E110: Conflict of Interest in Research

Approved By: Faculty Senate and UNM President
Effective Date: December 22, 2025
Responsible Faculty Committees: Research Policy Committee
Office Responsible for Administration: Vice President for Research and Health Sciences Vice President for Research (HSVPR)

Applicability

This Policy applies to all investigators who are responsible for the design, conduct, or reporting of University of New Mexico (UNM) research, including UNM faculty, staff, students, post-doctoral fellows, and volunteers, and non-UNM investigators who are not subject to their own institutional conflict of interest (COI) policy. The Policy covers actual and potential COI associated with participation in UNM research, which includes:

Policy Rationale

The purpose of this Policy is to protect the integrity, trust, and respect of UNM, its academic community and its research activities. This Policy is intended to enable compliance with applicable laws and other regulatory requirements and to protect investigators who may be exposed to conflict of interest (COI) including conflict of commitment (COC) situations when conducting research. It is designed to inform investigators of their disclosure responsibilities, provide an efficient method for making disclosures, and facilitate effective identification and management of COIs or COCs.

Policy Statement

Members of the UNM community are engaged in many contractual, consulting, and advisory relationships with other universities, government agencies and private sector entities. UNM encourages these relationships for their contributions to research, education, technological advancement, and professional development. UNM members must be cautious, however, to prevent unresolved COIs or COCs in these relationships that might undermine the credibility of their work or damage their reputation. Additionally, full-time faculty members and researchers must be mindful of their obligation to devote their primary professional efforts and allegiance to UNM. Other activities should not interfere or significantly conflict with this responsibility. It is the intent of this Policy to provide assurance to investigators, UNM, sponsors of institutional research, and the public that research activities at UNM will be conducted in a manner consistent with institutional and public values.

1. Conflicts of Interest (COI)

COI or the appearance of COI may occur when an investigator's research responsibilities compete with their private interests, such as financial interests, raising questions of objectivity and improper gain. COIs are inevitable in modern research universities and do not imply any impropriety on the part of the investigator. A COI may exist despite the highest standards of conduct and candor. Most conflicts can be successfully resolved without impeding research activities.

2. Disclosure

Disclosing the required information at the earliest possible time will afford the best protection of an investigator's interests. Investigators are required to disclose any situation that to the best of their knowledge could conceivably be viewed as a COI or a reportable financial interest, and to favor more rather than less disclosure. See the Definitions Section of this Policy for examples of situations that may require disclosure. Individuals who are uncertain about this Policy's application to their situation should contact the Office of Research Integrity and Compliance (ORIC) or HSC Conflict of Interest and Commitment Office (collectively, UNM COI offices) for assistance.

3. Training Requirements

Investigators must complete COI training as required by UNM COI Offices every four (4) years, unless funding agency and sponsor policies require more frequent training. When certain revisions to this Policy are made, when an investigator changes institution, or when an investigator is found to be out of compliance with this Policy, training will be required within sixty (60) days.

4. COI Committees

There will be one or more COI committees formed at the Provost's and Executive Vice President for Health Sciences (EVPHS)’s discretion. The applicable COI Committee will regularly review and assess COI disclosure forms referred to them by a UNM COI Office to determine whether an actual or potential conflict exists and work with the investigator to determine how it should be resolved or managed to best protect the investigator, the institution, and the research results.

5. Appeals

An investigator may appeal the COI Committee decision to the Provost/EVPHS or designee, who will meet with the investigator and the COI Committee (or its representative) prior to making a final decision on the appeal. The investigator will not have spending authority on research grants and contracts pending appeal.

6. Confidentiality of Disclosures

All individuals involved in handling a disclosure must exercise care at all times to protect the confidentiality of the disclosed information and the privacy of the investigator, to the extent permitted by law. Individuals may be required to sign appropriate confidentiality agreements, especially individuals external to UNM.

7. Applicability of Federal and State Rules

If a federal agency issues rules governing COI in sponsored UNM research, those rules will govern where applicable. This Policy is intended to comply with those requirements. Any changes in the federal requirements will supersede the relevant provisions of this Policy. New Mexico’s Governmental Conduct Act, NMSA Section 10-16-3 (C) also has disclosure requirements pertaining to potential conflicts that must be followed in addition to the federal requirements. UNM COI offices are responsible for updating the COI disclosure forms to follow the provisions of governing laws and rules related to COI.

