Conflict of Interest and Commitment for Faculty and Staff - Policies

I. General Policy Statement

University faculty and staff are expected to prioritize their University duties and obligations and act in the best interests of the University. A clear and flexible policy is necessary to help guide faculty and staff in the identification and management of Conflicts of Interest and Commitment, as defined below.

II. Reason for Policy/Purpose

Various laws, regulations, and contracts require the University to implement a conflicts of interest and commitment policy. In addition, actual and apparent conflicts, when not properly managed, can harm the University’s reputation. Faculty and staff of the University are expected to use good judgment, professional commitment, and the highest standards of ethics and integrity to protect themselves and the University from conflicts.

III. Policy

A. Framework

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 faculty and staff be professionally involved in outside activities such as occasional lecturing at other institutions, contributing to their profession 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 faculty and staff may from time to time have ownership interests in, compensation arrangements with, or various other relationships involving third parties with whom the University conducts business. It is also recognized that faculty and staff may have family members who are also employed at Syracuse University, with whom they may have contact in the normal course of their employment.

Although outside activities consistent with the University’s mission generally are encouraged and other relationships may be permitted, in some circumstances, they can give rise to apparent conflicts. These conflicts can arise when faculty or staff have certain financial or other interests or relationships, or when they take on a commitment of time or effort to non-University activities that impedes faculty or staff from meeting their obligations to the University. To properly manage conflicts and ensure faculty and staff act in the best interests of the University, they must avoid and disclose conflicts as set forth below.

B. Policy Scope

This policy applies to all University faculty and staff. That said, conflicts may arise for faculty and staff in different ways based on their specific terms and duties of employment. The same activity may pose a potential or actual conflict for one employee, but not another. For example, outside employment may pose no conflict for a part-time employee, but create an inappropriate conflict of commitment for a full-time employee. Potential conflicts will be analyzed on a case-by-case basis within the context of the particular role of the faculty or staff member at issue.

Certain University employees, given their titles or duties, may also be subject to additional policies and procedures governing conflicts. For example, faculty researchers must comply with this policy and the Conflict of Interest and Commitment for Principal Investigators and Senior Personnel on Sponsored Programs Policy. In addition, University officers are subject to this policy and the Board of Trustees Conflicts of Interest Policy & Procedures, which requires broader disclosures than this policy.

As described in subsection G of this policy, disclosure requirements are different for different populations of University employees.

C. Conflicts of Interest

Faculty/Staff (Non-Research)

Faculty and staff must avoid Conflicts of Interest and must properly disclose any relationships or interests that could give risk to apparent, perceived, or actual Conflicts of Interest. “Conflicts of Interest” exist when a faculty or staff member:

is in a position to influence the University’s business, administrative, academic, or other decisions in ways that could result in personal or family benefits or gains (e.g., financial gains, gifts, gratuities, favors, notoriety, or participation in nepotism or bribery);
acts in opposition to the interests of the University, including by competing directly with the University, or diverting opportunities the person knows or should know the University is or may be pursuing; and/or
uses their University position for personal or family benefit or gain at the expense of the University or otherwise in violation of this or other University policies.

Conflicts of Interest also include “Reporting-Line Conflicts,” which occur when a faculty or staff member is in a position to influence the terms or conditions of employment of a family member. Faculty and staff must avoid Reporting-Line Conflicts by working with the University to develop appropriate management plans so they are not solely responsible for directly supervising or making employment decisions for family members or others with whom they have an intimate relationship.

Examples of Conflicts of Interest include:

A staff employee’s spouse owns a local construction company. The staff member has a role in the hiring of construction companies for University building projects and is therefore in a position to steer business to their spouse’s company.
A faculty member has a consulting business focused on workplace conflict resolution that otherwise complies with University policies on outside activities. The faculty member’s department wishes to hire an outside firm with expertise in conflict resolution to present at a department meeting. The faculty member would be in a position to influence their department to hire their own business.
A staff employee is looking to hire an outside vendor to perform a service for the University. One potential vendor sends the staff employee tickets to an upcoming sporting event, which could influence the employee’s vendor selection decision.
A faculty member learns as part of confidential discussions the University is interested in purchasing a house near campus. The faculty member purchases the house with the intent to turn around and sell it to the University. The faculty member would be diverting the University’s business opportunity for personal gain.

The following scenarios typically do not create Conflicts of Interest:

General investment and retirement planning activities (g., public stock or mutual fund investing).
Service on advisory committees (including scientific advisory committees) or review panels for public or non–profit entities, including professional associations.
Volunteer service to charitable or community organizations.
Donations or tuition payments to the University.
Family student enrollment, even where the students receive scholarship or other financial aid dollars from the University.
Editorial activities (e.g., journal editorships or editing compilations of scholarly papers) or authorship activities (e.g., advances) from publishing companies (for profit or non–profit).

2. Faculty/Staff (Research)

Faculty and staff engaged in sponsored research must comply with the Conflict of Interest and Commitment for Principal Investigators and Senior Personnel on Sponsored Programs Policy and disclose any research-related conflicts to the Office of Research Integrity.

