Conflicts of Interest and Commitment

Scope

This policy applies to all individuals who fall within the category of Covered Individuals. Covered Individuals include anyone employed by Indiana University (IU), such as faculty, academic appointees, student academic appointees, staff members, and part-time employees, as well as anyone who serves in the role of an Investigator (see Definitions below).  

It addresses three categories of individual conflicts:  

• Conflicts of Interest (COI) 
• Financial Conflicts of Interest in Research (FCOIR) 
• Conflicts of Commitment (COC) 

This policy shall supersede all campus, school and college, program, department, center, institute, and Unit policies on any core or regional campuses of Indiana University.

Units may establish requirements that are more restrictive than those set forth in this policy, provided such requirements are consistent with this policy. 

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Policy Statement

This policy is designed to: 

• Ensure that members of the IU community adequately disclose potential COI or COC that could place them or the university at risk. 
• Provide guidance to prevent individuals and the university from engaging in decisions or actions that could compromise or appear to compromise impartiality due to personal, financial, or professional interests. 
• Ensure compliance with the university’s Principles of Ethical Conduct. 

Covered Individuals may engage in and maintain outside professional, personal, or economic interests, provided those interests do not conflict with university interests, the individual’s duties or commitments to the university, or obligations to other parties to whom the university has legal, contractual, fiduciary, or ethical responsibilities. Covered Individuals must fulfill the responsibilities and professional expectations of their respective campuses, schools, colleges, departments, programs, and administrative Units.

This policy must be followed in compliance with all applicable university policies, including but not limited to UA‑14: The First Amendment at Indiana University,  BOT‑33: Expressive Activity and ACA‑32: Academic Freedom. 

This policy is essential to maintain transparency, trust, and ethical standards by addressing both perceived and actual conflicts and promoting impartial and ethical decision-making in purchasing, Research, employment, and other university activities. 

Nothing in this policy permits any activity that is prohibited by law, even if a conflict has been disclosed.

External Activities: Pre-Approval and Disclosure Requirements 

Pre-Approval Requirement 

Pre‑approval is required for certain External Activities based on the type and nature of the activity. When pre‑approval applies, Covered Individuals are required to obtain all applicable Unit‑level and institutional approvals before initiating any new External Activity or implementing any material changes to an existing External Activity. Approval requests must be submitted through the Pre‑Approval Request Form no fewer than 15 calendar days before the planned start date, unless a shorter timeframe is supported by compelling circumstances. Activities that present greater complexity or institutional risk may require additional time for review. Failure to submit a required request does not constitute approval (see Procedures below). 

The following External Activities require pre-approval; see the disclosure guidance document for additional information: 

A. Activities and Relationships (Paid and Unpaid) 

• Consulting, professional services, and other outside employment 

Professional activities related to the Covered Individual’s duties and expertise at the university and involving a contract or legally binding document that is not signed on behalf of the university.  

• Fiduciary Roles 

Board of directors member, officer, or other fiduciary roles in an external entity related to the Covered Individual’s University Responsibilities, whether compensated or not. 

• Advisory Role 

Advisory roles at an entity that is also doing business or contemplating doing business with IU. 

• Start-ups 

Creation of a new company related to the Covered Individual’s activities and expertise at the university, including but not limited to, faculty start-up, non-profit, or consulting company, etc. 

• Use of Resources 

Activities involving the use of university resources beyond incidental personal use of information technology resources permitted under IT-01: Appropriate Use of Information Technology Resources. 

• Gifts, Gratuities, or Benefits 

Items above the de minimis aggregated annual value of $100 or conference related benefits such as meals, registration waivers, or entertainment. 

B. Academic Service (Domestic) 

Academic services that are not providing guest lectures/performances, peer review of colleagues/programs, or advising on Research activities. 

C. International Engagements 

• All Appointments 

Appointments, titles, or affiliations with a foreign country of concern/entity (paid or unpaid). 

