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POLICY

Academic Conflict of Interest and Conflict of Commitment

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Purpose of this Policy

The purpose of this policy is to establish consistent guidelines for Academic Conflict of Interest and Conflict of Commitment.

Scope of this Policy

This policy applies to Faculty, administrators and staff in the NYU Academic Community.

     LIST OF CONTENTS

I.  General Principles
II. Policy Definitions
III. Conflict of Commitment

A. Definition
B. Policy and Discussion

IV. Conflict of Interest

A. Definition
B. Policy and Discussion
C. Types of Conflict of Interest

(1) Outside Activities and Other Personal Activities

(a) Outside Activities and Other Personal Activities Generally
(b) Outside Research Activities
(c) Outside Teaching Activities
(d) Requirements Related to Permissible Outside Activities, including Consulting, by NYU Faculty and Investigators

(2) Scholarship and Other Academic Activities
(3) Activities Creating a Conflict of Interest

(a) Improper Use of NYU Resources
(b) Obtaining, Using or Disclosing Confidential Information
(c) Failing to Disclose and Assign Inventions and Discoveries
(d) Competing with NYU
(e) Business Arrangements For Personal Benefit
(f) Gifts Intending to Influence
(g) Compliance with University Policies

D. Circumstances Under Which Conflicts of Interest May Be Permitted
E. Training

V. Procedures: Disclosures, Review and Responsibilities

A. Disclosures

(1) Faculty and Other Investigators: Annual Disclosures
(2) Faculty and Other Investigators: Research and Other Sponsored Projects: Reporting Requirements
(3) Faculty and Other Investigators: Ad Hoc Disclosures

B. Review Procedures

(1) Review of Annual and Ad Hoc Disclosures
(2) Review of Research and Other Sponsored Projects Disclosures

C. Responsibilities

(1) Faculty Advisory Committees on Conflict of Interest and Conflict of Commitment
(2) Responsibility of the Senior Vice Provost for Research
(3) Responsibility of the Executive Vice President for Health
(4) Responsibility of the School Deans (other than the Dean of the School of Medicine)
(5) Responsibility of the Dean of the School of Medicine

D. Appeals
E. Enforcement
F. Record Retention

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Notes
  1. Dates of official enactment and amendments:
  2. History: Supersedes NYU Statement of Policy on Faculty Responsibility to the University, as approved on December 10, 1984 - New York University Supplemental Guidelines for Disclosure and Review of Conflicts of Interest in Research, as endorsed on February 9, 1995
  3. Cross References: blank

About This Policy

Effective Date: August 24, 2012
Supersedes: NYU Policy on Adcademic Conflict of Interest and Conflict of Commitment, July 1, 2011
Issuing Authority: University Provost
Responsible Officer: Senior Vice Provost for Research

POLICY DEFINITIONS

Conflict of Commitment, as discussed in greater detail in Section III, occurs when a faculty member’s Outside Activities compromise or may compromise his or her ability to meet the faculty member’s obligations to NYU. 

Conflict of Interest, as discussed in greater detail in Section IV and in the Addendum on Conflicts of Interest in Research and Other Sponsored Projects, means any circumstance in which the personal, professional, financial or other interests of an individual (including the Immediate Family Members of the individual) may potentially or actually diverge from, or may be reasonably perceived as potentially or actually diverging from, his or her professional obligations to NYU and the interests of NYU.  A Conflict of Interest may exist whenever an independent observer might reasonably question whether the individual's professional actions or decisions, including the ethical and objective conduct of scholarship, research or clinical care, are determined by considerations of personal gain, financial or otherwise.  A conflict of interest under the Addendum on Conflicts of Interest in Research and Other Sponsored Projects constitutes a Conflict of Interest under this policy. 

Consulting refers to any remunerated Outside Activity involving an individual’s professional competence.

Employment/Management/Fiduciary Role means a position involving service, in either a personal or representative capacity, as an employee, executive, manager, officer, director, trustee, or equivalent in a business, enterprise or entity other than NYU or an entity that is 50% or more owned or controlled by NYU. 

Entity includes the entity itself and entities that own or control, are owned or controlled by or are under common ownership or control with the entity, with ownership and control defined as a 50% or greater direct or indirect interest.

Immediate Family Members include an individual’s spouse or domestic partner or person in a civil union or similar relationship, dependent children, and any other family members residing in the same household.

Investigator means the principal investigator or program director, and any other person, regardless of title or position, who is responsible for the design, conduct or reporting of Research and Other Sponsored Projects, or who proposes funding for the Research and Other Sponsored Projects, at or under the auspices of NYU  For purposes of this policy, other than for the Addendum on Conflicts of Interest in Research and Other Sponsored Projects, Investigator only includes members of the University Community.  Most, but not all, Investigators are NYU faculty members.

NYU includes the Schools and other units of NYU, NYU’s Global Network University sites, and all University Affiliates (as each term is defined in NYU’s Policy on Policies, as amended from time to time).

Outside Activities include any external Consulting or other business activities and external professional or academic endeavors, such as public service or pro bono work, performed outside of the faculty member’s appointment to NYU or an Investigator’s employment or association with NYU. 

Ownership Interest means holding a financial or ownership interest in a business or entity, including stock, stock option, warrant, convertible debt, partnership interest, or LLP/LLC interest, or other ownership interest or right to obtain an ownership interest.  The value of an Ownership Interest is determined through reference to public prices or other reasonable measures of fair market value where public prices are not available. 

Remuneration includes salary and any payment for services not otherwise identified as salary (e.g., consulting fees, honoraria, paid editorial or authorship activities, travel reimbursement and travel paid).  Honoraria paid, travel paid and travel reimbursements by a federal, state, or local government agency, or a non-profit institution of higher education, an academic teaching hospital, a medical center or a research institute, for scholarly and professional activities performed in connection with a faculty member’s appointment to NYU, such as lectures or seminars, editorial or authorship activities, service on advisory committees or review panels (including professional associations), are excluded from the definition of Remuneration.

Research and Other Sponsored Projects means any research project conducted at or under the auspices of NYU, whether or not externally funded, and any externally funded training or professional service project conducted at or under the auspices of NYU.  Research and Other Sponsored Projects includes any systematic investigation, study or experiment designed to develop or contribute to generalizable knowledge, including basic and applied research (e.g., a published article, book or book chapter) and product development (e.g., a diagnostic test, drug or device), and non-research projects such as training, clinical services, educational conferences, exhibitions, performances, archives, workshops, and library projects for which external funding is received.  Research and Other Sponsored Projects includes any such activity for which funding is available from external sources through a grant, contract or agreement, including, but not limited to, research grants, career development awards, center grants, individual fellowship awards, infrastructure awards, institutional training grants, program projects and research resources awards. 

School means each NYU school, college and institute that functions similarly to a school or college (such as IFA, ISAW, Courant and CUSP), each NYU comprehensive campus (such as New York and Abu Dhabi) and also may include for purposes of this policy other global sites as designated by the Provost.

School Dean means the dean, or his or her designee, of each NYU school and college, the director or each NYU institute that functions similarly to a school or college (such as IFA, ISAW, Courant and CUSP) and the Vice Chancellor of each NYU comprehensive campus (such as New York and Abu Dhabi). In the case of other NYU global sites that have faculty and/or Investigators, the Provost may designate someone to fulfill some or all of the duties of a School Dean as described herein with respect to such global sites.

University Community means NYU faculty, including visiting faculty; researchers, including persons participating in research at or under the auspices of NYU; employees; professional staff, including medical, dental and nursing staff; volunteers; fellows, trainees and post-doctoral appointees; students; and consultants, vendors and contractors.

 

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