Vendors

Selection of vendors supplying goods and services to the University must comply with University purchasing policies. On an annual basis, the Executive Director of Purchasing will issue conflicts of interest questionnaires to a random sample of vendors with which the University spent more than a certain dollar threshold. The Comptroller will review vendor responses. University Counsel will review responses with disclosures indicating potential conflicts. Where conflicts can be managed without risk of harm to the University’s interests, the Comptroller and University Counsel will help develop an appropriate management plan. For cases where risk cannot safely be mitigated, or where a vendor fails to complete a questionnaire, the University may be prohibited from purchasing goods or services from the vendor.

D. Conflicts of Commitment

Faculty and staff must avoid Conflicts of Commitment and must properly disclose any activities or interests that could give rise to apparent, perceived, or actual Conflicts of Commitment. Full-time faculty and staff are expected to maintain their primary affiliation and commitment to Syracuse University. As such, a “Conflict of Commitment” arises when a faculty or staff member’s involvement in outside professional or other activities (paid or not) substantially interferes with their commitments to the University. Such interference can include, but is not limited to, performance of outside activities (i) during a faculty or staff member’s work hours or assigned schedule for the University, or (ii) to a degree that renders the faculty or staff member incapable of satisfactorily performing their responsibilities to the University. Conflicts of Commitment may occur even though a faculty or staff member’s outside activities involve comparatively little time. In general, full-time faculty and staff are discouraged from accepting full-time employment or positions elsewhere; such outside roles, at a minimum, must be disclosed to the relevant supervisor for approval as explained in the “Disclosures” section of this policy.

Examples of Conflicts of Commitment include:

Outside employment that causes a University faculty or staff member to be absent during a time when they should be performing University work.
A University budget director performs accounting work for clients outside University work hours, but the work is so time-intensive and complicated that it affects the capacity and performance of the budget director on University matters.
Engaging in outside work or other activities that impair a person’s University job performance. For example, if an individual works an overnight shift for another employer and the person is too tired to successfully perform their job duties for the University.

E. Outside Professional Activities

The University permits staff employees and administrators to engage in Outside Professional Activities, provided the activities present no Conflict of Interest or Commitment, or otherwise violate University policies. Faculty are also permitted to engage in outside professional activities, but those activities are governed by Sections 3.4 – 3.44 of the Faculty Manual.

“Outside Professional Activities” are defined as external work or business opportunities, paid or unpaid, that are for personal gain and not essential to an employee’s fulfillment of their University job duties. Outside Professional Activities do not include activities that further an individual’s professional knowledge or expertise or otherwise directly contribute to their role at the University, such as attending conferences, lectures, or continuing education sessions. Outside Professional Activities also do not include volunteering for community or charitable organizations or political campaigns or parties.

Provided Outside Professional Activities do not otherwise violate this or other University policies, permissible activities may include consulting, expert witness services, external board service (for either for-profit or not-for-profit entities), or other jobs.

Examples of prohibited Outside Professional Activities include:

Serving as a consultant to any individual, company, corporation, organization or agency on a project or activity involving the University.
Employment positions that require a time commitment interfering with an employee’s work for the University.
Legal or expert services for external clients in cases in which the University is a party or witness.
Accepting or pursuing a business opportunity learned of in the course of employment with the University that also represents an opportunity for the University.
Activities with restricted parties, including individuals on any U.S. sanctions or embargo lists.

Staff and administrators should generally perform Outside Professional Activities outside of their normal University work hours.

No employee may use University resources, including funds, personnel, intellectual property (e.g., logos and marks), letterhead or confidential or proprietary information in the performance of their Outside Professional Activities.

F. Foreign Affiliations

Federal and state law and guidance requires the University to report gifts and other funds received from foreign (i.e., non-U.S.) sources. Various federal agencies and grant terms also require researchers and other University personnel to report all types of support received from, or professional relationships with, foreign persons or entities. For these reasons, faculty and staff must disclose foreign support and affiliations in their annual Conflicts of Interest and Commitment Questionnaire. Any questions regarding potential foreign affiliation issues should be directed to compliance@syr.edu.

G. Disclosure and Management Requirements

If any faculty or staff member engages, or proposes to engage, in any activity that 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, vice chancellor, or Chancellor) having the most immediate supervisory relationship to the faculty or staff member, before the faculty or staff member engages in the activities that produce the conflict.

All full-time faculty and staff must disclose and obtain pre-approval from their supervisor (dean for faculty; immediate supervisor for staff) before accepting or continuing in another full-time position for an external entity, organization, or institution.

In addition, all regular (benefits-eligible), full-time faculty and staff employees of the University, excluding temporary employees and those represented by a collective bargaining unit, shall complete and deliver to the Office of Compliance, on an annual basis and whenever prior responses have materially changed, a Conflicts of Interest and Commitment Questionnaire in a form prescribed by University Counsel. With respect to outside business entities of faculty and staff or their family, including entities with research purposes, Conflicts of Interest may arise where the outside entity does business, or may do business in the future, with the University and should be reported. Even where an outside entity does no business with the University, the faculty or staff member’s role in the outside venture may give rise to a Conflict of Commitment (defined above) and should be reported.

