification of the research plan or project roles
    • Appointment of independent monitors
    • Reduction or elimination of the financial interest

     

    Management plans are monitored by Research Integrity & Compliance (RIC) for the duration of the project.

  • Appeals

    If an investigator disagrees with the FCOI Committee’s determination or the proposed Management Plan, they may appeal to the Vice Provost for Research and Chief Innovation Officer. Investigators must comply with the Management Plan during the appeal process.

Public Disclosure in Publications and Presentations 

Researchers must publicly disclose their financial interests or outside relationships that could bias or appear to bias the design, conduct, or reporting of their research. Disclosures are expected in presentations, publications, posters, and other media to maintain transparency and protect research integrity.

• The name of the individual with the financial interest (researcher, spouse, or dependent).

• A description of the financial interest and/or relationship creating the actual or potential conflict.

• How the financial interest relates to the research being presented.

• (If applicable) Acknowledgment of an approved conflict Management Plan.

If the researcher (or their immediate family) owns or co-owns an external entity related to the research:

Template:

Dr. [Name] owns equity in [Company Name], which [describe what it does and how it relates or doesn’t relate to the research]. The company [does/does not] have a relationship to this research.

Examples:

  • Dr. Doe owns equity in ACME Inc., which develops water filtration devices. ACME may benefit financially from the research presented here.
  • Dr. Doe owns equity in ACME Inc., which develops water filtration devices. The research findings presented here are not related to any products or services currently provided by ACME Inc.

If the research is supported by an outside entity:

Template:

This research finding (or some part of the research) discussed or presented was supported by [Entity Name], which [describe what entity does and how it relates to the research].

Example:

The research findings discussed here were supported by funding from ACME Inc., which manufactures products similar to the filtration system studied here.

If the researcher (or their immediate family) receives royalties or other income from intellectual property (IP) affected by the research:

Template:

Dr. [Name] receives royalties from intellectual property that is subject to evaluation or improvement through the research presented here.

Examples:

  • The assessment in this study is published through Assessments, Inc. Dr. Doe receives royalties from its sales.
  • The assessment in this study is published through Assessments, Inc. Dr. Doe does not receive any royalties from its sales.

If SMU has a financial stake in the research, such as ownership of IP:

Template:

Southern Methodist University has [describe financial interest, e.g. ownership in, intellectual property rights, etc.) involved in this research and may financially benefit from its outcomes.

Example:

SMU owns the intellectual property rights to the technology being tested in this study and may financially benefit from its commercialization.

If the researcher holds a leadership or advisory position in a related organization:

Template:

Dr. [Name] serves as [Role] at [Entity Name], which [briefly explain what it does and how it relates to the research].

Examples:

  • Dr. Doe, the principal investigator, serves on the Board of Directors of Helping Services USA, a nonprofit that provides and promotes the use of early learning assessments, including the assessment evaluated in this study.
  • Dr. Doe serves on the Board of Directors of Helping Services USA, which promotes early learning assessments. The assessment in this study is not among those endorsed by the organization.