Procedures

1. Initial Disclosure Procedures

1.1 Sponsored Research Proposals: UNM Investigators

1.1.1.

When required by the funding agency, prior to submission of a sponsored research proposal to the Office of Sponsored Projects (OSP) or the Health Sciences Sponsored Project Office (HS-SPO), all UNM individuals who will serve as investigators on the proposed research must submit a completed COI form that discloses the following, among other things:

1.1.2.

The principal investigator, and any co-principal investigator, are responsible for identifying the research investigators, informing them of the requirements of this Policy, and providing a list of their names to the COI Office. The COI Office must receive completed disclosure forms from each investigator prior to the proposal's submission to the funding agency. If the funding agency does not require a separate COI disclosure, the Annual COI Disclosure forms on file with a UNM COI Office will be deemed sufficient.

1.1.3.

No research expenditures associated with the individuals that may have a potential COI will be allowed on a new/renewed award until disclosures have been reviewed and any conflicts have been properly managed.

1.2. Sponsored Research Proposals: Non-UNM Investigators

For non-UNM investigators, the following conditions must be satisfied.

1.2.1.

If the research will involve a sub-award with an entity that employs the non-UNM investigator, that entity must provide adequate documentation to UNM that its system for compliance with federal and state COI requirements will address the proposed research. If the entity is unable to provide this documentation in a timely fashion, the non-UNM investigator must follow the disclosure requirements and procedures specified for UNM investigators. These actions must be completed prior submission of the proposal.

1.2.2.

If there is no sub-award, non-UNM investigators must follow the disclosure requirements and procedures specified for UNM investigators.

1.3. Unsponsored Research and UNM-Sponsored Research

1.3.1.

Each UNM investigator whose unsponsored research or UNM sponsored research involves human subject research, must submit a completed COI disclosure form to the COI Office. The disclosure form must be submitted to the COI Office. before the unsponsored or UNM sponsored research proposal is submitted to the Institutional Review Board (IRB). If a current or updated (see sections 2.1 and 2.2 below) Annual COI Disclosure is on file with UNM COI Offices, no additional disclosure is required.

1.3.2.

UNM employees working on unsponsored research at other institutions must submit a disclosure to UNM and provide the institution any applicable COI management plan.

2. Ongoing Disclosure Procedures

2.1.

Disclosure requirements apply for the duration of the UNM research. Investigators must disclose any of the following, among other things, that occur during the conduct of UNM research:

2.2.

Investigators must submit updated disclosure forms to the COI Office within thirty (30) days after the disclosable situation arises.

2.3.

All newly added investigators on UNM research must submit a completed COI disclosure form to the UNM COI Office within thirty (30) days from beginning work on the research. The principal investigator, and any co-principal investigator, are responsible for informing newly added investigators of this requirement and ensuring that they submit disclosure forms. Newly added investigators are subject to the ongoing disclosure requirements of this section.

3. UNM COI Offices and COI Committees

3.1.

The purpose of the COI Committees is to protect the integrity of investigators, UNM, human research subjects, and UNM research by identifying and resolving COIs when they exist. The UNM COI Offices and Committees carry out this charge in a manner that is intended to foster, not hinder, research relationships. In addition to reviewing COI disclosures, the UNM COI Offices and Committees may offer advice on general questions concerning COI.

3.2.

The UNM COI Office, in consultation with the relevant COI Committee Chair, may refer a disclosure to the COI Committee if the conflict has the potential to be categorized as high risk or otherwise requires COI Committee review.

3.3. COI Committee Composition

3.3.1.

The membership of each COI committee will comprise six (6) faculty members, one (1) person not primarily employed by UNM, and one (1) UNM official with administrative responsibility for contracts. Notwithstanding the formation of two (2) or more COI committees, these COI committees will be referred to collectively as "the COI Committee" in all other sections of this Policy.

3.3.2.

Members of the COI Committee will be selected by the Provost or the EVPHS in consultation with the current Chair of the relevant COI Committee.