• Foreign Talent Programs 

Participation in any foreign talent recruitment program (paid or unpaid). 

• See also RP-11-012: Research Security and International Partnerships

D. Ownership and Financial Interests

• Vendors 

Equity/ownership in a private company that contracts with IU as a supplier. 

• Overlap 

Ownership in a company providing goods/services related to the Covered Individual’s expertise or scholarship. 

• Contracting with IU 

Plans to sell something to or contract with IU as an individual. 

• Purchasing/Vendor 

Uncompensated roles with a company that is currently bidding on a contract with the Covered Individual’s Unit. 

E. Family Interests (Nepotism) 

• Supervision 

Direct or indirect supervision of a family member or romantic partner. 

• Financial Influence 

Situations where any level of control is exerted by an IU employee over IU-related financial activities of a family member or romantic partner. This includes all principal Investigators and fiscal officers with responsibility over accounts from which a family member or romantic partner receives any payment. 

• Academic Influence 

Situations involving official influence over the academic progress of a family member or romantic partner, including but not limited to teaching classes, participation on academic committees, scholarship award decisions, etc. 

• Contracts 

Situations where a spouse/dependent has a financial stake in an IU contract or purchase.

• State Conflict of Interest 

The Indiana Criminal Code requires that new or significant changes in Financial Interests involving IU be declared for a: 

• Spouse 
• Child/stepchild/adoptee who is unemancipated and less than 18 years old 
• Individual for whom you provide more than one-half support during the year 

• See also Nepotism and State COI 

Work performed for IU-affiliated entities does not count as an External Activity. Examples of affiliated entities include: 

• IU Foundation 
• IU Health 
• Eskenazi Health and the VA hospitals 
• Physician practice plans 

Additional information regarding External Activities can be found in the disclosure guidance document. 

Annual Disclosure Requirement 

Annual disclosure is required of all Covered Individuals. Covered Individuals must submit a Disclosure Form on an annual basis, regardless of whether any Conflicts of Interest or commitment exist. In addition, a Disclosure Form must be submitted whenever a Covered Individual engages in an activity or holds an interest that may constitute a Conflict of Interest or commitment, or when material changes occur to a previously disclosed activity or interest (see Procedures below). 

Prohibited External Activities 

A. Foreign Talent Recruitment Programs

Participation in certain foreign talent recruitment programs is prohibited. See RP-11-012: Research Security and International Partnerships. 

B. Promotional, Sales,or Marketing Speaking Engagements

Investigators may not present at programs designed primarily for an external entity’s promotional, sales, or marketing purposes when the content relates to their University Responsibilities. 

For permitted presentations, Investigators must maintain complete control over content unless external regulations apply. 

Conflicts of Commitment (COC) 

A potential COC exists when an employee’s External Activities or relationships may interfere with: 

• The university’s educational, Research, or service mission, or 
• The Covered Individual’s ability or willingness to perform University Responsibilities 

A. Time Allowed for External Professional Activities 

• Full-time, tenure-track faculty on 10- or 12-month appointments, as applicable, may spend on average, one non-weekend day per week, excluding official university holidays, on outside professional activities. See BOT-15: Academic Appointee Responsibilities and Conduct. 

• All other individuals may participate in External Activities only if they do not conflict with University Responsibilities. 

B. Designated Volunteer Leave for Staff

Staff may be granted one paid day (up to 8 hours) per calendar year to volunteer with a qualifying non-profit organization, as defined by Indiana law (IC 35-44.1-1-3), when the opportunity is designated by a vice president, chancellor, chief academic officer, or dean. For more details, visit Volunteer Paid Leave. 

C. External Service During Work Hours

Employees may perform work during normal work hours that supports the operation of Indiana University but also benefits another governmental entity or an organization exempt from federal income taxation under Section 501(c)(3) of the Internal Revenue Code. This work may be undertaken only with written approval from the employee’s dean or vice president for their work area, and the approval must specify the total amount of time permitted for this work during the calendar year or academic year. 

