Conflicts of Interest Policy | University Policy Manual

1.Purpose

Consistent with the University of North Carolina at Greensboro’s research, teaching, and public service missions, the University encourages professional activities that promote intellectual exchange, enhance professional development, spark innovation, build capacity, and address pressing challenges both within our immediate and larger communities. Faculty members may achieve these goals through traditional academic pursuits, such as teaching and publication in scholarly venues. In addition, and increasingly, faculty and professional staff may add value to the University and the community by engaging in relationships with private industry and the nonprofit sector. Consulting, service on advisory boards, translational research activities, and commercialization of new technologies provide opportunities for faculty and professional staff to meaningfully engage with for-profit and nonprofit organizations, building capacity both for the individual, the University, and the larger community.

At the same time, the trust of the larger public that is core to our identity as a public institution, and the expectations of scholarly integrity and objectivity that are core to our identity as an academic institution, must be kept central. Relationships between faculty, staff, and outside entities can engender circumstances where primary obligations to the University can become entangled with secondary opportunities that introduce the potential for, or appearance of, conflicts of interest when carrying out University responsibilities. This can be most problematic when individuals stand to personally gain from particular choices. More specifically, possibilities for financial gain can raise concern.

Recognizing that upholding the trust vested in the University and its individual faculty and professional staff members is paramount for the continuing livelihood of the institution, this policy establishes UNC Greensboro’s process for disclosing, identifying, evaluating, and managing Conflicts of Interest. The requirement that an individual’s external professional activities and potential conflicts of interest be disclosed and evaluated does not reflect the integrity of the individual. Rather, as members of a community that values intellectual discourse and transparency, we acknowledge that peer review is an important part of maintaining objectivity and credibility. Further, the presence of a conflict does not imply that a situation is unethical or impermissible. Instead, it means that the situation must be carefully evaluated, and in some cases, managed to avoid perceptions of bias.

2.Authority

This policy defines UNC Greensboro’s implementation of the UNC System Policy on Conflict of Interest and Commitment (UNC Policy Manual 300.2.2), and any associated regulations as currently adopted, and as may be promulgated in the future. To the extent that any future updates to UNC System policies conflict with UNC Greensboro’s policies, the UNC System policies shall control.

3.Scope

This policy applies to all Covered Individuals. The analysis required by this policy applies even if the Covered Individual is on a leave of absence.

4.Definitions

4.1Conflict of Interest:

Conflict of Interest relates to situations in which a Covered Individual’s financial or other personal interests or relationships may compromise, may involve the potential for compromising, or may have the appearance of compromising, a Covered Individual’s objectivity in fulfilling their University Duties. A Covered Individual may have a Conflict of Interest when they, or Covered Individual’s Immediate Family, have a financial or personal interest in an activity that may affect decision making with respect to their University Duties.

4.2Covered Individual:

Any faculty employee, Exempt Professional Staff (EPS), Senior Academic and Administrative Officer (SAAO), or any individual, regardless of employment type or status, supported by a sponsored research award, who is designated as senior/key person for the project and is responsible for the design, conduct, reporting, or funding of such research. The definition of Covered Individual may be expanded for a particular sponsored project when required by the federal award terms. Affected individuals will be notified of their inclusion and shall be considered Covered Individuals only for the period of time they participate in the applicable award.

4.2.1Covered Individual’s Immediate Family:

Covered Individual’s Immediate Family is defined as spouse (including a person to whom one is married or with whom one lives together as a domestic partner), children, parents, and siblings.

4.3External Professional Activities:

External Professional Activities is defined as any activity, paid or unpaid, that:

Is not included within one’s University Duties;
Is performed for any entity, public or private, other than UNC Greensboro; and
Is based upon the professional knowledge, experience, and abilities for which UNC Greensboro employs the Covered Individual.

4.4Financial Interest:

Financial Interest is defined as:

Income received, such as salary, dividends, royalties, payment for services, consulting fees, honoraria, and paid authorships, by a Covered Individual or Covered Individual’s Immediate Family, from an entity other than UNC Greensboro;
Equity or other ownership interest in publicly or non-publicly traded entities (e.g., stock, stock options, warrants, or other ownership interest) held by a Covered Individual or Covered Individual’s Immediate Family;
Intellectual property rights and interests (including inventorship) upon receipt of income related to such rights and interest held by a Covered Individual or Covered Individual’s Immediate Family. This includes intellectual property rights assigned to UNC Greensboro and subject to a share in royalties related to such rights; or
Domestic or foreign travel related to a Covered Individual’s University Duties, that is not paid for by UNC Greensboro (travel can include registration fees, accommodations, transportation costs, etc.).

