I. Primary Commitment of Full-Time Faculty
II. Necessity for a Written Report of Potential Conflicts
III. Situations in Which a Written Report Must be Made
IV. Reporting Procedures
V. Prohibited Activities
VI. Policy on Conflict of Interest For a printable PDF version, click here.
Sections I-V of this policy became effective on June 1, 1994. Section VI of the policy, concerning conflicts of interest with research and the role of the Committee on Outside Interests, was adopted on June 26, 2002.
I. PRIMARY COMMITMENT OF FULL-TIME FACULTY
Despite the increasing frequency and complexity of the relationships of the University and its faculty with industry, government, and other entities, these relationships are governed by one basic principle: Full-time faculty members of The Johns Hopkins University School of Medicine recognize that their primary responsibility is to The Johns Hopkins University. To fulfill that responsibility they are expected to devote their energies to activities that further the academic objectives of the School. Acceptance of a full-time appointment entails a commitment to give one's best efforts to this end and to assign first priority to the needs and goals of The Johns Hopkins University. At the same time, it is recognized that participation of faculty members in activities of government, professional associations, industry, and other private institutions may serve the academic interest of the University. The experience and enhanced national status that such participation brings to the faculty member is shared indirectly by the University, and these outside activities often contribute to the richness and diversity of the academic community. Moreover, as a result of such activities, society may benefit from the dissemination of knowledge and technology developed within the University. A commitment to serve an institution, agency, or industrial organization other than The Johns Hopkins University School of Medicine should be made only after giving serious consideration to the amount of time and effort that can be given to another entity while satisfying the faculty member's primary commitment to the University. In addition, faculty members are expected to be discriminating in the selection of outside commitments in order to avoid impairment of the University's reputation as an academic institution. Faculty should avoid commitments that could compromise the basic scholarly independence and freedom of action that are central to university life. Where there is the possibility or appearance of a conflict between a faculty member's obligations to another organization and those to the University, the faculty member must discuss and then report in writing his plans with the department director (or the Dean, for department directors) before making a commitment.
[Return to Top] II. NECESSITY FOR A WRITTEN REPORT OF POTENTIAL CONFLICTS
Determination of whether a conflict of commitment or conflict of interest exists in a particular instance will always be a matter of judgment involving all the facts of the situation. While informal discussion with the Dean, department director, or other University representatives may provide guidance for decisions, faculty members must prepare a written report before undertaking any commitment that may conflict or appear to conflict with the primary commitment to the University. The written report should be made as described in Sections III and IV below. A full written report is the best preventive measure to avoid any real or apparent conflict between the obligations of faculty to the University and to their personal interests and other competing commitments. [Return to Top ] III. SITUATIONS IN WHICH A WRITTEN REPORT MUST BE MADE1
Trust, good faith, and open discussion of controversial issues among colleagues have always been central to the life of this School. The activities of faculty members must be governed by thoughtful and shared consideration of individual circumstances, rather than rigid rules. The requirement for reporting in the situations outlined below is meant to ensure that conflicts of commitment and conflicts of interest will be considered openly and fairly and that appropriate action will be taken to resolve those conflicts. Reporting thus serves to protect individual faculty members, The Johns Hopkins University, and academic freedom in general. A written report must be made promptly in any of the following circumstances: A. Whenever the aggregate time for all outside commitments exceeds 26 days per year.
The maximum amount of time spent on outside commitments 2 which is compatible with fulfilling the primary responsibility to the University needs to be determined by the department director after discussion with the faculty member (or by the Dean, for department directors). The 26-day level is considered to be a threshold for reporting and not necessarily a limit on outside activities. Intermittent activities such as visiting lectureships are desirable and bring honor and credit to the faculty member and to the University, but excessive time devoted to these activities can compromise the faculty member's ability to meet his or her obligations to Johns Hopkins. In addition, faculty members at ranks below full professor must consider the impact of secondary commitments on their ability to fulfill the criteria for promotion.3 Individual lectureships, conferences and scientific or professional meetings need not be included in the 26-day threshold unless those activities otherwise constitute or include activities described elsewhere in this policy. On the other hand, activities that must be reported include ongoing or repetitive arrangements with an outside organization for activities such as consultation, research, laboratory testing, teaching, writing or membership on advisory groups and councils. B. Whenever outside activities require a written agreement.