D. Ghost Employment

Ghost Employment is prohibited under Indiana law (IC 35-44.1-1-3) and occurs when any of the following situations take place: 

• A public servant knowingly or intentionally: 
  • Hires an employee for the governmental entity they serve 
  • Either assigns no duties to the employee or assigns duties unrelated to the operations of that governmental entity 
• A public servant knowingly or intentionally assigns an employee under their supervision duties that are not related to the operations of the governmental entity. 
• An employee of a governmental entity, knowing they have not been assigned any duties, accepts property from the entity. 
• An employee of a governmental entity knowingly or intentionally accepts property from the entity for performing duties unrelated to the operations of that governmental entity. 

E. Use of University Resources

University resources with Material Cost (e.g., equipment, supplies, facilities, IU trademarks, etc.) are prohibited from being used for External Activities, unless authorized through a formal agreement with the university. See IT-01: Appropriate Use of Information Technology Resources and VPCM-LT-01: Licensing and Trademark. 

F. Intellectual Property Disclosure

Covered Individuals must disclose intellectual property developments in accordance with the university’s intellectual property policies. The university owns certain intellectual property developed by Covered Individuals. Failure to disclose does not negate university ownership. See UA-23: Intellectual Property: Copyrightable Works and UA-24: Intellectual Property: Inventions and Patents.  

Conflicts of Interest (COI) 

Covered Individuals are prohibited from using their university position for personal financial benefit for themselves or individuals with whom they have a Familial or Personal Relationship. COI must be avoided or, when unavoidable, disclosed, and managed. 

A. Conflicts Related to Purchases or Contracts

If a Covered Individual or anyone with whom they have a Familial or Personal Relationship has a Financial Interest in a procurement transaction: 

• The Office of Procurement Services must be consulted by the Covered Individual before final action. 
• The Office of Procurement Services will consult the chief compliance officer. 
• If required by Indiana law (IC 35-44.1-1-4), the chief compliance officer will coordinate submission of required disclosures to the Board of Trustees and State Board of Accounts. For more details, visit State Conflict of Interest. 
• Within 15 days of final action on the transaction, the secretary of the Board of Trustees must electronically file the disclosure with the State Board of Accounts. 

B. Participation Restrictions 

Covered Individuals may not participate in the selection, award, or administration of contracts, including vendor transactions or subawards, where a real or apparent COI exists. They may not solicit or accept gratuity, favors, or items of monetary value from contractors or subcontractors. 

C. Ethical Standards for Purchasing 

Covered Individuals with purchasing authority must uphold the highest ethical standards and comply with university procurement policies. They must not engage in or allow any illegal or improper purchasing practices. 

D. National Association of Educational Procurement (NAEP) Code of Ethics

Professional purchasing employees, fiscal officers, and delegates must follow the NAEP Code of Ethics in addition to university procurement requirements. This requirement does not replace the obligation of all Covered Individuals to base purchasing decisions on university-negotiated procurement contracts enforced by the Office of Procurement Services. 

E. Reporting Improper Practices

Questionable procurement practices must be reported immediately to the associate vice president of procurement services. 

Nepotism 

• Nepotism is prohibited unless a Nepotism Management Plan is approved by University Compliance.  
• Employees may not be appointed or transferred into any position that would create a potential Nepotism situation unless a Nepotism Management Plan has been approved. For more details, visit Nepotism.  See also UA-22: Employee Relationships Involving Students.  
• A Nepotism situation exists when one individual in a Familial or Personal Relationship exercises full or partial control over a funding source used to compensate the other, even absent a formal supervisory relationship. 
• Influence includes, but is not limited to, involvement or authority in hiring, promotion, supervision, evaluation, salary determinations, academic progress decisions, working condition decisions, or control over funding sources, including grant funding or other externally sponsored funds. 