4.4.1Financial Interest does not include:

Income from seminars, lectures, or teaching engagements sponsored by a federal, state, or local government agency, a U.S. institution of higher education, an academic teaching hospital, a medical center, or a research institution that is affiliated with a U.S. institution of higher education;
Income from service on advisory committees or review panels for a federal, state, or local government agency, a U.S. institution of higher education, an academic teaching hospital, a medical center, or a research institution that is affiliated with a U.S. institution of higher education;
Income from investment vehicles, such as mutual funds, where a Covered Individual or Covered Individual’s Immediate Family does not directly control or advise the investment decisions;
Any reimbursed or sponsored travel paid for by UNC Greensboro or a sponsored research award to UNC Greensboro; or
Any travel reimbursed, sponsored or paid for by a U.S. government agency, a U.S. higher education institution, a U.S. academic teaching hospital, medical center, or a U.S. research institute affiliated with a U.S. higher education institution.

4.5Management Plan:

The formal documentation described in the University’s Procedures for the Disclosure, Review, and Management of Activities Involving Potential Conflicts of Interest and Commitment detailing how a potential Conflict of Interest should be managed or reduced.

5.Conflicts of Interest

Conflicts of Interest can be categorized into four general categories: (1) those that are allowable and are disclosed; (2) those that are allowable with administrative approval and are disclosed; (3) those that generally are not allowable and require an approved Conflict of Interest Management Plan; and (4) those that are not allowable under any circumstances. Additional examples about each of these four categories include, but are not limited to, the list below:

5.1Activities that are allowable and are disclosed

The examples cited below involve activities external to University employment and thus may present the appearance of a financial Conflict of Interest but have little or no potential for affecting the objectivity of the Covered Individual’s performance of University Duties.

Receiving royalties for published scholarly works and other writing, or other royalties paid to the Covered Individual by the University.
Receiving honoraria or expense reimbursement for Secondary Duties, such as service to a professional association, service on a review panel, or participation in accreditation reviews.

5.2Activities requiring disclosure for further administrative review and analysis

The examples cited below suggest a possibility of conflicting interests that can impair objectivity, but disclosure and resulting analysis of relationships may render the activity permissible and may result in the establishment of an approved Management Plan.

A Covered Individual requiring students to purchase the textbook or related instructional materials of the Covered Individual or Covered Individual’s Immediate Family, which produces compensation for the Covered Individual or Covered Individual’s Immediate Family.
A Covered Individual receiving compensation or gratuities from any individual or entity doing business with the University. Note that no University employee may seek or receive any gift, reward, or promise of reward for recommending, influencing, or attempting to influence the award of a contract by their employer (see North Carolina General Statutes §14-234 and North Carolina General Statutes Chapter 138A).
A Covered Individual serving on the board of directors or scientific advisory board of an enterprise that provides financial support for University research and the Covered Individual or Covered Individual’s Immediate Family may receive such financial support.
A Covered Individual or Covered Individual’s Immediate Family having a Financial Interest in a publicly or non-publicly-traded entity or enterprise.
A Covered Individual accepting support for University research under conditions that require research results to be held confidential, unpublished, or inordinately delayed in publication. Research conducted by faculty or students under any form of sponsorship must maintain the University’s open teaching and research philosophy and must adhere to a policy that prohibits secrecy in research. Such conditions on publication must comply with any UNC Greensboro policies and UNC System policies (UNC Policy Manual 500.1 and 500.2)

5.3Activities or relationships that are generally not allowable or permitted without an approved Conflict of Interest Management Plan

The examples cited below involve situations that are not generally permissible, because they involve potential financial Conflicts of Interest that present obvious opportunities or inducements to favor personal interests over institutional interests. Before proceeding with such an endeavor, as outlined below, the University must approve a Management Plan that would protect against bias and otherwise protect the University’s interests.

A Covered Individual participating in University research involving a technology owned by or contractually obligated to (by license or an option to license, or otherwise) an enterprise or entity in which the Covered Individual or Covered Individual’s Immediate Family has a consulting relationship, has an equity or ownership interest, or holds an executive position.
A Covered Individual participating in University research that is funded by a grant or contract from an enterprise or entity in which the Covered Individual or Covered Individual’s Immediate Family has an equity or ownership interest.
A Covered Individual assigning students, post-doctoral fellows, or other trainees to University research projects sponsored by an enterprise or entity in which the Covered Individual or Covered Individual’s Immediate Family has a Financial Interest.