With the exception of agreements for faculty to provide occasional guest lectures or for the publication of faculty writings, all written agreements relating to outside activities must be reviewed to insure that they do not conflict with institutional policy. Review is required regardless of duration of the activity.(See reporting procedures on page 6.) C. In special circumstances.
A complete written report of all outside activities may be requested by the department director or Dean in special circumstances such as in connection with appointments, promotions or administrative assignments.
The Dean or his designees may also request a written report from faculty members in connection with requests for institutional clearance or certification of research (e.g. for research on animals or humans), application for support of academic endeavors or purchases of equipment, or similar requests. D. Whenever the name of The Johns Hopkins University or the School of Medicine might be used by another party.
Since an academic relationship can be of great value to a non-university organization, opportunities for outside activities may be offered to faculty in part because of their association with The Johns Hopkins University School of Medicine. It must be remembered that there is no way to divorce the faculty member completely from association with Johns Hopkins. Reporting prior to undertaking a secondary commitment serves to protect the faculty member, the University, or both from possible discredit or embarrassment. Thus, faculty members must be discriminating in the selection of secondary commitments, regardless of whether they are professional or non-professional in character, and regardless of whether the obligation is to be discharged in "off hours" or during vacation. If a non-university organization wishes to use the University's name, symbols or logos, written approval must be obtained prior to such use. To obtain a copy of the University's statement on the use of its name, symbols or logos or to request approval, contact the Director of Public Affairs, JHMI. E. Whenever a proposed agreement involves the use of facilities or resources belonging to or utilized by The Johns Hopkins University.
A report must be made if the University will be investing its resources and sharing in the risks of a venture or in any other way subsidizing the activity, whether or not sharing in any revenues generated by the activity. The Johns Hopkins University School of Medicine Intellectual Property Guidelines govern a faculty member's participation in any agreement under which an outside entity will profit from the resources, including information, of the University itself as well as from the faculty member's personal involvement. On the other hand, because consulting arrangements and publication of books involve a faculty member's personal effort, contracts for publications and payment of related royalties, or limited consulting arrangements are not subject to sharing of income with the University, although they still must be reported. F. Whenever an outside commitment provides for intellectual or tangible property rights in the way of patent ownership or licensing to an organization other than the University.
Faculty must report any relationship they are considering or are engaged in with another organization when the organization anticipates providing financial or other support for the faculty member's work or when the organization anticipates utilization of intellectual property (e.g., inventions, know-how) or tangible property (e.g., research materials) or original works of authorship (e.g., computer software but not textbooks) of that faculty member's academic work or the work of a subordinate faculty or staff member.(See the Johns Hopkins University School of Medicine Intellectual Property Guidelines for a full description of these matters.) G. Whenever an agreement is being considered that restricts the faculty member's public reporting of the existence of the agreement or information developed by the faculty member under the agreement.
Occasionally it may be difficult to distinguish between academic research goals and commercial research goals. In the case of a relationship with a commercial organization, the faculty member must ascertain whether there are requirements for confidentiality that might compromise his or her fundamental rights of academic freedom or those of other faculty members or of students or of the University. Academic freedom means, in part, unhindered discussion and publication of results of research. H. Whenever a faculty member's relationship to an outside party might appear to influence either the conduct of the University's business with the outside party or the conduct of research within the University.
