Individual Conflict of Interest and Commitment

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Individual Conflict of Interest and Commitment

• Employee Training

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Agenda

• 1.What is a Conflict of Interest?
• -premises examples
• 2. What is a Conflict of Commitment?
• -premises examples
• 3. Why identify/manage conflicts?

• 4.Management Process
• 5.Disclosure Process
• 6.Confidentiality
• 7.Violations
• 8.Sanctions
• 9.Grievances
• 10.How to fill out and submit forms

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Conflict of Interest A Matter of Trust

• Growth in enrollment, programs, and scholarship
• Increased public awareness due to media attention
• Government requirement in certain contracts with
  RIT
• Maintaining public confidence in the integrity of
  RIT

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1. What is a Conflict of Interest?

• A Conflict of Interest exists whenever an
  employees personal, professional, commercial, or
  financial interests or activities outside of the
  Institute have the possibilitywhether potential,
  real, or perceivedof

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What is a Conflict of Interest?

• compromising the employees judgment
• (b) biasing the nature or direction of
  scholarship

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What is a Conflict of Interest?

• (c) influencing the employees decision or
  behavior with respect to teaching, student
  affairs, promotions and appointments, use of
  Institute resources, interaction with human
  subjects, or other matters of interest to the
  Institute or
• (d) resulting in personal or a family members
  gain or advancement at the expense of the
  Institute.

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What is a Conflict of Interest?

• The conflict exists by virtue of a relation-ship
  that could result in an undue influence on the
  employees professional judgment.
• You do not have to do anything improper to have
  a conflict of interest it is strictly
  situational.

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Managing Conflicts

• Most potential, real, or perceived conflicts of
  interest and commitment can be managed.
• The keys to managing conflicts are disclosure and
  transparency (openness and willingness to accept
  scrutiny).

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Underlying Premises

• Employees are expected to
• avoid ethical, legal, financial, or other
  conflicts of interest or commitment, including
  even the appearance of a conflict, that might
  impede or compromise their Institute
  responsibilities or the mission of RIT

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Underlying Premises

• Some external activities might present conflicts
  with Institute duties.
• Those activities must be carefully reviewed and
  monitored to prevent problems.

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Underlying Premises

• External relationships should be set up in ways
  that maintain the openness, scientific integrity,
  and independence crucial to academic endeavors.
• It is important to balance benefits accrued from
  outside activities against possible risks to the
  Institute, its employees, and students.

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Example of Conflict of Interest 1

• A Resident Advisors supervisor hires the RA to
  babysit her child in an RIT dormitory.
• A faculty member hires one of his students to
  babysit his child in his home.
• A staff member in charge of purchases for their
  department purchases from a company the spouse
  owns.

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Example of Conflict of Interest 2

• A faculty member hires his student to work in his
  start-up company. Several scenarios
• Student performs well at work but does poorly in
  coursework
• Student performs poorly at work but does
  excellent coursework
• Faculty member is also students thesis advisor

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Example of Conflict of Interest 3

• In Dept. X all scholarship requirements are
  fulfilled thru consultation.
• Most consulting work requires the consulting
  professor to keep all work proprietary.
• Thus, there is no direct benefit to the
  Department, to its students, or to RIT from this
  professional practice.

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2. What is a Conflict of Commitment?

• Employees external commitments, relationships,
  or activities that
• interfere or compete with the Institutes mission
• interfere with ability or willingness to perform
  the full range of responsibilities associated
  with his or her position

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Underlying Premises

• Most external activities are compatible with, and
  often beneficial to, the duties of RIT employees.
• The disclosure process and ICIC policy are not
  intended to discourage non-RIT activities that do
  not present potential conflicts.

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Underlying Premises

• Management of potential conflicts is in the best
  interest of all employees.
• RIT faculty, staff, and students all bear a
  shared responsibility for oversight.
• RIT will support employees who have disclosed
  conflicting interests and are following the
  management plan.