Gifts and Gratuities 

• Gifts or Benefits to Covered Individuals or to individuals with whom they have a Familial or Personal Relationship may create a COI if acceptance violates the Principles of Ethical Conduct. 

• The University Compliance Office provides guidance on acceptable Gifts. For more details, visit Guidelines for Gifts and Gratuities. 

Financial Conflicts of Interest in Research (FCOIR) 

A. Compliance Requirements

Investigators must comply with all applicable laws, regulations, and university policies and procedures governing FCOIR, including Federal FCOIR Regulations and any established FCOIR Management Plans. 

B. Circumstances of an FCOIR

An FCOIR may occur when an Investigator— or a related spouse/domestic partner, dependent, or other household/family member— holds a Significant Financial Interest (SFI) related to their University Responsibilities. An SFI is any Financial Interest that meets one or more of the following criteria: 

• Publicly traded entities 
  • The value of the Financial Interest received from the entity in the current or prior calendar year exceeds $5,000 when aggregated. 
• Non-publicly traded entities 
  • The value of any remuneration received from the entity in the current or prior calendar year exceeds $5,000 when aggregated, or 
  • Holding any equity interest (e.g., stock, stock options, other ownership interests) 
• Intellectual property rights and interests 
  • The intellectual property (e.g., patents, copyrights) is licensed or optioned and has generated income of $5,000 or more. 

C. Role of the FCOIR Committee  

• Reviews disclosed interests to assess risks such as compromised Research integrity, biased decision-making, or reputational harm. 
• Determines appropriate management strategies and whether disclosure to federal agencies is required. 
• Ensures compliance with public disclosure requirements of managed FCOIR. 
• Confirms Investigator FCOIR training completion. 

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Reason for Policy

Indiana University encourages Covered Individuals to engage in External Activities that support their professional development and advance the university’s mission. This policy provides a framework to prevent Ghost Employment, protect Research objectivity, ensure ethical financial and purchasing practices, and address Conflicts of Commitment arising from such activities. 

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Procedures

Covered Individuals should seek pre‑approval for or disclose an outside activity whenever there is a question about whether the activity may create a Conflict of Interest or Commitment or interfere with the fulfillment of University Responsibilities. 

External Activities: Pre-Approval Requirements 

When required based on the type and nature of the activity, Covered Individuals must obtain all applicable Unit‑level and institutional approvals before initiating any new External Activity or implementing any material changes to an existing External Activity. 

1. Request for Review

Requests for review must be submitted using the Pre-Approval Request Form at least 15 calendar days before the planned start of the activity unless a shorter timeframe is supported by compelling circumstances. 

2. Review and Approval Process

Unit Approvers conduct the initial review to ensure that an External Activity: 

• Does not negatively impact the Covered Individual’s ability to perform University Responsibilities.
• Is appropriate as an External Activity rather than an activity that should be conducted by the university under contract.

Additional review may be required by IU Research, Finance, Human Resources, or the University Compliance Office. 

Guidance regarding procedures, timelines, and examples of activities requiring pre-approval and/or disclosure is available in the disclosure guidance document. 

External Activities: Annual Disclosure Requirements 

Covered Individuals must submit Disclosure Forms in the following situations: 

• Once each year, even if they have no COI or COC to report.
• Whenever they engage in an activity or hold an interest that could create a COI or COC.
• Whenever there is a material change to an activity or interest that was previously disclosed.

Unit Approvers must review Disclosure Forms within 30 calendar days of submission.

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Definitions

Conflict of Commitment (COC):  A circumstance in which a Covered Individual’s external relationships or activities could — whether in fact or in appearance — interfere with or compete against the university’s educational, Research, or service missions, or limit the Covered Individual’s ability or willingness to carry out their University Responsibilities.  

Conflict of Interest (COI): A circumstance in which a Covered Individual’s private interests conflict with, or may reasonably appear to conflict with, their University Responsibilities.  

Covered Individual: Any person employed by the university—including faculty and academic appointees, student academic appointees, staff, and part-time employees—as well as any individual serving as an Investigator. 