3.3.3.

Each COI Committee member will serve a three (3)-year, renewable term. The terms will be staggered to allow for continuity and rotation of members. Upon adoption of this revised Policy, the members of the COI Committees established under previous Policy will continue to serve their appointed terms. The UNM official with administrative responsibility for contracts and grants may be assigned on the case-by-case basis, rather than serving the full term.

3.3.4.

Terms shall begin July 1 and will end on June 30, three (3) years later. In the event of a vacancy, the replacement committee member will be appointed by the same method and from the same category as the departing member and shall serve for the remaining duration of the departing member's term.

3.4. Decision Making

A quorum consisting of a simple majority of serving members is required for the COI Committee to perform its functions. Decisions are to be made by majority vote. The Committee may develop guidelines for reviewing and assessing disclosures.

3.5. Recusal of COI Committee Members

Under certain circumstances, COI Committee members may have to recuse themselves from reviewing a disclosure. The standard for recusal is a reasonable belief that a member may be unable to make a decision based solely on the evidence. Examples of situations that would warrant recusal include:

3.5.1.

COI Committee members may self-recuse at any stage in the review process.

3.5.2.

An investigator may request recusal of a member at any stage in the review process. The COI Committee will deliberate and decide on this request in the absence of the member whose recusal is sought.

3.5.3.

Upon recusal of a member, the COI Committee Chair, in consultation with the Provost/EVPHS, will select a temporary member from the same category as the recused member to serve on the COI Committee on an interim basis for the remainder of the disclosure review and assessment.

3.6. Removal of COI Committee Members

A member will be removed only for good cause and only by the Provost/EVPHS upon recommendation of a majority of a quorum of the COI Committee on which the member sat. Good cause will include:

4. Review and Management of COI Disclosures

4.1. Initial Screening

4.1.1.

The UNM COI Offices will be responsible for initial screening of COI disclosure forms. The UNM COI Office, in consultation with the applicable COI Committee Chair, will review all disclosure forms and refer those that indicate a possible COI to the applicable COI Committee, unless otherwise specified in any screening guidelines provided by the COI Committee. In addition, if the research involves human subjects, or research funded by a formal award from internal UNM sources based on submission of a proposal, the UNM COI Office will notify the Institutional Review Board (IRB) or the Research Allocation Committee (RAC) that COI exists.

4.1.2.

If the referred disclosure form was submitted by an investigator other than the principal investigator, the UNM COI Office will notify the principal investigator of the general nature of the referral without divulging the particulars of the disclosed information.

4.2. Determination of COI

4.2.1.

The COI Committees will regularly review and assess COI disclosure forms referred by the UNM COI Offices. If the COI Committee determines after initial review of a disclosure that no COI exists, it will conclude its assessment. If the COI Committee is unable to make this determination, it may invite the investigator who submitted the disclosure to meet with the COI Committee, COI Committee Chair, or designee and explain the circumstances of the UNM research and the possible COI. The COI Committee will determine whether a COI exists, and if so, work with the investigator to determine how it might be managed or resolved to best protect the investigator, the institution and the research results.

4.2.2.

On occasion, circumstances may require the Provost/EVPHS or designee to make an expedited decision to accept funding for UNM research before the COI Committee has had an opportunity to review a disclosure related to the research. In that event, the COI Committee subsequently will review and assess the disclosure according to its regular process. No research expenditures associated with the individuals that may have a potential COI will be made pending COI Committee review or resolution of the conflict.

4.3. Role of Principal Investigator

4.3.1.

When the investigator whose disclosure is reviewed by the COI Committee is not the principal investigator for the UNM research, the privacy of the investigator must be balanced with the principal investigator's need for sufficient information to manage the research responsibly. Accordingly, if the COI Committee believes upon initial review of the disclosure that a COI may exist, the COI Committee will ask the investigator for consent to reveal the disclosure to the principal investigator and to invite the principal investigator to meet with the COI Committee and participate in discussion of the research circumstances.

4.3.2.

If the investigator consents to the principal investigator's participation, the COI Committee will proceed accordingly. If the investigator refuses consent, the COI Committee will keep the disclosure details confidential and proceed in its assessment of the disclosure with the investigator's participation. Despite the refusal, the COI Committee may confer generally with the principal investigator about the research and the investigator's role in it, revealing no more than the overall nature of the possible conflict.

