East
Carolina University Faculty Manual
APPENDIX
I.
ECU
POLICY ON CONFLICTS OF INTEREST AND COMMITMENT
Activities that
may involve conflicts of interest or commitment fall into three general
categories that differentiate relationships according to potential for adverse
impact.
Category I: consists
of relationships that, while including some that are conflicts in a technical
sense, are allowable because they do not compromise the objectivity of research
results or other interests of the University, the sponsor, or the public. These
relationships are generally minimal in their personal financial impact, and
otherwise do not represent a potential source of bias.
Category II:
consists of relationships that may be permissible following disclosure and,
where necessary, the initiation of supervisory procedures designed to preclude
bias or other inappropriate actions and to ensure the maintenance of academic
standards and institutional integrity.
Category III:
consists of relationships that presumptively may be inappropriate for a faculty
member or EPA non-faculty employee. In such cases, the individual must
demonstrate to the University's satisfaction the compatibility of such
practices with University policy prior to going forward with the proposed
activity.
Provided below
are representative, but not all-inclusive, examples of activities in each of
these three categories. Please refer to Section IX below for important
definitions.
Category I:
Activities that
are routinely allowable and are not required to be disclosed pursuant to this
policy.
a) Receiving
royalties for published scholarly works and other writings or for inventions
pursuant to the University's Patent and Copyright Policies (Faculty Manual,
Part VII, Research Information).
b) Membership
in and service to professional associations and learned societies; membership
on professional review or advisory panels; presentation of lectures, papers,
concerts or exhibits; participation in seminars and conferences; reviewing or
editing scholarly publications and books; and service to accreditation bodies
are permitted under the ECU Policy Statement on External Professional
Activities of Faculty and other Professional Staff (Faculty Manual, Part VI,
General Personnel Information) so long as they do not conflict or interfere
with the timely performance of primary University duties. These activities are
permitted even if they are performed for nominal honoraria or reimbursement of
expenses, provided that the receipt of nominal honoraria or reimbursement of
expense is not in conflict with any other applicable University, state, or
federal policy, rule or regulation. These activities are not required to be
disclosed in this Policy's Annual Faculty/Professional Staff Disclosure Form.
However, a "Notice of Intent to Engage in External Professional Activity"
may be required pursuant to ECU's policy (Faculty Manual, Part VI, General
Personnel Information).
c) Ownership
of or equity in a corporation used solely for the individual's consulting
activities provided such consulting activities are appropriately reported and
approved in accordance with Faculty Manual, Part VI, General Personnel
Information, External Professional Activities of Faculty and Other Professional
Staff.
Category II:
Activities that
may be allowable following disclosure and, where necessary, the implementation
of monitoring procedures.
a) Participating
in University research (basic, applied, and clinical) on a technology developed
by that individual or a member of his of her immediate family, unless the
activity is specifically disallowed under the guidelines of Category III.
b)
Participating
in University research involving a technology owned by or contractually
obligated (by license, option or otherwise) to a business in which the
individual or immediate family has a consulting relationship.
c)
Receiving
through contract or gift University sponsored research support (whether in
dollars or in kind) for research from a business in which the individual or
immediate family has a consulting relationship.
2. External
Activities
a) Serving
on the board of directors or scientific advisory board of a business from which
that individual or immediate family receives University-sponsored research
support or with which the University has a substantial contractual relationship
known to the individual, unless the activity is specifically disallowed under
the guidelines of Category III.
b)
Assuming an
executive position in a not-for-profit business with which the University has a
substantial contractual relationship known to the individual and which is engaged
in commercial or research activities in a field related to the individual's
University responsibilities, unless the activity is specifically disallowed
under the guidelines of Category III.
3. Ownership
a) Possessing
a significant financial interest, including a significant consulting
relationship, in a business that competes with the services provided by the
University as a part of their academic, research, or service mission.
b)
Possessing
a significant financial interest, including a significant consulting
relationship, in a business field related to the individual's University
responsibilities, unless the activity is specifically disallowed under the
guidelines of Category III.
c)
Requiring
or recommending one's own textbook or other teaching aids, materials, or
equipment to be used in connection with University programs or those of
immediate family. Such a requirement or recommendation must be preceded by
disclosure and review according to this policy.
4. Other
a) Acceptance
by the University employee or immediate family of other than nominal gratuities
or special favors from one whom the individual knows is doing business with or
proposing to do business with the University.
b)
Engaging in
any other activity that has the potential for creating a conflict of interest
or commitment as defined herein.
Category III:
Activities that
are presumptively not allowable. Many
of the examples below may seem to overlap examples in Category II above;
however, the addition of ‘significant financial interests’ in the activities
below creates the presumption that these activities are not allowable.
1. Research
Activities
a) Participating
in University research involving a technology owned by or contractually
obligated (by license, option, or otherwise) to a business in which the individual
or immediate family holds significant stock or similar significant ownership
interest, or has any other significant financial interest, other than a receipt
of University-sponsored research support, or receipt of royalties under
University royalty sharing policies.
b)
Receiving,
through contract or grant, University sponsored research support (whether in
dollars or in kind) for research from a business in which the individual or
immediate family holds a significant stock or similar significant ownership
interest or has any other significant financial interest.
c)
Assigning
students, postdoctoral fellows or other trainees to University projects
sponsored by a for-profit or not-for-profit business in which the individual or
immediate family has a significant financial interest, including a significant
consulting relationship.
2. External Activities
a) Assuming
an executive position in a not-for-profit business with which the University
has a substantial contractual relationship known to the individual and which is
engaged in commercial or research activities in a field related to the
individual's University responsibilities.
b)
Making
referrals of University business to an external business or professional office
in which such individual or immediate family has a significant financial
interest, including a significant consulting relationship.
c)
Associating
one's name or one's work with an external activity in such a way as to profit
monetarily by trading on the reputation or good will of the University or to
imply sponsorship or endorsement by the University. An example of a context in
which such an association might occur is external professional activity for
pay. Mere identification of the University as the employer of the individual
and of the individual's position at the University is permitted by this
section, provided that such identification is not used in a manner that implies
sponsorship or endorsement by the University.
3. Public
Disclosure
a) Publishing
or formally presenting University sponsored research results, or providing
expert commentary on a subject, with out simultaneously disclosing any
significant financial interest relating to such results or such subject.
b)
Unauthorized
use of privileged information acquired in connection with one's University
responsibilities to further one's own personal interests.
4.
Administrative Responsibilities
a) Taking
administrative action in the course and scope of University responsibilities
that is beneficial to a business in which the individual or an immediate family
member has a significant financial interest, including a significant consulting
relationship.
b) Influencing
the negotiation of contracts between the University and an outside organization
with which the individual or an immediate family member has a significant financial
interest, including a significant consulting relationship.
5. Committee
Participation
a) Serving
on a committee of a governmental agency or private entity during the
consideration by such a committee of the regulation or application of a
technology that is owned by or contractually obligated to a business in which
that individual or immediate family has a significant financial interest,
including a significant consulting relationship.