East
Carolina University Faculty Manual
APPENDIX
I.
ECU
POLICY ON CONFLICTS OF INTEREST AND COMMITMENT
VII. Institutional Conflict of Interest
East Carolina University, from time to time, forms
relationships with profit-making entities (including the holding of equity
interests) for mutual benefit. However,
such relationships may put the University into actual or apparent conflict of
interest situations when accepting grants or contracts from the profit making
entities for research or other activities.
(See exclusion at the end of this section for certain types of relationships.)
To assure that these grants and contracts are performed with the highest level
of integrity by University employees and to assure that the public maintains it
trust in University activities, the following procedures shall be followed:
1.
At
the beginning of each calendar year, the Director, Office of Technology
Transfer shall prepare a disclosure listing all profit-making entities in which
the University has a significant financial interest (See Section IX.4). This
disclosure shall be updated during the year as new relations develop and old
ones terminate. This disclosure and its
updates will be submitted to the Vice Chancellor for Research and Graduate
Studies who shall distribute the disclosure to the Chancellor, the other Vice
Chancellors and Deans, and the Research Ethics Oversight Committee. Copies of
the disclosure and updates shall also be distributed to those university
administrative offices charged with approving and administering grants and
contracts and human subjects research protection (Office of Sponsored Programs, Office of Grants and Contracts
Administration and the UMCIRB).
2.
Units
submitting proposals for external funding to commercial entities may not be
aware of possible institutional conflict of interest issues. Thus, the Office of Sponsored Programs shall
have the primary responsibility of notifying Vice Chancellor for Research and
Graduate Studies and the submitting unit of the University’s conflict of
interest as part of its regular procedures for the review and approval of such
applications. The Vice Chancellor or
his designee shall then develop a plan to manage the institutional conflict of
interest after consultation with the submitting unit and other relevant
university offices. The conflict
management plan shall be submitted to the Research Ethics Oversight Committee
for review. The Committee may approve
the plan (with or without mandatory changes) or disapprove the plan. University acceptance of grants and
contracts related to a management plan is contingent upon approval of the
management plan by the Committee. A
negative decision of the Committee may be appealed to the Chancellor. An institutional conflict management plan
may range from a simple disclosure of the University’s interest in publications
and reports emanating from the grant or contract to complete University
divestiture of the financial interest. The institutional conflict of management
plan shall be separate from and in addition to any conflict management plans
for conflicts of interests of individuals (e.g., the principal investigator) involved
in the grant or contract.
3.
When
considering an institutional conflict of interest management plan, the Research
Ethics Oversight Committee shall a) include as voting members, one or more
individuals from the general public who have no direct or indirect relationship
with the University, i.e., the individuals and their spouses or other
dependents must not be current employees or students of the University; and b)
recuse from the deliberations of the Committee any ECU member of the Committee
who has been involved in the negotiation, approval, or implementation of the
relationship that is the basis of the actual or perceived conflict of
interest. The general public members of
the Committee should be individuals that have sufficient education or experience
to understand both the issues before the Committee and the possible impacts of
the Committee’s decisions on the general public.
4.
Arrangements
for plan implementation and oversight shall explicitly be part of an
institutional conflict management plan.
Implementation and oversight will usually be the joint responsibility of
the submitting unit and the Office of the Vice Chancellor for Research and
Graduate Studies. However, other
arrangements shall be made for plan implementation and oversight if, in the judgment
of the Research Ethics Oversight Committee, such arrangements are necessary for
the effective management of the conflict.
Excluded Relationships: A relationship with a profit making organization for the purposes
of this institutional conflict of interest policy shall not include ordinary
investments of the university’s endowment that are managed by the Board of
Trustees of the Endowment Fund or ordinary client-vender relationships where
the University contracts for specific goods or services from a profit-making
organization.