THE UNIVERSITY OF NORTH CAROLINA AT ASHEVILLE FACULTY SENATE Senate Document Number 1393F Date of Senate Approval 12/16/93 Signature of Senate Chair ___________________________ Date _________________ Action of Vice Chancellor: Approval __________________________________ Date ____________________ Denied __________________________________ Date ____________________ Reasons for denial and suggested modifications: - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Statement of Faculty Senate Action: FWDC #1: UNCA Policy on Conflict of Commitment and Conflict of Interest The Code of The University of North Carolina affirms that the basic mission of the faculty is "the transmission and advancement of knowledge and understanding." Faculty employment entails the three responsibilities of teaching, scholarly research and publication, and other professional service to the institution and to society. Realization of those objectives is facilitated and encouraged by certain distinctive characteristics of employment within an academic community which differs markedly from the conventional work-day and work-week employment models in most business and industrial settings. At UNCA faculty and professional staff responsibilities extend beyond time-specific assignments such as in-class teaching, designated office hours, etc. to include a broad range of professional activities necessary to accomplish our public liberal arts university mission. Achievement of these responsibilities necessitates a more fluid schedule and time commitment than is expected for hourly employees or in a non-academic setting. The freedom afforded these professionals carries with it a substantial responsibility to the University and our students. Issues associated with the use of discretionary time and professional talent often concern what is commonly called Conflict of Commitment and Conflict of Interest. These terms are defined as: Conflict of commitment relates to an individual's distribution of effort between obligations to one's university employment and one's participation in other activities outside of university employment. The latter may include such generally encouraged extensions of professional expertise as professional consulting. Such activities promote professional development and enrich the individual's contributions to the institution, to the profession, and to society. However, a conflict of commitment occurs when the pursuit of such outside activities involves an inordinate investment of time that interferes with the faculty member's obligations to students, to colleagues, and to the missions of the university. Conflict of interest relates to situations in which financial or other personal considerations may compromise, may involve the potential for compromising, or may have the appearance of compromising a faculty member's objectivity in meeting university duties or responsibilities, including research activities. The bias that such conflicts may impart can affect many university duties, including decisions about personnel; the purchase of equipment and other supplies; the collection, analysis and interpretation of data; the sharing of research results; the choice of research protocols; and the use of statistical methods. A faculty member may have a conflict of interest when he or she, or any member of that person's immediate family, has a personal interest in an activity that may affect decision making with respect to university teaching, research or administration. Policy on Conflict of Commitment Policies and practices currently in place at UNCA allow for regular and frequent review of faculty and professional staff and reporting of activities which may interfere with normal teaching and learning responsibilities and administrative functions. These policies and practices are described in the UNCA Faculty Handbook and in the UNCA Policies and Procedures Manual. Policy on Conflict of Interest All faculty members and professional staff persons must arrange their professional activities and financial interests to avoid circumstances that do (or may) prevent or limit objectivity in the performance of university responsibilities or that otherwise do (or may) affect adversely any university interests. 1. Categories of Potential Conflicts of Interest Activities that may involve conflicts of interest can be categorized under three general headings: First, those that otherwise might appear to involve such a conflict but that in fact do not, are allowable, and need not be reported; second, those that are questionable and must be reported, but that may be allowable with administrative approval; and third, those that generally are not allowable. a. Activities Allowable, with no Reporting Required Activities external to university employment which may present the appearance of a technical conflict, but that in fact do not have the potential for affecting the objectivity of the faculty member's performance of university responsibilities. At most, some such situations could prompt questions about conflicts of commitment. Examples of these activities include: 1) A university employee receiving royalties from the publication of books or for the licensure of patented inventions subject to the UNC Patent and Copyright Policies. 2) A university employee having an equity interest in a corporation, the exclusive function of which is to accommodate the employee's external consulting activities. 3) A university employee receiving nominal compensation, in the form of honoraria or expense reimbursement, in connection with service to professional associations, service on review panels, presentation of scholarly works, and participation in accreditation reviews. b. Activities Requiring Disclosure for Administrative Review This category includes activities of faculty and professional staff which suggest the possibility of conflicting loyalties that can impair objectivity but for which disclosure and resulting analysis of relationships may render the activity permissible, perhaps with certain types of limitation or monitoring. Examples of activities in this category include but are not limited to: 1) Required purchase of textbooks or instructional materials written by faculty or immediate family members and which produces compensation for the author(s). (See UNCA Faculty Handbook, page 76, for our policy on this item; note that our current policy is somewhat in conflict with this proposed policy.) 