Conflict of Interest

The term “Conflict of Interest” refers to situations in which financial or other personal considerations may directly and significantly affect, or have the appearance of directly and significantly affecting, a person’s judgment in exercising their University responsibilities. Such situations do not necessarily imply wrongdoing or inappropriate activities. However, it is important that these situations are disclosed and appropriately managed.

The term “Conflict of Commitment” relates to the distribution of effort between one’s University appointment and one’s outside activities. The latter may include professionally related activities such as involvement with professional societies, participation on review panels, and external professional activities for pay.

All full-time, permanent, and permanent part-time employees, including SHRA, faculty, and EHRA Non-Faculty, must submit a COI Certification form annually.

The COI Policy does not apply to temporary employees.

• All Permanent Employees Every Fiscal Year

• Within thirty (30) days of:
  • Assuming new University employment responsibilities; or,
  • Of discovering or acquiring any financial interests or activities for which certification is required
• With each sponsored research proposal submission, you will be prompted to update your current COI Certification if applicable.
• Ten days prior to engaging in an External Professional Activity for Pay

Conflict of interest relates to situations in which financial or other personal considerations may compromise, involve the potential for compromise, or may have the appearance of compromising an employee’s objectivity in meeting University duties or responsibilities, including research. The bias that such conflicts may impart can affect many University duties, including, but not limited to:

• 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
• The use of statistical methods
• And the mentoring and judgment of student work.

SHRA Conflict of Interest Form (for Current N.C. A&T Employees)

SHRA New Hire Conlict of Interest Form

Informational Guide to Completing the SHRA Conflict of Interest Annual Certification Form

Appendix D: Report of Potential Conflict of Interest Related to Employees (SHRA)

Appendix E: Report of Activities and Relationships with an Entity(s) Doing Business with the University (SHRA)

Secondary Employment Form

EHRA Conflict of Interest Form (for Current N.C. A&T Employees)

EHRA New Hire Conflict of Interest Form 

Informational Guide to Completing the EHRA Conflict of Interest Annual Certification Form

Appendix A: Report of Potential Conflict of Interest Related to Students (EHRA)

Appendix B:  Report of Potential Conflicts of Interests Related to Course Materials or Publications (EHRA)

Appendix C: Report of Activities and Relationships with Business Sponsoring University Activities or Doing Business with the University (EHRA)

External Professional Activities for Pay Notice of Intent Form 

If an employee or manager identifies a conflict of interest, then the following forms may need to be completed in addition to the COI Annual Certification form:

A Conflict of Interest Management Plan (Appendices A,B,C,D, or E) may need to be completed by the employee and reviewed with the supervisor before submission to the Office of Employee Relations. 

• Appendix A, B, or C, (If checked “yes” on any of the questions on the EHRA COI Certification Form)
• Appendix D or E (If checked “yes” on any of the questions on the SHRA COI Certification Form)
• Request for Secondary Employment; (EHRA or SHRA employees) or,
• Notice of Intent for External Professional Activities for Pay (EHRA employees)

The Request for Approval of Secondary Employment or Notice of Intent for External Professional Activity for Pay needs to be reviewed and approved by the employee’s manager, and the signed form needs to be attached to the COI form.  Please note that Notice of Intent for External Professional Activity for Pay only applies to EHRA employees.

A Conflict of Interest Management Plan may need to be completed if a conflict of interest is identified. Management of any conflict is determined on a case-by-case review, specific to the situation.  However, below are some general management strategies for handling conflicts of interests, including but not limited to:

• Recusal from decisions involving the hiring of family members or close friends
• Recusal from decisions involving an outside company with whom the employee or an employee’s family member has a relationship
• Limitations on using subordinates or students in outside activities without agreements and/or supervision changes in place
• Agreements to use university resources for outside activities (equipment, materials, time, labs/space, etc.)
• Certification of conflicts to research collaborators, team members, and the public in writing, scholarly publications, presentations, and articles/press releases.

Conflict of interest management strategies must be included in the COI management plan.

COI Management Plans

Please use the appropriate form for the COI management plan.  The applicable COI management plan form is generally based on the questions that you answered “yes” to on the COI certification form.  Please contact the Office of Employee Relations at employeerelations@ncat.edu if you need help completing the COI management plan or have questions about it.

SHRA Employees: Once the employee completes the applicable appendix, Request for Approval of Secondary Employment, then they are to attach it to the COI Certification form electronically.  By signing the COI Certification form, the employee acknowledges the accuracy of the form and any attachments. Once it is signed and submitted, the form and any attachments are sent to the employee’s supervisor for review and approval.  The supervisor electronically signing the COI certification form acknowledges the approval of said form and any attachments.  Once the supervisor signs the form, it will be sent electronically to the Office of Employee Relations, Division of Human Resources.  Below are links to the COI management plan forms.  Please complete the form(s) that is applicable to your situation/conflict of interest.

