Conflict of Interest Resource Page for TRB's Cooperative Research Programs
(updated 5/17/2022)
Our parent organization—the National Academies of Sciences, Engineering, and Medicine—has recently reviewed its policies regarding conflict of interest. To ensure that we are compliant with these policies, TRB’s Cooperative Research Programs have revised and updated our own conflict of interest guidelines for members of panels, oversight committees, and contractors.
What’s new for panel members:
A panel member has a conflict of interest if the member’s employer submits a proposal on the project for which that member serves. Therefore, the employer of a panel member—whether a consulting firm, university, or other research organization—is not eligible to submit proposals on the project for which that member serves. Individuals invited to serve on a project panel must consider this restriction, perhaps in consultation with their senior management, before accepting the appointment. Note: This conflict applies to different faculties or departments in the same university but does not apply to different institutions within a university system – see FAQs.
What’s new for oversight committee members:
A member of an oversight committee has a conflict of interest if the member’s employer submits a proposal on a project for which the committee member actively participated in the funding decision. Therefore, the employer of an oversight committee member—whether a consulting firm, university, or other research organization—will not be eligible to submit a proposal on funded projects resulting from problem statements that the oversight committee member chose to review, rate, or discuss. To avoid such conflicts of interest, an oversight committee member must identify problem statements that may be of interest to their employer when the problem statements are distributed, must recuse themselves from the review and rating of those problem statements of interest, and must leave the room when those problem statements are discussed during the oversight committee project selection meeting. Note: This policy applies to the AASHTO Special Committee on Research and Innovation, TCRP Oversight and Project Selection Commission, the ACRP Oversight Committee, and the Governors Highway Safety Association Research Committee. Additional information is provided below.
Use the links below to jump to the relevant section:
General Information for Panel and Oversight Committee Members
To meet the institutional obligations and commitments of the National Academies of Sciences, Engineering, and Medicine, it is essential that individuals who participate in our activities not be compromised by any real or perceived conflict of interest. This applies to the oversight committees that select projects for each program (i.e., NCHRP, TCRP, ACRP, and BTSCRP) in the TRB Cooperative Research Programs division as well as members of individual project panels that select contractors and guide the research.
The National Academies of Sciences, Engineering, and Medicine (National Academies) has a policy on conflict of interest that will be provided to all CRP panel and committee members and is available on the National Academies website. Members of CRP panels and committees are required to complete National Academies Form A, which seeks information on an individual’s organizational affiliations, government services, public statements and positions, research support, and other information relevant to the specific program activities. The document that follows provides supplemental information related specifically to the TRB Cooperative Research Programs.
Definitions:
According to the National Academies policy, the term “conflict of interest” means any financial or other interest which conflicts with the participation of an individual in particular decisions of the institution because the interest (1) could significantly impair the individual’s objectivity or (2) could create an unfair competitive advantage for any person or organization.
For the CRP’s purposes, “bias” is defined as a non-financial interest, belief, or experience that has the potential to impact one’s objectivity. Biases are not grounds for removal from a project panel or committee, but it is important that biases be declared so that TRB staff can ensure a balance of perspectives.
For Project Panel Members
Guidelines on Conflict of Interest
A conflict of interest exists when a panel member (or a close family member of the panel member):
- Is named as a member of the research team in a proposal for the same project.
- Works for the same organization as a proposed prime contractor or subcontractor.
- Is currently being paid to do work by the proposed prime contractor or any subcontractor on a proposal.
- Is currently a graduate student under the supervision of a proposed prime contractor or any subcontractor on a proposal.
- Holds a financial interest in any of the prime or subcontractors’ firms on a proposal.
- Has a financial stake in any product or methodology that may be used or evaluated in the project.
Interpretation: Members of CRP project panels and their employing organizations are not permitted to propose on that project, and may not assist, contribute, or provide guidance in any way with the preparation of a proposal. Proposals received from the employer of a panel member will be rejected.
If a panel member enters into such an arrangement with the selected research team prime or subcontractors while the project is still active, they will be removed from the panel.
Supplemental Guidelines on Bias
For the CRP’s purposes, “bias” is defined as a non-financial interest, belief, or experience that has potential to impact one’s objectivity. Although biases may not be disqualifying from serving on an oversight committee or a project panel, they should be disclosed during the bias and conflict discussion in the presence of other committee or panel members. Examples of situations involving bias include the following:
- You may have preexisting opinions about the companies or individuals named in proposals. They may have done work for you in the past, or you may be familiar with their reputation or experience. Your opinions could lead you to be either favorably or unfavorably disposed towards those proposals.
- You may have a predisposition to prefer some project outcomes. For example, you may believe that bicycle and pedestrian traffic should take a higher or lower priority than other modes of transportation. Similarly, you may have had positive or negative experience with particular materials or methods that affect your opinion on their relative merits.
- You may have an intellectual predisposition toward a particular perspective.
- You may have opinions about the relative merits of proposals from universities versus private consultants.
- You may have strong feelings about the type of research tasks or testing that are required to accomplish the project objectives.
These examples are not exhaustive and there may be subtleties and nuances in the perception of conflict or bias. If you have any questions or uncertainty about conflict or bias, contact the CRP Senior Program Officer for your project panel or committee.
Frequently Asked Questions for Panel Nominees
Q. I work for ABC consultants and have been invited to serve on a panel. Will my firm be able to bid on the work?
A. No, if you believe your firm may wish to bid on this project you should decline the invitation to join the panel.
Q. I work for a very large consulting firm DEF Incorporated with offices across the country. How can I know if my company intends to propose on this project?
