Facilities Management Services

 DIRECTIVE NO. 105A                                                                   DATE:  November 6, 1997

 SUBJECT:   Conflicts of Interest

 DISTRIBUTION: A

REVIEW DATE: June, 2000

POSITION RESPONSIBLE FOR REVIEW: Deputy to the AVP

 

PURPOSE: To establish a policy and procedures for conflict of interest situations.

BACKGROUND: REFERENCE 1 distributes the university Conflict of Interest policy, Buyers’ Code of Ethics statement, and Anti-Kickback clause covering circumstances that may arise from activities related to the academic and research mission and goals of the university. FMS concerns for conflicts of interest generally fall into two categories: Supervisory decision-making and procurement decision-making.

The following types of relationships can raise concerns about the fact or appearance of a conflict of interest:

1. Personal relationships to others, within or outside the university, by family, marriage, or shared financial interest (such as an ownership interest, a loan or a lease, an employment relationship, or a partnership or contract); and

2. Personal interactions involving gifts or benefits of more than insignificant worth or value received from vendors who are under consideration for FMS business.

The following types of actions, combined with those relationships, may create a conflict of interest, or the appearance of a conflict:

1. Supervisory actions or decisions involving employment, compensation, scheduling, work assignments including overtime and call-outs, performance evaluation or recognition, promotion and discipline that apply to, or affect, or are of material benefit to a person with whom an FMS staff member has a personal relationship.

2. Procurement actions or decisions involving solicitation, nomination, exclusion or inclusion on "long" or "short" lists of bidders, involving materials specifications or bid specifications, involving bidder selections or contract awards, or involving inspection, acceptance or approval for payment of goods or services, and affecting a vendor with which an FMS staff member has a personal interaction.

POLICY: It is FMS policy for staff members, by their awareness of this policy, by their insights from discussions with knowledgeable colleagues, and by their use of good judgment, professional commitment, and high ethical standards, to avoid conflicts of interest and the appearance of conflicts of interest.

PROCEDURES:

1. Conflict of interest statement FMS staff members with responsibility for supervisory or procurement decision-making sign copies of ATTACHMENT 1, "Conflict of Interest Acknowledgment," to document that they know of this policy.

2. University purchasing procedures FMS staff members with responsibility for procurement decision-making read and understand REFERENCE 1 containing the Buyers’ Code of Ethics statement and the Anti-Kickback clause.

3. Preventive actions

3.1. FMS staff members disclose to their supervisors the existence of potential conflicts of interest, or the appearance of conflicts, prior to taking supervisory actions.

3.2. FMS staff members who make or participate in procurement decisions decline personal gifts or benefits that exceed standard accepted industry practices, and all gifts from vendors or contractors or consultants who are under active consideration for FMS business.

3.3. FMS staff members discuss with their colleagues and supervisors the existence of potential conflicts of interest, or the appearance of conflicts, that could arise from making or participating in procurement decisions.

3.4. FMS staff members abstain from making or participating in procurement decisions or actions that will lead to actual conflicts of interest, or that are seen as creating the appearance of conflicts.

4. Disciplinary actions FMS addresses conflicts of interest in accordance with the university's disciplinary procedures and applicable grievance procedures. Referral to external law enforcement and adjudication measures also may occur.

RESPONSIBILITIES:

1. Directors are responsible for identifying staff members in their areas who have supervisory or procurement decision-making responsibilities, for providing them with copies of this directive, for counseling them on the need for their scrupulous observance of its procedures, and for obtaining from them signed copies of ATTACHMENT 1, Conflict of Interest Acknowledgment.

2. Supervisors are responsible for initiating appropriate disciplinary measures involving actual conflicts of interest.

3. FMS staff members are responsible for disclosing and discussing the existence of potential conflicts of interest or the appearance of conflicts, and for abstaining from actions or decisions that cause actual conflicts of interest, or that are seen as creating the appearance of conflicts.

 

REFERENCE:

1. University Purchasing Policies memorandum and attachments, dated July 28, 1997

CANCELLATION(S): DIRECTIVE NO. 105

SIGNATURE:

Oscar H. Mayer
Deputy to the AVP

ATTACHMENT:

1. Conflict of Interest Acknowledgment