Conflicts of Interest and Commitment Policy

Conflict of Commitment relates to situations in which a Covered Individual engages in activities external to the University, or assumes commitments external to the University that compromise, may appear to compromise, or have the potential to compromise their ability to fulfill their University Duties.

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, has a financial or personal interest in an activity that may affect decision making with respect to their University Duties.

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.

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.

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.).

Any use of University-funded or supported resources, including but not limited to University facilities, administrative offices, software, work product, research results, materials, property records, or information developed with University funding or other University support, except as otherwise allowed by University policy, for any purpose other than the Covered Individual’s University Duties. A Covered Individual engaged in external professional activities may not use any such University-funded or supported resources in the course and conduct of externally compensated activities, except as allowed by University policies (for instance, the Acceptable Use of Computing and Electronic Resources, the Facility Use Policy and the Guidelines forUse of University Resources in Support of Entrepreneurial Activity). This includes the receipt of remuneration from both the University and an external entity for the same activity (i.e., travel reimbursement). Under no circumstances may a Covered Individual use the services of another University employee during that employee’s University work hours to advance the Covered Individual’s personal, non-University related interests.

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 or Conflict of Commitment should be managed or reduced.

The assigned University Employment Responsibilities, generally teaching, scholarship, research, institutional service, administrative responsibilities, and other assigned employment duties. They are divided into Primary and Secondary Duties.

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. At most, some of these situations could prompt questions about Conflicts of Commitment.

• 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.

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 section 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).

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.

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.

Conflict of Commitment relates to situations in which a Covered Individual engages in activities external to the University, or assumes commitments external to the University that compromise, may appear to compromise, or have the potential to compromise their ability to fulfill their University Duties.

Covered Individuals who engage in external activities not involving University Duty related professional knowledge, experience, and abilities are not required to follow the advance disclosure and approval requirements of this policy for such external activities.

However, Covered Individuals and their supervisors shall ensure that any such activities do not result in the neglect of their University Duties, create unmanageable Conflicts of Interest or Conflicts of Commitment in accordance with this policy, involve Inappropriate Use of University Resources, inappropriate use of the University name, or include claims of University responsibility for the activity.

Participation of Covered Individuals in External Professional Activities is an important characteristic of academic employment that often leads to significant societal benefits, including economic development through technology transfer. However, External Professional Activities are to be undertaken only if they do not:

• Create a Conflict of Commitment by interfering with the obligation of the individual to carry out all University Duties in a timely and effective manner;
• Create an unmanageable Conflict of Interest;
• Involve Inappropriate Use of University Resources;
• Make any use of the name or marks of the University for any purpose other than professional identification; or
• Claim, explicitly or implicitly, any institutional responsibility for the conduct or outcome of the External Professional Activities.

Additional circumstances sometimes associated with External Professional Activities may require special consideration.  These include:

• In instances when state-reimbursed travel, work time, or resources are used or when the activity can be construed as related to the Covered Individual’s University Duties on behalf of the state, the Covered Individual shall not receive any financial consideration, including an honorarium.
• External Professional Activities performed for another UNC Constituent Institution or a state agency also must comply with applicable state policies governing dual employment and compensation.
• The UNC Board of Governors has also established rules for monitoring and regulating the involvement of University employees in political candidacy and office-holding that could interfere with full-time commitment to University Duties. Please refer to UNC Policy Manual for additional and specific policy details.

When reviewing a matter for Conflict of Interest or Conflict of Commitment, Covered Individuals must also analyze, apply, and comply with the University’s Policy on External Professional Activities as well as UNC System Regulation on External Professional Activities (UNC Policy Manual 300.2.2.1[R]), which contain provisions established to monitor possible conflicts.

Covered Individuals have several responsibilities for understanding, disclosing, and managing Conflicts of Interest or Conflicts of Commitment pursuant to federal, state, local, University of North Carolina, 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 or Conflict of Commitment, Covered Individuals must supplement the prior annual submission of the Conflict of Interest and Commitment questionnaire.

Continued transparency through the review and management of potential Conflicts of Interest and Conflicts of Commitment 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.

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 and Conflicts of Commitment.

• The University will maintain an up-to-date written policy and process for identifying and managing Conflicts of Interest and Conflicts of Commitment.
• The University will keep the campus community informed of the policies and procedures related to Conflicts of Interest and Conflicts of Commitment 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 and Conflicts of Commitment policies and procedures.

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

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

• 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)

• Conflict of Interest and Commitment
• University Research Relations with Government Agencies and Private Entities
• Patent and Copyright Policies

• Patents and Inventions Policy
• Copyright Ownership and Use Policy
• Promotion, Tenure, Academic Freedom, and Due Process Regulations
• Policy on Employees Exempt from the State Human Resources Act
• External Professional Activities
• Guidelines for Use of University Resources in Support of Entrepreneurial Activities 
• Acceptable Use of Computing and Electronic Resources
• Access Policy
• Facility Use Policy