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Example of Conflict of Commitment 4

• A faculty member wishes to teach a course on
  Subject S at RIT, but cannot do so because he
  also teaches a course on S at another
  University U, whose contract with the faculty
  member specifies that University U owns the
  course.
• RIT wishes to commission the faculty to develop a
  course on S. Faculty mbr. must decline due to
  his contract with U.

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Example of Conflict of Commitment 5

• A faculty member is senior editor of a publishing
  company.
• He has not authored any books or articles in the
  past two years.
• He has the company e-mail manuscripts to his RIT
  office, where he can more conveniently review or
  print them.
• Students complain of canceled meetings.
• Routine administrative duties for RIT have been
  handled in hasty emails that were posted evenings
  and weekends.

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3. Why Identify/Manage Conflicts?

• Conflicts are not always financial in nature and
  therefore may be difficult to identify.
• RITs reputation is one of its most important
  assets it must be safeguarded from even the
  appearance of a conflict.

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Why Identify/Manage Conflicts?

• Facilitate the free flow of knowledge and ideas
• Ensure that alliances with external entities
  further the aims of the individual and the
  Institute
• Promote the integrity of academic decision-making

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Why Identify/Manage Conflicts?

• Comply with State law and Federal regulations
• Enhance ability to recruit, retain, and recognize
  students and employees
• Maintain funding for research
• Maintain research integrity

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Why Identify/Manage Conflicts?

• Maintain public trust in RIT and its employees
• Ensure public and RIT resources are used
  appropriately

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4. RITs Process for Managing Conflicts

• Educate Inform faculty, staff, and students of
  the ICIC policy
• Disclose Guide them as they engage in
  non-Institute activities
• Manage Enable those activities to be monitored
  appropriately

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Management Process

• The RIT conflict of interest/commitment
  management process begins with disclosure to
  ones immediate supervisor.
• All regular faculty and staff must disclose their
  outside professional activities.
• Office of Legal Affairs will monitor disclosures
  and follow-up to ensure compliance by employees.

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Family members are defined as parents, siblings,
spouses, in-laws, domestic partners, children,
and dependents.
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5. Disclosure Process

• Which outside activities must I disclose?
• Relationships, commitments, or activities (yours
  or your family members) that might present (or
  appear to present) a conflict of interest or
  commitment
• Note These activities may be paid or
  unpaid.

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Significant Financial Interests

• Significant financial interests, although not
  defined by RIT policy, are stipulated by federal
  research regulations as financial interest
  exceeding 10,000 or representing more than 5
  ownership regardless of dollar value.
• When in doubt, disclose.

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Required Disclosures

• Which outside activities must I disclose?
• Significant financial interests
• Fiduciary obligations (looking after assets on
  someone elses behalf)
• Work for or consulting with an outside entity

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Required Disclosures

• Which outside activities must I disclose?
• Hiring RIT students or other RIT employees I
  supervise in an external entity in which I or my
  family member holds a significant financial
  interest
• Directing purchasing opportunities to a company
  in which I or my family member holds a
  significant financial interest

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Disclosure Not Required

• Which outside activities do not have to be
  disclosed?
• Serving as an officer, board member, or volunteer
  in a non-profit organization, professional,
  community-based, or charitable organization (i.e.
  Rotary club, Liver Foundation, engineering
  society, etc.)

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Disclosure Not Required

• Which outside activities do not have to be
  disclosed (continued) ?
• Receiving an honorarium as one-time payment for a
  speaking engagement that is not a consulting
  arrangement
• Serving on a governmental panel or commission in
  which RIT has no interest

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Disclosures Not Required

• Which outside activities do not have to be
  disclosed (continued) ?
• Acting as a referee, editor, or reviewer for
  scholarly publications
• Attending or presenting at an academic,
  professional, or technical conference, workshop,
  or convening

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Disclosures When Required

• When must I disclose my outside activities on the
  Disclosure Questionnaire?
• When I am hired by RIT
• Annually thereafter
• Any time circumstances arise that may create
  conflicts of interest or commitment

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Disclosure Process

• Step 1 Fill out the online Disclosure
  Questionnaire
• If you respond No to each question, submit
  electronically and you are done. (You may print a
  copy for your records). Your responses will
  ultimately be provided to your direct supervisor
  for review.

