Compliance officers help researchers manage potential conflicts with transparency

Bob Szrot & Rhett Caviel | Research Compliance Officers | Office of Research

Potential conflicts of interest arise frequently in university settings, often as part of legitimate professional activities that are supported and encouraged by KU. The key to managing these conflicts is transparency. Two Office of Research staff members work with faculty and research staff to make this process go smoothly.

Bob Szrot and Rhett Caviel are both research compliance officers. Szrot has worked in the Research Integrity unit in the Office of Research for 10 years; Caviel joined him 3 years ago. Both are responsible for reviewing annual, ad hoc and research-related disclosure certifications. Every year, about 5,000 university members are required to disclose.

“Both Bob and Rhett spend significant time following up on compliance with disclosure requirements, including personally contacting individuals and patiently helping people navigate the online system,” said Susan MacNally, director of research integrity.

Beyond managing the annual reporting process, Szrot and Caviel also work with colleagues across the university in other ways. They provide background on external activity requests for the Office of Faculty Affairs and prepare extensive materials for review by KU’s Conflict of Interest Committee, particularly on situations that may require management. Szrot and Caviel also facilitate review by the Faculty Senate Restricted Research Committee of restricted research exemption applications.

“The thoroughness and thoughtfulness of Bob and Rhett are crucial to effecting a COI disclosure and management process that is fair, provides sufficient oversight without over-reaching, and preserves the key values, resources and integrity of the university and its community members,” MacNally said.

The disclosure process can be daunting or frustrating to some faculty who are in demand for consulting and other external professional activities. These researchers sometimes need additional encouragement and support to disclose. Szrot and Caviel handle these situations with professionalism and personability.

“Bob projects a professional and respectful demeanor; he strives to deliver appropriate and knowledgeable guidance,” MacNally said. “While less talkative, Rhett is perhaps more relaxed and open in his communication style — although he is no less attentive to the policy structure under which we operate. Perhaps that’s a nod to his years of experience assuring compliance with athletics regulations. Each has a distinct and engaging sense of humor. If you haven’t had the chance to mingle with Bob or Rhett, I hope you will get the opportunity soon.”