4.3.3.

If the COI Committee finds that an investigator who did not consent to the principal investigator's participation in the review process has a COI, the COI Committee will try to manage the conflict in a manner that does not involve the principal investigator. The principal investigator should be involved in the conflict management plan only if the plan would affect the conduct of the research. Without the involvement of the principal investigator, the COI Committee cannot remedy the conflict by recommending modification of the research protocol or oversight of the research. Consequently, refusal to involve the principal investigator may prevent the effective management of a conflict. If the investigator and the COI Committee cannot agree on a resolution that would not affect the research, the investigator must either consent to involvement of the principal investigator in managing the conflict or withdraw from the research.

4.4. Management of COI

4.4.1.

If the COI Committee determines that an investigator has a COI in UNM research, it will decide how the conflict should be managed so the research may proceed if at all possible. The COI Committee may impose conditions or restrictions to control, reduce or eliminate the possibility that the conflict will affect the objectivity of the research. The COI Committee may designate other UNM officials to assist in this process. Examples of conflict-of-interest management options include, but are not limited to:

4.4.2.

Any COIs must be resolved in accordance with a management plan approved by the COI Committee or the COI Committee Chair for the UNM research associated with the individuals that may have a potential COI to proceed. This applies to all UNM research that is subject to the disclosure requirements of this Policy, regardless of whether the research is funded. No conflicts may be waived. If a COI cannot be managed, the investigator must withdraw from the research or UNM may need to decline acceptance of the award or terminate the sponsored agreement.

4.5. Notification of COI Committee Decisions

4.5.1.

If the COI Committee determines that an investigator's disclosure does not constitute a COI, the UNM COI Office will provide written notification of the decision and rationale to the investigator.

4.5.2.

If the COI Committee finds that a COI does exist, the UNM COI Office will notify the investigator, the principal investigator if different from the investigator, the chair of the investigator's department, the director of the center, if appropriate, the dean, and the supervisor if the investigator is not a faculty member, of the existence of the conflict and the management plan.

4.5.3.

The COI Committee will provide copies of all of its decisions to the Provost/EVPHS and to either the Vice President for Research or the HSC Vice President for Research.

4.5.4.

If the research involves human subjects, or research funded by a formal award from internal UNM sources based on submission of a proposal, the UNM COI Office will notify the appropriate COI Committee that a management plan has been developed and approved.

5. Appeals

An investigator may appeal the COI Committee decision in accordance Section 5 of the Policy Statement above.

6. Reporting and Records Requirements

6.1. Reports to Research Sponsors

The UNM COI Offices, OSP, and HS-SPO will work to ensure that UNM complies with the research sponsor's requirements for reporting COIs.

6.2. Records Retention

The UNM COI Offices will keep records of all COI disclosures and all actions taken with respect to those disclosures for at least three (3) years after the later of these events:

7. Policy Enforcement

7.1. Types of Noncompliance

Noncompliance with this Policy can occur through the following actions:

7.2. Enforcement Responsibility

The Provost/EVPHS or designee is responsible for enforcing this Policy, including investigating and sanctioning noncompliance. The COI Committee is responsible for reviewing the cases referred to them during an enforcement process. The Provost/EVPHS or designee may consult with the COI Committee during this process.

7.3. Reporting Noncompliance

7.3.1.

Anyone who suspects that an investigator has not complied with this Policy may bring the matter to the attention of the principal investigator, if different from the investigator. If this is not feasible or does not resolve the matter, individuals should report their concerns to the Provost/EVPHS or designee. The COI Committee may likewise report its own concerns about an investigator's noncompliance.

7.3.2.

UNM encourages good faith reporting of COI concerns. UNM prohibits retaliation against a person who reports under this Policy in good faith. Retaliation for good faith reporting may result in disciplinary action up to and including dismissal. Similarly, UNM does not tolerate bad faith reporting. Reporting an individual in bad faith may result in disciplinary action up to and including dismissal.

7.4. Investigation

7.4.1.