5.4Activities that are not allowable under any circumstances

A Covered Individual making referrals of University business to an external enterprise in which the Covered Individual or Covered Individual’s Immediate Family has a Financial Interest.

A Covered Individual associating their own name with the University in such a way as to profit financially by trading on the reputation or goodwill of the University.
A Covered Individual making unauthorized use of privileged information acquired in connection with their University Duties.
A Covered Individual signing agreements that assign University patent, copyright, or other intellectual property rights, pursuant to applicable University policies, to third parties without prior University approval.
Any activity otherwise prohibited by law or University policy.

6.Compliance

It is the policy of the University that activities that may result in actual or perceived Conflicts of Interest related to the conduct of University Duties must be disclosed for review, and any potential Conflicts of Interest must be managed or eliminated prior to engaging in the activity.

6.1Responsibilities of Covered Individuals

Covered Individuals have several responsibilities for understanding, disclosing, and managing Conflicts of Interest pursuant to federal, state, local, UNC System, and UNC Greensboro regulations.

All Covered Individuals who will play a role in the design, conduct, or reporting of an externally funded project must complete Conflicts of Interest Collaborative Institutional Training Initiative (CITI training) at least once every four years.
Covered Individuals must disclose activities outside the University that could be perceived to introduce bias into the conduct of their University Duties. Covered Individuals must disclose such activities at the following points:
- When submitting a Notice of Intent of External Professional Activities;
- When prompted to complete the University’s annual disclosure process; and
- Within thirty (30) calendar days of the acquisition of a new financial or personal interest that might entail a possible Conflict of Interest.

Continued transparency through the review and management of potential Conflicts of Interest is expected of Covered Individuals. For situations in which a Management Plan is put into place, Covered Individuals are expected to adhere to the Management Plan and be active partners with the University in ensuring that they carry out their University Duties fully and with objectivity and integrity.

6.2University Responsibilities

The University has several responsibilities regarding the promotion of objectivity and ensuring that the institution and its Covered Individuals comply with federal, state, and local regulations related to situations involving actual or perceived Conflicts of Interest.

The University will maintain an up-to-date written policy and process for identifying and managing Conflicts of Interest.
The University will keep the campus community informed of the policies and procedures related to Conflicts of Interest and will make every effort to provide accessible and timely professional development related to the topic.
The University will monitor and enforce implementation of the Conflicts of Interest policies and procedures.

6.3University Reporting

The University will comply with all applicable regulations to make any required reports and disclosures available to the public.

6.4Relation to Other Policies, Law, and Regulation

Existing regulations at the federal, state, local, and UNC System levels, may further govern the definition, disclosure, review, and management of activities that may engender Conflicts of Interest.

7.Organizational Conflict of Interest

An Organizational Conflict of Interest (OCI) occurs when UNCG’s institutional relationships, prior activities, or financial interests, whether real or perceived, create a situation in which the university’s ability to conduct research, perform evaluations, or fulfill contractual obligations objectively and impartially may be compromised. This includes circumstances where UNCG has previously provided consulting services, developed specifications, or participated in activities related to a funding opportunity or contract for which it is now seeking award or involvement. OCI may also arise when institutional roles, financial holdings, or partnerships give rise to an unfair competitive advantage or the appearance of preferential treatment. The formal documentation described in the University’s Procedures for the Disclosure, Review, and Management of Activities Involving Potential Conflicts of Interest and Commitment detail how a potential OCI should be managed or reduced.

8.Confidentiality

Disclosure of activities and information related to Conflicts of Interest may be contained within confidential personnel records pursuant to applicable state law (see North Carolina General Statutes §126-22).

9.Enforcement

The Chancellor has delegated authority for enforcement of this policy to the Vice Chancellor for Research and Engagement as it relates to Conflicts of Interest, who has further delegated the administration of the process to the Director of Research Integrity.

Any violation of this policy may be considered “misconduct” pursuant to UNC Greensboro’s employment policies. It should be noted that violation of this policy may also implicate violations of related federal or state statutes or regulations that could result in penalties outside the auspices of the University.

10.Related Law, Policies, and Regulations

10.1State of North Carolina

North Carolina General Statute on Public Officers or Employees Benefiting from Public Contracts; Exceptions (N.C.G.S. 14-234)
North Carolina State Government Ethics Act (N.C.G.S. 138A)

10.2UNC System

10.3UNC Greensboro

11.Reporting and Contact Information

Responsible Executive: Vice Chancellor for Research and Engagement

Conflict of Interest Policy Administrator: Director of Research Compliance and Integrity, email: ori@uncg.edu