Conflicts of Interest

A conflict of interest may occur when a person uses his or her position for personal or professional gain. All members of the University of Kentucky are to avoid even the perception of any conduct that might lead others to conclude they are using their position inappropriately to advance professional, private or familial interests. Common conflicts of interest are:

Accepting gifts or incentives from vendors or organizations through one’s work with UK (Administrative Regulation (AR) Ethical Principles and Code of Conduct; UKHC Policy A01-030).
Nepotism, showing favor to relatives or friends, especially through hiring or promotions (AR Ethical Principles and Code of Conduct).
Self-Interest, such as a personally- or family-owned company benefitting from the relationship to the university (AR Ethical Principles and Code of Conduct; UKHC Policy A01-030).
Identifying oneself as an employee of the university in the public promotion or advertising of commercial products without prior written approval (AR Ethical Principles and Code of Conduct).
A romantic relationship between a superior and a subordinate (AR Ethical Principles and Code of Conduct; UKHC Policy A01-030).

Competing interests can make it difficult to fulfill duties impartially. When conducting or participating in any transaction, full disclosure of any real or perceived conflict with personal interests is required. If there is a potential conflict, the party must be removed from further participation. After disclosure, the university can make a judgment about the activity and ensure appropriate oversight, restrictions, or prohibitions in accord with these policies. It is important to remember that each situation is different, and many factors will need to be considered to determine whether an actual conflict of interest exists.

For the convenience of university personnel, University of Kentucky Internal Audit has compiled this list of administrative regulations, policies and procedures related to conflicts of interest, gifts, confidentiality, and working relationships, as well as UK’s Ethical Principles and Code of Conduct and the UK Clinical Enterprise Code of Conduct Addendum.

Governing Documents

Specifically discusses independence of judgment, free from conflicting interests and acceptance of gifts or benefits. Click here for the policy.

Outlines the policies affecting faculty and staff at the University, such as employment based on merit, employment of relatives, and appointment of faculty. Click here for the policy.

Establishes the University Ethics Committee and provides clear direction and outlines their responsibilities. Click here for the policy.

The intent of this regulation is to enable university faculty employees to recognize situations in which their conduct may violate university policies on conflicts of interest or conflicts of commitment. Click here for the policy.

This regulation authorizes faculty practice plans for all university health science colleges. Click here for the policy.

Defines Significant Financial Interest and the Research Conflict of Interest Committee. Click here for the policy.

Focuses on Research activities; discusses required disclosures for real or perceived conflicts. Provided direction has the opportunity to be applied to non-research activities. Click here for the policy.

This outlines the process for all university units to request, through the President, approval of University Capital Projects by the Board of Trustees. Click here for the policy.

This regulation establishes the policies and procedures whereby the President delegates authority to administrative officers to enter into certain agreements and authorize payments on behalf of the university. Click here for the policy.

Defines fiscal roles and responsibilities for all employees so that University operations are well-planned, controlled, and accurately reported. Click here for the policy.

To provide reasonable assurance regarding the safeguarding of University assets and the achievement of operational, financial reporting, and compliance objectives. Click here for the policy.

To outline the development, review, approval, and implementation of new and revised policies at UK HealthCare.

To set forth the code of ethics applicable to the operations of UK HealthCare. Click here for policy.

To provide guidelines for the conduct of faculty, staff, students and house officers to comply with applicable law and to avoid conflicts of interest.

Provides detailed procedures regarding what to do if employees are planning to participate in an activity that may be prohibited and/or defining prohibited activities. Click here for policy.

To outline the procedure for full disclosure of financial conflicts of interest by UK HealthCare members. Click here for policy.

Provides the guidelines for healthcare professionals to avoid the acceptance of inappropriate gifts. Click here for policy.

Establishes the code on interactions for pharmaceutical and biotechnology companies with healthcare professionals that relate to the marketing of products. Click here for policy.

If you suspect a potential conflict of interest situation within your respective department, you should inform the Office of Legal Counsel. If you have reason to believe that any of the above situations is or has taken place, please contact UKIA immediately in one of the following ways:

In-person at 1648 McGrathiana Parkway, Suite 340, Lexington, Kentucky 40511
Complete the anonymous reporting form on our website
Email the Chief Accountability Officer and Audit Executive
Call UKIA's mainline 859-257-3126
Call the UK Anonymous Reporting Service at 877-898-6072
Or file a report on the Office of Legal Counsel website here.

Conflicts of Interest

Governing Documents

AR Ethical Principles and Code of Conduct

AR Regulations Affecting Employment

AR 1:7 University Ethics Committee

AR 3:9 Consulting and Other Overload Employment

AR 3:14 Practice Plans for Health Science Colleges and University Health Services

AR 7:2 Financial Conflicts of Interest in Research

AR 7:9 Institutional Conflicts of Interest Involving Research

AR 8:2 Policies and Procedures for the Approval of Capital Projects

AR 8:3 Contract and Transaction Approval Authority

BPM E-1-3 Fiscal Roles and Responsibilities

E-1-4 BPM Internal Control

UKHC Policy 01-000 Policy Development, Review, Approval and Implementation

UKHC Policy A01-005 Code of Ethics

UKHC Policy A01-015 UKHC Code of Conduct Addendum

UKHC Policy A01-030 Conflicts of Interest

UKHC Policy A01-160 Annual Disclosure of Financial Conflicts of Interest

AMA Code of Conduct

PhRMA Code of Conduct dated 2002