conflicts of interest in the academy: recognition and management dave broome senior associate...
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Conflicts of Interest in the Conflicts of Interest in the Academy: Recognition and Academy: Recognition and ManagementManagement
Dave BroomeSenior Associate General Counsel
NC State University
20 March 2002
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Introduction Introduction
What are Conflicts of Interest and Conflicts of Commitment?
Why is the university concerned?What is the process for identifying them?Once identified, how handle? Consequences if not handled properly?
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Overview Overview
Conflicts of Interest in the academic community concern:– Government (State and Federal)– Press – Publishers– Peers– Public
How these conflicts are managed determines perception of integrity
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Conflict of Commitment Conflict of Commitment DefinedDefinedWhen pursuit of outside activities involves
an inordinate investment of time that interferes with one’s obligations to University responsibilities
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Managing Conflicts of Managing Conflicts of CommitmentCommitment
External Activity for Pay (Consulting) Review
“Time” related
Generally more easily dealt with
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Conflict of Interest DefinedConflict of Interest Defined
Financial or other considerations that may compromise (or have the appearance of compromising) one’s objectivity or independent professional judgment in meeting university duties or responsibilities
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FEDERAL REQUIREMENTSFEDERAL REQUIREMENTS
National Science Foundation
Public Health Service
Both require recipients of federal research $$ to have policies and require reporting of financial conflicts of interest.
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Managing Conflicts of InterestManaging Conflicts of Interest
Annual Report of Activities (all faculty and EPA Professionals)
Immediate updates as circumstances changeDepartment Head and Dean decisionsGuidance:
– UNC OP Policy– NCSU Implementation
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UNC OP CATEGORIESUNC OP CATEGORIES
Allowable, with no reporting required – Receiving royalties from copyrighted works or
patented inventions under UNC Patent and Copyright Policies
– Ownership of a corporation, if its function is to accommodate the employee's consulting activities.
– Receiving nominal compensation (e.g., honoraria or expense reimbursement) for service to professional associations, on review panels, presentation of scholarly works, etc.
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UNC OP CATEGORIESUNC OP CATEGORIES Require disclosure but generally manageable
– Serving on the board or scientific advisory board of an enterprise that provides financial support for university research, where the employee receives the support.
– Serving in an executive position or having ownership in a business that conducts research or other activities in an area related to the employee’s university duties.
– Having a financial interest in a business that competes with services provided by the university.
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UNC OP CATEGORIESUNC OP CATEGORIES Require disclosure and presumptively not allowed
– Participating in research involving a technology owned by or licensed to a business in which the individual or an immediate family member has a consulting or ownership relationship, or holds an executive position.
– Participating in or assigning students, post-docs, etc. to research projects funded by a business in which the individual or an immediate family member has an ownership interest.
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NCSU IMPLEMENTATIONNCSU IMPLEMENTATION
Questionnaire
“Yes” answers trigger use of appendices with more detailed questions.
Full disclosure gives “coverage.”
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NC Gen. Stat. 14-234NC Gen. Stat. 14-234
Statutory Conflict of InterestRewritten in last sessionViolation is a misdemeanor, andA contract made in contravention of the
statute is void.
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NC Gen. Stat. 14-234 (Cont.)NC Gen. Stat. 14-234 (Cont.)
“No …employee who is involved in making or administering a contract on behalf of a public agency may derive a direct benefit from the contract.”
“Administers” = oversees performance, or make decisions about the contract.
“Direct Benefit” = >10% ownership in other party, or derives income directly
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NC Gen. Stat. 14-234 (Cont.)NC Gen. Stat. 14-234 (Cont.)
Even if not involved in “making or administering” the contract, it’s illegal for one getting direct benefit to “attempt to influence” any other person who is involved in making or administering the contract.
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ONCE IDENTIFIED, THEN WHAT?ONCE IDENTIFIED, THEN WHAT?
REDUCE
MANAGE
ELIMINATE
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TYPICAL METHODS TO TYPICAL METHODS TO REDUCE OR MANAGE REDUCE OR MANAGE
CONFLICTS OF INTERESTCONFLICTS OF INTEREST Full disclosure; Perhaps intrusive, but also
protective (personnel record = confidential) Use a different Principal Investigator Ad Hoc Committee to insulate the employee
with conflict (e.g., project management/publication oversight)
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MORE METHODS TO REDUCE MORE METHODS TO REDUCE AND MANAGE CONFLICTS OF AND MANAGE CONFLICTS OF
INTERESTINTEREST Letter to Students/Trainees explaining the
conflict
Management of Equity
Burden is on the conflicted employee to satisfy administrators
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CASE STUDIESCASE STUDIES
SEE HANDOUTS
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More InformationMore Information
http://www.ncsu.edu/sparcs/policy/policies.html
Contains UNC Policy and NCSU Implementation
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SummarySummary
Lessons Learned: – What are conflicts of interest and commitment?– Why is it important to identify and manage them?– How are they disclosed and handled at NCSU?
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