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Disclosure Process

• Step 2 Fill out the DAPA form
• If you responded yes to any questions in Step
  1, complete the Disclosure Prior Approval
  (DAPA) Form and submit it to your supervisor for
  review and signature.

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Disclosure Review Process

• If I respond yes to any of the questions, who
  determines whether I have a conflict?
• Your supervisor will review your disclosure and
  determine whether a conflict exists.
• Your supervisor will sign and forward your
  disclosure to the second-level supervisor for
  review, and possible consultation with the Office
  of Legal Affairs, before final approval.

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Department Monitoring Plan

• What happens if I do have a conflict?
• You and your supervisor will develop a plan to
  manage or eliminate the conflict.
• This Department Monitoring Plan will be
  attached to your DAPA form and be submitted to
  the second-level supervisor for final review and
  approval. When signed, entire package will be
  sent to OLA for filing.

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ICIC Committee Membership

• One mbr. appointed by the Provost
• One mbr. appointed by the VP for Finance
  Administration
• Three mbrs. appointed by the Academic Senate
• Three mbrs. appointed by Staff Council
• The RIT Chief Compliance Officer will serve as a
  non-voting mbr.

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Conflict Management Plan

• If you and your supervisor cannot agree on the
  need for a Department Monitoring Plan, the
  second-level supervisor will refer your case to
  the Individual Conflict of Interest Commitment
  Committee.
• The ICIC Committee will develop a Conflict
  Management Plan for resolving the conflict.

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Conflict Management Plan

• The ICIC Committees decisions may be appealed by
  the employee to the Provost or ranking divisional
  officer, who has the authority to grant
  exceptions.
• The Provost or ranking divisional officers
  determination is final.

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6. Confidentiality

• Procedures are in place to maintain your
  confidentiality and to limit access to
  disclosures stored electronically and in paper
  form.
• Disclosure details are treated sensitively and
  shared only on a need-to-know basis within the
  process.

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Disciplinary Consequences

• It is important to note that there are
  disciplinary consequences for any employee
  failing to comply with this policy.

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7. Violations

• Violations of this policy include
• failing to submit a Disclosure Questionnaire or
  DAPA form
• intentionally filing an incomplete, erroneous, or
  misleading DAPA form

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Violations

• Violations of this policy include
• failing to provide additional information
  requested by ones supervisor or the ICIC
  Committee
• failing to comply with the Department Monitoring
  Plan or the Conflict Management Plan

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8. Sanctions For Employee Non-Compliance

• - If an employee fails to comply with any aspect
  of the policy, Department Monitoring Plan, or
  Conflict Management Plan, the employees
  supervisor will report the violation to the dean,
  director, or divisional officer for resolution.
• - From this point on it becomes a Human
  Resources and job performance issue.

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Sanctions

• A finding of non-compliance may result in
  corrective or disciplinary actions by RIT in the
  Human Resources context, up to and including
  possible termination of the employee, in
  additional to any legal penalty(ies) under state
  and federal laws that may be appropriate if a
  conflict exists.

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9. Grievances

• Refer to RIT Policy Manual Sections E24, E26, or
  E30
• Faculty Grievance Procedure
• EDF Faculty Grievance Procedure
• Staff Grievance Procedure

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10. Filling Out the Disclosure Questionnaire Form

• Go to ICIC Web site http//finweb.rit.edu/legala
  ffairs/
• Read the ICIC Policy.
• Click the link acknowledging you have read the
  policy to open the Disclosure Questionnaire.
• Print the instructions before clicking Next.

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Disclosure Questionnaire

• Answer each of the questions.
• If you answered no to each of the questions,
  print your form. Keep the copy for future
  reference.
• Click Submit.

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Disclosure Prior Approval Form

• If you answered yes to any of the questions on
  the Disclosure Questionnaire, you will be
  directed to the Disclosure Prior Approval Form.
• Complete the DAPA form.
• Print your form and sign it. Make a copy for your
  records and submit the original to your
  supervisor for approval.