EHRA (Faculty and Non-Faculty) Employees:  When an employee chooses yes to a question in sections 1-3 on the COI Annual Certification form, a drop-down box will appear with questions for you to answer.  Once you answer all the necessary questions, please sign and submit the form.  The form will then be routed to your supervisor for review.

EHRA COI Management Plans

Appendix A: Report of Potential Conflict of Interest Related to Students (EHRA)

• If you check yes, for any question in Section 1

 Appendix B:  Report of Potential Conflicts of Interests Related to Course Materials or Publications (EHRA)

• If you check yes for any question in Section 2

 Appendix C: Report of Activities and Relationships with Business Sponsoring University Activities or Doing Business with the University (EHRA)

• If you check yes, for any question in Section 3

SHRA COI Management Plans

Appendix D: Report of Potential Conflict of Interest Related to Employees (SHRA)

• If you check “yes” for the first question

 Appendix E: Report of Activities and Relationships with an Entity(s) Doing Business with the University (SHRA)

• If you check yes, for the third question

Secondary employment is work or services provided that produce income and is performed for an entity outside of the University, including self-employment.  Secondary employment applies to SHRA employees.  Employees must have approval from their supervisor or leadership before engaging in any secondary employment.

If an employee is seeking secondary employment, then the Request for Approval of Secondary Employment must be completed and submitted to the employee’s supervisor to ensure the secondary employment does not create a conflict of interest and does not have an adverse affect on the primary employment with the University.  If secondary employment creates a conflict of interest or impairs an employee’s ability to carry out their primary job duties and responsibilities, then secondary employment will not be approved.

Supervisors may withdraw approval for secondary employment at any time if the employment has an adverse impact on the employee’s ability to perform the job responsibilities.

The form is to be completed before engaging in secondary employment and within thirty (30) days of changes in secondary employment. Also, the form must be updated annually.

Once the form is complete, it will need to be attached to the Conflict of Interest form and submitted. The COI Certification and the Request for Secondary Employment Approval form will be electronically routed to the employee's supervisor for review and approval.

For questions about Secondary Employment, please contact the Office of Employee Relations, Division of Human Resources at employeerelations@ncat.edu

Secondary Employment Policy

Secondary Employment Form

External Professional Activities for Pay applies to EHRA employees and are activities that are

 1) not included in one’s University Employment Responsibilities;

2) performed for any entity, public or private, other than the university;

3) undertaken for compensation; and

4) based upon the professional knowledge, experience, and abilities of the employee.

Consulting is an example of External Professional Activities for Pay. However, External Professional Activities for Pay are to be undertaken only if they do not:

1. Create a Conflict of Commitment by interfering with the obligation of the individual to carry out all University Employment Responsibilities in a timely and effective manner; generally,
2. Create an unmanageable Conflict of Interest because of the individual’s status as a Covered Individual of the University;
3. Involve any inappropriate use or exploitation of University resources;
4. Make any use of the name or marks of North Carolina A & T University for any purpose other than professional identification; or
5. Claim, explicitly or implicitly, any institutional responsibility for the conduct or outcome of the External Professional Activities for Pay.

External Pay for Activities Policy 

External Professional Activities for Pay Notice of Intent Form 

Q: Another US academic institution has asked me to be a paid consultant or independent contractor on a grant. Is this an EPAP?

A: In general, all federally funded research should route through the University.  If the nature of the engagement is research, then the activity is likely NOT an EPAP since research is one of the three missions of the University and often part of part of your university work. The likelihood that the activity is not an EPAP, but should be university work, increases if a federal agency funds the grant work at the other university.

However, if the work is not research in nature AND the other university is paying for consulting from their own internal funds, then the activity might be an EPAP. Careful review is needed at the department level and other University offices as applicable for any such proposed activity to ensure relevant University policies or concerns are being addressed.  As a reminder, some concerns, but not limited to this list, center around the use of University resources, personnel, University titles and attribution, software programs, and Intellectual Property

Q: I am in an EHRA NF position. Would my EPAP requests be reviewed differently than faculty?

A: Yes, because the two categories are different in the nature of their jobs. Employees working in EHRA NF positions have a detailed set of responsibilities and duties. Replicating such type of work for another entity is generally not allowed. Using your professional knowledge to provide guidance for another entity could be allowable.

Q: It is easier to have my own consulting firm to handle my speaking and/or consulting engagements rather than use my personal name. Do I have to submit an EPAP?

A: Yes, you must submit an EPAP for the consulting firm AND indicate the entities with which the consulting firm is contracting work. For example, if you are a health clinician, and your consulting firm is ABC Health Services, your EPAP will need to indicate that entity. BUT you will also need to indicate the companies that ABC Health Services is working with such as Duke Health, , People Pharmaceuticals, or XYZ Therapeutics and Healthcare