2) Maintenance of financial interests in a business which competes with services provided by the university. 3) Serving on a board of directors or advisory board of an enterprise which provides financial support for university research and which provides financial support to the university employee or a member of his/her family. c. Activities or Relationships that Generally are not Allowable Situations that are not generally permissible, because they involve potential conflicts of interest or they present obvious opportunities or inducements to favor personal interests over institutional interests. Before proceeding with such an endeavor, the faculty member must sustain the burden of demonstrating that in fact his or her objectivity would not be affected or university interests otherwise would not be damaged. These situations include but are not limited to: 1) Participation in university research involving a technology owned by or contractually obligated to (by license or exercise of an option to license, or otherwise) a business in which the individual or a member of his or her immediate family has a consulting relationship, has an ownership interest, or holds an executive position. 2) Participation in university research which is funded by a grant or contract from a business in which the individual or a member of his or her immediate family has an ownership interest. 3) Assignment of students or other trainees to university research projects sponsored by a business in which the individual or a member of his or her immediate family has an ownership interest or to a project from which the university employee may otherwise derive personal gain. 4) Acceptance of support for university research under conditions that require research results to be held confidential, unpublished, or inordinately delayed in publication (other than as allowed by University Patent and Copyright Policies or by policy of the Board of Governors dated February 12, 1988, Administrative Memorandum No. 260). 5) Referrals of university business to an external enterprise in which the individual or a member of his or her immediate family has a financial interest. 6) Association of an employee's own name with the university in such a way as to profit financially by trading on the reputation or goodwill of the university. Avoiding Conflict of Interest 1. Procedures In August of each year, the CC and CI forms will be distributed to covered university employees by the appropriate Vice Chancellor. By the end of the first week of classes of each Fall Semester, all faculty members and professional staff are to submit to their immediate supervisor a completed Conflict of Commitment and Conflict of Interest form. Submissions are: to departmental chair or program director for faculty; to the VCAA for departmental chairs/program directors; to the appropriate Vice Chancellor for all professional staff; and, for the VC's, to the Chancellor. Faculty members and professional staff are responsible for revising the information on their CC and CI form in order to keep it current. Revisions may be made as necessary at any time during the academic year and must be made in advance of the initiation of a new activity which may appear to involve either a Conflict of Commitment or Conflict of Interest. THE UNIVERSITY OF NORTH CAROLINA AT ASHEVILLE Report on conflict of Commitment and Interest Activities Name Department Reporting Period (AY) / / I have no activities that I am required to report. (If you check here, sign Part III below and return to your Chair/Director.) (Please check only if you have no external income producing activities AND no possible conflicts of interest or commitment as described by policies in the UNCA Faculty Handbook, Section .) Part I: Conflict-of-Interest Screening Questions (If you answer yes to any of the following questions, please list and attach an explanatory statement.) No Yes / / / / 1. Do you have a consulting or other financial relationship with a sponsor of your research? / / / / 2. Do you have a managerial role or a significant financial relationship with a company in a field of your research or a company that does business with UNCA? / / / / 3. Do you have non-university professional or income-producing activities involving either UNCA students or staff? / / / / 4. Do you or any member of your immediate family have any other relationships, commitments, or activities that might constitute or appear to constitute a conflict of interest or commitment with your UNCA appointment? Part II: Listing of Non-University Income-Producing Activities (Append separate sheet if necessary) Retrospective (last yr.) Prospective For Whom? Time Commitment (Coming Year) Nature of the Activity (eg: Company, Organization) (days) (days) Part III: Affirmation I affirm that I have read the UNCA policies on Conflict of Commitment and Interest (Faculty Handbook, Section ) and that the information submitted in this report is true to the best of my knowledge. Signature (Return to your Departmental Chair/Program Director) Part IV: Administrative Review / / No activity is reported and to the best of my knowledge, no conflict exists. Reported Activity: Conflict-of-Interest/Commitment Review Based on the activity reported, and to the best of my knowledge and in my judgment: a) No conflict of interest or commitment exists. b) A conflict of interest or commitment may exist, but does not appear to be significant. (If so, please attach an explanation and forward to VCAA.) c) A conflict of interest or commitment may exist that warrants further review. (If so, please attach an explanation and forward to VCAA.) Please complete if question 3 on the front of the form is answered affirmatively: As described by the academic staff member, the involvement of UNC students and/or staff in his/her non-university activities does not appear to be detrimental to those individuals. a) Agree b) Disagree (If so, please attach an explanation and forward to VCAA.) Approval of Activities Retrospective Activities No retrospective activities are reported or all retrospective activities are approved. Some or all retrospective activities are not approved. (Attach explanation, sign form, and forward to VCAA.) Prospective Activities No prospective activities are reported or all prospective activities are approved. Some or all declared prospective activities are not approved. (Attach explanation, sign form, and forward to VCAA) Chair/Director Signature Date VCAA Signature