Disclosure Form: The form maintained by IU Research for collecting information relevant to potential Conflicts of Interest and Conflicts of Commitment. 

External Activity: Refers to professional activities conducted outside a Covered Individual’s University Responsibilities that rely on the professional knowledge, experience, or skills associated with their university role. These activities—whether paid or unpaid—include work or involvement with any person, organization, business, trust, government agency, or other entity not affiliated with or controlled by Indiana University. 

Work performed for IU-affiliated entities does not count as an External Activity. Examples of affiliated entities include: 

• IU Foundation 
• IU Health 
• Eskenazi Health and the VA hospitals 
• Physician practice plans 

Additional examples of activities not considered External Activities are provided in the disclosure guidance document. 

Familial Relationship: A relationship between two individuals who are connected by blood, adoption, marriage, or domestic partnership. This includes, but is not limited to: 

• Parent, child, sibling 
• Uncle, aunt, niece, nephew, first cousin 
• Grandparent, grandchild 
• Spouse or domestic partner 
• Stepparent, stepchild, stepsibling 
• Father, mother, son, daughter, brother, or sister-in-law 
• Equivalent relationships arising in a domestic partnership 

This list is not exhaustive. Other close Personal Relationships may also be considered a Familial Relationship under this policy, determined on a case-by-case basis. 

Financial Conflict of Interest in Research (FCOIR): A Significant Financial Interest that could directly and significantly affect the design, conduct, or reporting of Research, as determined by the FCOIR Committee. See federal regulation 42 C.F.R. § 50.603. 

FCOIR Committee: The committee responsible for evaluating and managing potential Financial Conflicts of Interest in Research. 

FCOIR Management Plan: An agreement established to identify, manage, and mitigate any personal, financial, or professional interests that could bias or influence an individual’s Research. An FCOIR Management Plan may be required only by the FCOIR Committee. 

Federal FCOIR Regulations: The federal regulations— including 45 C.F.R. Part 94— that establish requirements for identifying, managing, and reporting Financial Conflicts of Interest in Research. 

Financial Interest: Anything of monetary value that an individual accepts or owns, whether or not its exact value can be easily determined. This excludes interests held through investment vehicles—such as mutual funds or retirement accounts—when the individual does not directly control the investment decisions. 

Examples of Financial Interests include, but are not limited to: 

• Payments received for participating in External Activities (e.g., salary, consulting fees, honoraria, Gifts, and other compensation) 
• Ownership of, or options to acquire, stock, shares, or other equity interests 
• Income earned from owning stock, shares, or other equity interests 
• Income earned from royalties (e.g., product sales or textbooks) 
• Income received from the commercialization of intellectual property (e.g., licenses, options, or other revenue generating arrangements) 
• Sponsored or reimbursed travel 

Gift, Gratuity, or Benefit: Payments, gifts, invitations to entertainment venues, travel, lodging, meals, transportation, or any other item of value from which an individual derives personal gain by accepting it.  

Ghost Employment: The act of knowingly or intentionally engaging in employment-related conduct that provides pay or property without corresponding legitimate duties for a governmental entity. This includes hiring or assigning employees to duties unrelated to the entity’s operations, or employees accepting pay or property when they have no assigned duties or perform duties unrelated to the entity. Under Indiana law (IC 35-44.113), Ghost Employment is a Level 6 felony. 

Investigator: Any individual—regardless of title or position—who is responsible for the design, conduct, or reporting of Research conducted at the university, supported by university resources, or otherwise carried out under the university’s authority. 

Material Cost: The calculable cash equivalent of an asset owned by the university. 

Nepotism: The supervision of, or exercise of influence over, an individual by another person with whom they have a Familial Relationship or Personal Relationship, including circumstances in which one party to such a relationship directly or indirectly controls, approves, or influences a funding source—including grant funding or other externally sponsored funds—used to compensate the other, even when no formal supervisory relationship exists. 

