(Board Policy 330.1, Fayetteville Policies and Procedures 404.0)
Preamble
University employees need to be sensitive to the possibility that outside
obligations, financial interests, or employment may affect their
responsibilities and decisions as members of the University community.
Involvement of University employees in outside activities, both public and
private, often serves the interests of the individual, University, and general
public. Participation of individuals in activities outside the University is
encouraged to the extent that they do not interfere with the mission of the
University in preserving, generating, and disseminating knowledge.
University employees may be faced with situations that conflict with their
obligations, responsibilities, and decisions related to the mission of the
University. These conflicts can generally be categorized as conflicts of
interest and conflicts of commitment. Conflicts of interest are situations in
which University employees may have the opportunity to influence University
administrative, business, or academic decisions in ways that could lead to
personal gain, give improper advantage to self or others, or interfere with the
preservation, generation, or public dissemination of knowledge. Conflicts of
commitment are situations in which University employees' time and effort given
to outside activities and interests interfere with their obligations and
responsibilities to the University.
Conflicts of interest and commitment are not necessarily unwarranted,
unethical, or illegal. Furthermore, conflicts of interest and commitment are not
always avoidable. The failure to disclose situations that have the potential for
or involve actual conflicts of interest or commitment, however, may be unethical
and/or illegal.
Disclosure and Remediation
Situations that have the appearance of, potential for, or involve actual
conflicts of interest or commitment must be reported in writing to the
employee's appropriate supervisor (i.e., department chair, dean, director, vice
chancellor). Written disclosure should be made by the individual before any
agreements are completed between the employee, University, and any outside
organizations. Modifications to existing agreements should be reported as they
occur. In addition, continuing agreements should be reported on an annual basis.
In disclosing these situations, the employee should indicate any steps that can
or will be taken to avoid or minimize any conflicts.
After consulting with the employee, considering whether an actual or
potential conflict of interest or commitment exists, and the ramifications for
the University, the supervisor will provide the employee with a written
interpretation and any proposed remedial actions within five additional working
days. The supervisor will provide a copy of the document to his or her superior
for approval within five additional working days and retention. Employees may
appeal the interpretation, decision, or proposed remediation to the Chancellor
or the Chancellor's designee. The supervisor or superior shall refer serious
conflicts to the Chancellor or designated official. The Chancellor or designee
will immediately appoint an ad hoc committee of at least five members, along with
appropriate ex officio members, to review the situation and make recommendations
within twenty working days.
The decision of the Chancellor or official designee will be final. (A form
for disclosure of potential conflicts of interest and commitment may be found on
the web site at: http://vcfa.uark.edu/Documents/4040FormA.pdf or obtained
from the offices of deans, directors, or department heads.)
Guidelines
The following list provides some examples of the type of situations that may
involve conflicts of interest or commitment and, hence, should be disclosed.
Because a particular situation appears on the list does not necessarily mean
that a conflict of interest or commitment exists. Even if a conflict exists, the
situation may be unavoidable or in the University's best interest and, hence,
allowed to continue.
The list of situations is not exhaustive. Other situations or activities may
exist that have the appearance of, potential for, or involve actual conflicts.
Situations, whether listed below or not, that have the appearance of, potential
for, or involve actual conflicts of interest or commitment should be disclosed.
- Employee or immediate family member ownership, management, or other
business ties with a private or public organization that has dealings with the
University.
- Participation in outside business activities.
- Teaching credit
or noncredit courses, seminars, or workshops not for the University.
- Requiring material for use by students for which the instructor derives direct
or indirect financial benefit.
- Fees provided for professional service
including consulting, honoraria, royalties, or expert testimony.
- Continuing
role in the scientific and technical efforts of a commercial enterprise.
- Personal payments, income, gifts, or other benefits received or promised from an
organization proposing or sponsoring research.
- Private remuneration for
University research provided by an individual or organization.
- Revenues from
patents or licensed technology.
- Service or financial interest in an entity
that provides research grants or contracts.
- Direct commercial or financial
interests of immediate family members in employee's research.
- Transfer of
technology to an organization in which the employee or immediate family members
have an interest.
- Time and effort in extramural activities that interfere
with obligations, duties, and responsibilities to the University.
- Employee
or immediate family member having a financial interest in University decisions.
- Use of University facilities, employees, or students in personal or
commercial activities.
- Use of official University position for
personal/family gains/interests.
- Appointment, promotion, supervision, or
management of an immediate family member. (See Section 3.12)
- Acceptance of
gifts or gratuities offered because of University position.
- Use of
University credit, purchasing power, or facilities for non-University
activities.
- Advertising endorsements based upon University position.
- Outside activities influencing decisions or behavior with respect to
preservation, generation, and dissemination of knowledge (e.g., delaying
dissemination of research information, diverting to external organizations
research opportunities that the University would have a normal expectation to
obtain).
Related Board Policies include: Service on Boards of Financial Institutions
(215.1), Contracting Authority (300.1), Nepotism (410.1), Outside Employment of
Faculty and Staff Members for Compensation (450.1), Political Activity (465.1),
and Use of University Facilities (705.1).
Grants and contracts that may involve a potential conflict of interest are
subject to review and approval procedures. Board Policy provides that the
University shall not, without approval of the Chancellor or Vice President for
Agriculture, enter into a contract with a current or former state employee,
member of the Arkansas General Assembly, state constitutional officer, or board
or commission member, or the immediate family member of any of those persons, or
any entity in which any of those persons holds ownership interest of ten percent
or greater.