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Scope

Staff and faculty employees not working on sponsored programs

Policy Statement

The mission of the University is to promote learning through teaching, research, scholarship, creative accomplishment, and service. As a natural outgrowth of the University's mission, it may be appropriate and desirable that Members of the University (hereinafter defined as faculty and salaried employees of the University) be professionally involved in outside activities such as lecturing at other institutions, practicing their profession, consulting and serving in professional and community organizations. Such activities can enrich teaching, extend professional expertise, and contribute to the advancement of knowledge. In addition, it is recognized that Members may from time to time have ownership interests in, compensation arrangements with, or various other relationships involving, third parties with which the University conducts business.

While outside activities are generally encouraged and other relationships may be permitted, in some circumstances they can give rise to apparent conflicts. These conflicts can exist when a Member has certain financial or other interests or relationships or when there is a commitment of time or effort to non-University activities that prohibits a Member from meeting his/her obligations to the University. For the purposes of this policy "Conflict of Interest" and "Conflict of Commitment" have been defined as follows:

1. Conflict of Interest occurs when a Member is in a position to influence a decision on University policies, purchases, programs or decisions from which he/she or a close family member or other associate might directly or indirectly receive a benefit. Such benefits can include, but are not limited to, receipt of a financial gain, gift, gratuity, favor, notoriety, or participation in nepotism or bribery.
2. Conflict of Commitment arises when a Member's involvement in outside activities substantially interferes with his/her primary commitments to the University. Such interference can include, but is not limited to, performance of outside activities (i) during a Member's work hours for the University, or (ii) other than during work hours to an extent that renders the Member incapable of satisfactorily performing his/her responsibilities to the University.

Conflicts of interest that relate to an investigator's financial interests being affected by research, scholarhip, education or other externally funded activity are covered under Section 3.08 of The Faculty Manual.

Conflicts of Interest or Commitment may occur even though a Member's outside activities involve comparatively little time.

If a Member engages, or proposes to engage, in any activity which involves any actual, potential, or apparent Conflict of Interest or Conflict of Commitment, the activity and the conflict(s) must be promptly disclosed in writing to the University Administrator (i.e., supervisor, director, dean, department chairperson, vice president, senior vice president, or vice chancellor) having the most immediate supervisory relationship to the Member, before the Member engages in or continues his/her engagement in the activities which produce the conflict.

In addition,

1. Members of the Chancellor's Cabinet shall complete and deliver to the Chancellor, on an annual basis and whenever prior responses have materially changed, a Conflicts Questionnaire in the form prescribed by the Chancellor.
2. The following persons: (i) direct reports to members of the Chancellor's Cabinet, (ii) personnel assigned to the Central Purchasing Department, Library, Food Services Department, Bookstore or Publications Department, who are authorized to make independent purchasing decisions on behalf of the University (collectively, "Purchasing Agents"), and (iii) those persons who directly or indirectly supervise Purchasing Agents and who are directly or indirectly supervised by direct reports to the Chancellor's Cabinet, shall complete and deliver to the University's Conflicts of Interest Coordinator, on an annual basis and whenever prior responses have materially changed, a Conflicts of Interest/Commitment Questionnaire in the form prescribed by the Chancellor, to his/her designated Conflicts of Interest Coordinator for administrators and staff. The Conflicts of Interest Coordinator shall ensure that the appropriate University Administrators are informed of conflicts existing within their respective areas of responsibility.

All submitted Questionnaires shall be kept on file for such period of time as may be determined appropriate by the Chancellor, or the Conflicts of Interest Coordinator, as applicable.

University Administrators shall use their best efforts to resolve conflicts reported to them consistent with the mission of the University, but may prohibit a conflict in its entirety if they determine that such resolution is not possible. Any appeal of a University Administrator's decision can be made through the appropriate supervisor, director, dean, department chairperson, vice president, senior vice president, or vice chancellor, with final appeal to the Chancellor. Any decision of a University Administrator must be in writing, and it is the responsibility of the Member, as well as the University Administrator, as the case may be, to ensure that a written decision is provided.

In addition to the disclosures required by this Policy and Policy 3.08 of The Faculty Manual, policies 3.02 through 3.04 of the Faculty Manual and the Outside Professional Consulting by Non-Faculty Employees policy set forth additional requirements that must be fulfilled in connection with a Member's outside professional consulting activities.

Failure of a Member to disclose and resolve or avoid an apparent Conflict of Interest or Conflict of Commitment in accordance with this Policy, or to comply with the consulting policies referenced in the preceding paragraph, may result in administrative actions in accordance with University policies found in The Faculty Manual and the University Policies web site, in addition to any legal penalties under state and federal laws that may be appropriate. Such administrative actions may include oral admonishment, written reprimand, reassignment, demotion, suspension, or separation.

Members of the University are expected to use good judgment, professional commitment, and highest standards of ethics and integrity to protect themselves and the University from conflicts. Any Member having questions about policy or practice regarding Conflicts of Interest or Conflicts of Commitment should inquire with his/her supervisor, or vice president or the Conflicts of Interests Coordinator.

This Policy may be amended from time to time pursuant to the University's policies and procedures in effect for amending documents setting forth University policy.

Policy Administration

• Secretary to the Board of Trustees (COI coordinator and member of the Board of Trustees) for Cabinet members
• Executive Vice President and CFO (COI Coordinator for all other administrators)
• Director of Audit and Management Advisory Services (AMAS) for post-audit of annual COI reporting process

Links to Procedures and Related Information

• Faculty Manual
  • Consulting and Research Faculty Manual (3.01)
  • Professional and Outside Activities Faculty Manual (3.02)
  • Consulting During the Academic Year Faculty Manual (3.03)
  • Consulting During the Summer Faculty Manual (3.04)
  • Conflicts of Interest and Commitment - Faculty and Research staff (3.08)
• Conflict of Interest and Commitment for Principal Investigators and Senior Personnel on Sponsored Programs
• Outside Professional Consulting by Non-Faculty Employees

Date: November 2002