Categories of Financial Conflicts of Interest

I. Activities routinely allowable upon disclosure:

  1. Receiving royalties for published scholarly works and other writing
  2. Receiving royalties for licensed inventions under the university IP policy.
  3. Receiving honoraria or expense reimbursement for a secondary University employment responsibility (professional associations, service on review panel, participation in accreditation reviews).

II. Activities that may be allowable following disclosure and, where necessary, the implementation of an approved management plan:

  1. Requiring students to purchase a textbook or instructional materials (either self authored or authored by immediate family member) which produces compensation for the individual or family member.
  2. Receiving compensation or gratuities from any individual or entity doing business with the University.
  3. Serving on the board of directors or scientific advisory board for any enterprise that provides financial support for University research & individual or immediate family members benefit from that support.
  4. Having a financial interest in a publicly or non-publicly-traded entity or enterprise.

III. Activities that are presumptively not allowable, unless an approved management plan is in place:

  1. Participating in research involving a technology owned by or contractually obligated to an enterprise or entity in which the individual or immediate family member has a consulting relationship, an equity or ownership interest, or holds an executive position.
  2. Participating in research which is funded by a grant or contract from an enterprise or entity in which the individual or immediate family member has an equity or ownership interest in.
  3. Assigning student, post-doctoral fellows or other trainees to University research projects sponsored by an enterprise or entity in which the individual or immediate family member has a financial interest.

IV. Activities that are not allowable under any circumstances:

  1. Making referrals of University business to an external enterprise in which the individual or immediate family member has a financial interest.
  2. Associating an individual’s name with the University in such a way as to profit financially by trading on the reputation or goodwill of the University.
  3. Making unauthorized use of privileged information acquired in connection with one’s University responsibilities.
  4. Signing agreements that assign University IP rights to third parties.
  5. Any activity otherwise prohibited by law or university policy.

COI primary contact

Lisa A. Goble, PhD
Director, Office of Research Integrity
Phone: 336.256.1173