A report must be made of a relationship to an organization when the organization proposes to conduct business with the University (or an affiliated organization) wherein the faculty member may influence or may appear to influence the decision-making process on behalf of either party. Consideration must be given to whether there is a perception of outside financial incentives being used to direct research activity away from avenues that might lead to more substantial scientific discoveries or to the accomplishment of academic goals. Conflicts of interest may arise when a faculty member has a relationship (e.g., as consultant, advisor, owner, or shareholder) to an outside organization that is conducting business with the University on behalf of either that faculty member or a subordinate faculty member. (See also Section VI for activities that must be reported to the Committee on Outside Interests.) Consulting arrangements between faculty members and outside institutions are distinct from research projects. Research projects require a contract with the University. In the latter case, payment for the faculty member's effort is part of the University budget (see E) and is used as a source of an appropriate proportion of the faculty member's University salary support. The Office of Research Administration must be made aware of compensation provided under a consulting agreement which will co-exist with a research grant or contract from the same industrial sponsor. I. Whenever any remuneration for clinical practice is proposed in addition to the faculty member's salary support through the University.
All earnings from the practice of medicine by full-time faculty members are collected and distributed in accordance with the Medical Service Plan of The Johns Hopkins University School of Medicine. Any faculty clinical practice occurring outside of a Johns Hopkins Medical Facility must be reported and approved prior to initiating the activity. Verification of professional liability insurance to non-Hopkins organizations will be provided only after a report is made to, and approved by, the department director and the Associate Dean for Clinical Practice. The existence of malpractice coverage with a carrier other than through The Johns Hopkins University does not preclude the requirement that the faculty member disclose plans for outside clinical practice and obtain permission for such activities in the manner prescribed above. (See also Section V for prohibited activities.)
1The purpose of this list is not to place specific restrictions on outside activities or situations requiring disclosure; it indicates only when a report must be made.
2 The maximum amount of time spent on outside commitments (2)...: Outside commitments include all services to entities other than the Johns Hopkins University.
3The obligations of full-time faculty members and the criteria for promotion are outlined in Policies and Guidelines Governing Appointments, Promotions, and Professional Activities of the Full-Time Faculty of The Johns Hopkins University School of Medicine. [Return to Top ]
IV. REPORTING PROCEDURES
A faculty member must provide a written report, as described in the following paragraph, in any of the situations outlined above in Sections III.A - III.I. Disclosure* must be made prior to any agreement to undertake the outside commitment or prior to exceeding the 26-day annual threshold. However, disclosure is a continuing obligation, as it also must be made if a possible conflict becomes evident when a faculty member's ongoing relationship with an outside party changes. In situations covered by Sections III.A to III.H, the faculty member must submit a written statement of the activity and any proposed written agreement to the director of the faculty member's department through the division director (if applicable). Reports of activity by department directors should be submitted to the Dean. If the department director approves the reported activity, the report and notice of approval must then be forwarded to the Office of Policy Coordination. In situations covered by Section III.I, the faculty member should give copies of the statement of disclosure to both the department and division director (if applicable) and the Associate Dean for Clinical Practice. The purpose of these reviews is to ensure that the proposed agreements comply with policies of the department, the School of Medicine, and the University. After the review is completed by the Office of Policy Coordination and/or the Associate Dean for Clinical Practice, and the proposed agreement is found to comply with all relevant policies, a written statement of approval will be sent to the faculty member with a copy to the department and division directors. *Disclose by logging in to eOPC at https://e-opc.jhmi.edu. [Return to Top]
V. PROHIBITED ACTIVITIES
Arrangements with outside organizations that have not received approval as indicated in Section IV above or Section VI "Policy on Conflict of Interest." Remuneration received for the professional care of patients may not be retained by full-time faculty regardless of where or when such services are performed. While on vacation, faculty members may be permitted, at the discretion of the department director and the Office of the Dean, to serve as camp doctor or locum tenens for a practicing physician. [Return to Top ] Office of Policy Coordination
100 N. Charles St., Suite 900
Baltimore, MD 21201
Phone: 410-516-5560
Fax: 510-516-6399
E-mail: policy@jhmi.edu | 