The Provost/EVPHS or designee will investigate allegations of policy noncompliance. The procedures in FH Policy C07 “Faculty Disciplinary Policy” and FH Policy E40 “Research Misconduct” may be used for guidance.

7.4.2.

Any information that arises from the investigation that is disclosable under Section 1 of these Procedures above will be referred to the COI Committee for review and management.

7.5. Sanctions

The Provost/EVPHS or designee may employ a range of options and sanctions in handling investigator noncompliance, including disciplinary and legal action and refusing or rescinding acceptance of an award. If sanctions involve UNM faculty, staff, or students, UNM discipline policies must be followed.

7.6 Notification of Research Sponsors

If an investigator's noncompliance with this Policy may have biased the design, conduct, or reporting of the UNM research, UNM will promptly notify the funding agency. Research sponsors may impose additional restrictions, including suspension of funding.

Definitions

Conflict of Interest (COI) is a situation associated with an investigator's participation in UNM research where it reasonably appears, on an actual or potential basis, that the following circumstances may occur:

Examples of the types of situations that may come within this definition include but are not limited to:

Conflict Management comprises measures taken to address the risk of bias or the appearance of bias, protect research subjects, and maintain public trust in UNM research and its personnel when there may be a real or perceived COI. If the conflict can be managed, the COI Management Plan should be set forth in writing.

Investigator means the principal investigator, the co-principal investigator and any other person (including faculty, staff and students) paid or unpaid who is responsible for the design, conduct, or reporting of UNM research. Any individual responsible for a task that could have a significant effect on the research design, conduct, or reporting is considered to be an investigator, even if the individual does not have sole or primary responsibility for the task or the research.

Non-UNM Investigator means any person who is:

Reporting of Research includes the authorship of publications to journals or otherwise, generating and submitting reports to a research sponsor, presentation at conferences or technical meetings related to the research, other public presentations, or research funding proposals.

Significant Financial Interest (SFI) means anything of monetary value belonging to the investigator and their spouse or partner, and dependent children, including but not limited to:

SFI does not include the following:

UNM research means a systematic investigation designed to develop or contribute to generalizable knowledge, including basic and applied investigations and product development, that is:

Who Should Read This Policy

• Faculty, staff, and students conducting research.
• Members of the Faculty Senate and the Research Policy Committee.
• Academic deans or other executives, department chairs, directors, and managers.
• Administrative staff responsible for research management.

Related Documents

UNM Regents Policy Manual
RPM 1.1: Responsibilities of the Board of Regents
RPM 5.8: Intellectual Property
RPM 5.10: Conflicts of Interest in Research
RPM 5.13: Research Fraud
RPM 5.17: Conflict of Interest Waiver Policy for Technology Transfer
RPM 6.4: Employee Code of Conduct and Conflicts of Interest Policy

UNM Faculty Handbook
FHB C130: Outside Employment and Conflicts of Commitment
FHB E40: Research Misconduct
FHB E70: Intellectual Property Policy
FHB E80: Conflict of Interest Waiver Policy for Technology Transfer
FHB E90: Human Beings as Subjects in Research

University Administrative Policies and Procedures Manual
UAP 3720: Employee Code of Conduct and Conflicts of Interest

Federal Regulations

• 42 CFR Part 50
• 45 CFR Part 94
• 2 CFR 200.112
• PAPPG
• 34 CFR 75
• FAL Letter 2022-02

Contacts

Direct any questions about this policy to Office of the Vice President for Research (VPR) or the HSC Vice President for Research (HSVPR).

History

• December 11, 2025 - Approved by the UNM President
• November 25, 2025 - Amended and approved by the Faculty Senate
• September 7, 2022 - Updated to reflect title changes for Vice President of Research, HSC Sponsored Projects Office, and Executive Vice President for Health Sciences, per FHB Policy A53 procedures
• February 23, 2022 – Updated to reflect name change of the Science and Technology Corporation @ UNM (STC.UNM) to UNM Rainforest Innovations (UNMRI), per FHB Policy A53 procedures
• May 12, 2003 – Approved by the UNM President
• April 22, 2003 – Revised by the Faculty Senate
• April 11, 2000 – Adopted by the Board of Regents