Nepotism Management Plan: A management plan issued by the university’s chief compliance officer to prevent supervision or undue influence in situations that present potential for Nepotism. 

Pre-Approval Request Form: The form maintained by IU Research for collecting information necessary to evaluate requests by Covered Individuals seeking approval for External Activities that require pre-approval. 

Personal Relationship: A romantic or intimate relationship between two individuals. Examples include, but are not limited to, dating relationships, domestic partnerships, fiancées/fiancés, and sexual or intimate partnerships.  

This list is not exhaustive. Other close Personal Relationships may also be considered a Personal Relationship under this policy, determined on a case-by-case basis. 

Research: A systematic investigation or inquiry designed to contribute to the general body of knowledge or its application.  

For purposes of this policy, Research also includes activities for which funding is sought or received through a grant, cooperative agreement, contract, or Research collaboration agreement—regardless of funding source. Examples include Research grants, career development awards, center grants, individual fellowships, infrastructure awards (e.g., construction, renovation, equipment, etc.), institutional training grants, program project awards, and Research resource awards.  

The term further includes all activities involving human subjects that require submission to an Institutional Review Board.  

Significant Financial Interest (SFI): Under federal regulations 42 C.F.R. § 50.603, a Significant Financial Interest is any financial relationship that meets defined monetary thresholds. It includes Financial Interests in publicly traded entities that exceed $5,000 in the current or prior calendar year; remuneration from non-publicly traded entities that exceeds $5,000 or any equity interest held by the Investigator, spouse, or dependents; and licensed or optioned intellectual property that has generated $5,000 or more in income. 

Unit: The division, school, college, or similar organizational entity to which a Covered Individual reports. Vice presidents, deans, and comparable administrators may also designate Units within their areas of responsibility for purposes of this policy (e.g., a dean may designate an academic department as a Unit). 

Unit Approver: The individual(s) designated by a university employee’s Unit to review and recommend approval or disapproval of proposed External Activities. Unit Approvers must be sufficiently familiar with the employee’s University Responsibilities to make an informed determination regarding any potential conflicts posed by the proposed External Activities. 

University Responsibilities: The professional duties and obligations that a university employee performs on behalf of the university. 

For faculty members, these responsibilities include teaching, service, Research, administrative duties, and any other duties officially assigned by the university. They also include recognized professional activities and affiliations in which the faculty member is acting in a professional capacity on the university’s behalf.  

Any activity that meets this definition of University Responsibilities is not considered an External Activity under this policy.  

Additional information is available in the disclosure guidance document. 

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Sanctions

Violation of this policy may result in disciplinary action, up to and including termination of employment. Such violations may also constitute violations of other university policies, including but not limited to ACA-30: Research Misconduct and BOT-15: Academic Appointee Responsibilities and Conduct. Covered Individuals are further reminded of their obligations under the university’s Principles of Ethical Conduct.

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History

• January 14, 2019: ACA-42, ACA-29, ACA-74, HR-07-30, HR-07-40, UA-10, FIN-PURCH-3.0, FIN-PURCH-3.3, and FIN-PURCH-3.4 were consolidated into this policy.
• January 5, 2020: The Gifts and Gratuities section was updated.
• August 25, 2020: The Nepotism section was updated.
• July 16, 2021: The Faculty and Staff Disclosure section was updated.
• July 8, 2022: Updates were made to clarify qualifying events for paid volunteer leave for Staff employees.
• March 20, 2023: The Conflicts of Commitment and Ghost Employment section for Faculty, Staff, and Part-Time Workers was updated.
• May 19, 2023: Non-substantive updates were made to office names and position titles.
• April 23, 2024: Revisions were approved by the University Faculty Council.
• June 14, 2024: Revisions were approved by the Board of Trustees.
• June 2025: The Responsible Office was updated and the policy number changed from UA-17 to BOT-34.
• August 2026: Substantive revisions were made.

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