A. The onus is on you, the panel nominee, to contact your organization’s head office and make it clear that DEF Incorporated will not be able to bid on the work if you accept the panel nomination.
Q. I work for ABC consultants and ABC is a subcontractor to the prime on one of the proposals. Is there a conflict?
A. Yes, whether ABC is a prime or a sub, you still have a clear financial connection to them. In this case, the proposal with ABC as a sub would be rejected.
Q. I am in the Civil Engineering Department of the University of GHI; is there a conflict of interest if the Department of Sociology at the University of GHI bids on the project?
A. Yes, if you wish to be a member of a project panel, you should contact the contracting authority in your university and make sure they understand that a bid from any department will be rejected. If this is unacceptable or unmanageable, you should decline panel membership.
Q. I am a faculty member in the University of Mystate in Newtown. We are part of a university system, with separate entities in different cities across the state. Is there a conflict of interest if the University of Mystate at Old Town bids on the project?
A. No, the conflict of interest policies do not apply to different institutions within a university system. They are considered to be independent entities.
Q. I am a panel member that works for ABC consultants, and a proposal was received on which DEF Incorporated is a prime (or sub-) contractor. I am currently working as a subcontractor to DEF on another project. Do I have a conflict?
A. You would not have been able to anticipate that DEF Inc. would submit a proposal for your project. However, if you were to participate in the proposal review or selection process, it could be seen as a potential conflict of interest. Therefore, you would not attend the contractor selection meeting, and if the proposal from DEF was not selected you would return to the panel.
Q. I am a liaison to a project panel, not a member. I was appointed by my employer to represent our industry association. I also work part-time as an adjunct professor at the University of GHI. Do I have a conflict of interest if the University of GHI proposes on my project?
A. If you have a financial arrangement with the University of GHI—i.e., you are paid—then yes, you have a potential conflict. You are in the same situation as a panel member who has a financial arrangement with one of the proposing organizations. Before accepting the appointment as a liaison, you should have a conversation with the University. If they have an intention to bid on this project, your employer may need to appoint someone else as the liaison.
Q. I am a panel member and I am working on completing my PhD. If one of my thesis advisors shows up as a member of a research team in a proposal for the project for which I am a panel member, do I have a conflict of interest?
A. Yes. Although this is different from a financial conflict, you could be seen as being in a position to gain something if you favor your advisor’s proposal. If you were part of a panel that selected a proposal that included your thesis advisor, it might create the impression of a “quid pro quo” where the thesis advisor is more favorable to your dissertation than if they had not been awarded the contract. You should check with your thesis advisors to see if they might bid on the project before you accept panel membership. If you were to accept panel membership, your advisor’s institution would not be permitted to bid on the work.
Q. I have been invited to serve on a project panel and I think there is a good chance that one of my former professors will be part of the research team on one of the proposals (I graduated several years ago). Is this a potential conflict of interest?
A. Generally, no. That professor is no longer in a position to judge or evaluate your work in a manner that would put pressure on you to favor that proposal.
Q. I work for a state Department of Transportation and sit on a panel. Several of the proposals are from firms that have previously done work for our department. Is this a conflict?
A. No, because you do not stand to gain anything from the proposer selected. This is not a conflict, but it could be a bias because you have been able to see and evaluate the quality of those firms’ performance and this could provide valuable input to the panel’s deliberations. You should report any such bias to the CRP Senior Program Officer.
For Oversight Committee Members
Guidelines on Conflict of Interest
A conflict of interest exists when a member of the oversight committee participates in the review and selection of problem statements on which their firm, organization, or academic institution (or the firm, organization, or academic institution of that member’s spouse, children, or others with whom the member has common financial interests) may submit proposals.
Interpretation: Members of the oversight committees for the current cooperative research programs must disclose any problem statements for which their organization may potentially submit a proposal or serve as a subcontractor to another proposer, and they may not rate or discuss those problem statements before or during the meeting. Those members will be asked to leave the room when the committee is discussing these projects. If a member elects to rate and discuss a given problem statement, proposals received from that member’s organization will be rejected.
For Contractors
Guidelines on Conflict of Interest
To meet institutional obligations and commitments and pursuant to Section 2-1 of the National Academy of Sciences (NAS) Procurement Supplement entitled “Identifying Conflicts of Interest,” it is essential that any contractor, supplier, vendor, or subawardee, which shall include any individual or entity who participates at any stage in a CRP procurement or subaward activity not be compromised by any conflict of interest, or by the direct and substantial appearance of a conflict of interest, with respect to such activities.
Proposals submitted to any of the TRB Cooperative Research Programs must present information relevant to possible sources of financial or organizational conflict of interest that could be perceived as jeopardizing an objective approach to the research effort, and proposers must disclose any such circumstances. Section 6(a) of the proposal shall include confirmation that proposers have reviewed the Conflict of Interest Disclosure Policy and have identified any potential conflict of interest issues that exist.
Proposals with a research plan that includes a conflict of interest for any investigator or related parties will not be considered for award. If a conflict of interest develops or becomes known during the conduct of research, the contract is subject to termination.
A detailed definition and examples of conflict of interest can be found in the CRP Conflict of Interest Disclosure Policy for contractors (PDF).
Successful proposers will be required to submit an Investigator Conflict of Interest and Disclosure Form (PDF) for each named member of the research team as a prerequisite for contract negotiations.
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