The Office of Compliance, in partnership with University Counsel, Human Resources, and Faculty Affairs, shall ensure that the appropriate University administrators are informed of conflicts existing within their respective areas of responsibility and will assist in the development and monitoring of conflicts management plans as necessary.

Supervisors shall use their best efforts to manage conflicts reported to them consistent with the mission of the University but may prohibit an activity that produces a conflict in its entirety if they determine that such management is not possible. Any management plan or decision to deny a specific activity must be in writing, and it is the responsibility of the faculty or staff member’s immediate supervisor to issue and maintain the written plan or decision. If a faculty or staff member disagrees with their supervisor’s determination, they may appeal to the Vice Chancellor or Senior Vice President having supervisory authority over their school, college, or unit.

All submitted questionnaires shall be kept on file for such period of time as may be determined by the University Records Manager.

In addition to the above reporting requirements, on an annual basis, members of the Chancellor’s Executive Team and the University’s five highest paid employees must disclose existing and anticipated Outside Professional Activities to the Chancellor so the activities may be reviewed and managed (if necessary). These senior leaders must also seek advance approval for Outside Professional Activities in the following scenarios:

a position involving ownership or control or fiduciary obligations (i.e., founder, CEO, trustee, or director);
expected remuneration is likely to exceed $5,000 per calendar year from a single source;
expected time commitment is likely to exceed twenty days per calendar year; or
the Outside Professional Activity poses a perceived Conflict of Interest or Conflict of Commitment.

Disclosures from senior leaders will be reviewed by the Office of University Counsel and may be shared with other University offices as appropriate, as well as with the Board of Trustees. University Counsel will recommend to the Chancellor whether the Outside Professional Activities should be approved, and/or whether a management plan is required.

Finally, all University employees must disclose outside income or remuneration where received from persons or entities engaged or likely to be engaged in business with the University as part of the University’s annual conflicts of intertest survey process. Coaches and administrators within the Athletics Department must also complete annual outside income disclosures pursuant to NCAA rules.

H. Policy Administration

Any faculty or staff member having questions about policy or practice regarding Conflicts of Interest or Conflicts of Commitment should inquire with their supervisor or the Office of Compliance.

Failure of a faculty or staff member to disclose and resolve or avoid an apparent Conflict of Interest or Conflict of Commitment, or complete an annual questionnaire in accordance with this policy, may result in administrative actions in accordance with University policies found in The Faculty Manual and on the University policies website, 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 termination.

IV. To Whom Does This Policy Apply

Select all that apply:

☐ Students ☒ Faculty ☒ Staff ☐ Visitors/General Public ☐ Other___________________

V. Appendices (as applicable)

A. Procedures

Any faculty or staff member required to submit an annual conflicts disclosure form must do so through Myslice, or a system designated by the Office of Compliance.

Any faculty or staff member needing to disclose a potential conflict outside of the annual process should do so by emailing their direct supervisor and copying conflictofinterest@syr.edu.

Management plans must be documented using the management plan template form, and shared with the Office of Compliance at COImp@syr.edu.

The Chancellor’s Office will distribute an annual Outside Professional Activities survey for members of the Chancellor’s Executive Team and the five highest paid University employees. If a senior leader needs to make a disclosure outside of the annual cycle, they should do so promptly in writing, by letter or e-mail, to the Chancellor or his Chief of Staff.

Where other staff or administrators are required to disclose Outside Professional Activities under this policy, they should do so in writing by letter or e-mail.

If certain Outside Professional Activities require advance notice and approval by supervisors, the staff or administrator seeking approval should include, at a minimum, the following information in their request:

A description of the Outside Professional Activity, including the name of the person or entity for which services are being performed.
Compensation (if any).
Anticipated time commitment.
Any other perceived risks or conflicts.

B. Definitions

“Conflicts of Interest” exist when a faculty or staff member:

is in a position to influence the University’s business, administrative, academic, or other decisions in ways that could result in personal or family benefits or gains (e.g., financial gains, gifts, gratuities, favors, notoriety, or participation in nepotism or bribery);
acts in opposition to the interests of the University, including by competing directly with the University, or diverting opportunities the person knows or should know the University is or may be pursuing; and/or
uses their University position for personal or family gain at the expense of the University or otherwise in violation of this or other University policies.

Conflicts of Interest also include “Reporting-Line Conflicts,” which occur when a faculty or staff member is in a position to influence the terms or conditions of employment for a family member. Faculty and staff must avoid Reporting-Line Conflicts by working with the University to develop appropriate management plans so they are not solely responsible for directly supervising or making employment decisions for family members or others with whom they have an intimate relationship.

A “Conflict of Commitment” arises when a faculty or staff member’s involvement in outside professional or other activities substantially interferes with their commitments to the University. Such interference can include, but is not limited to, performance of outside activities (i) during a faculty or staff member’s work hours for the University, or (ii) to a degree that renders the faculty or staff member incapable of satisfactorily performing their responsibilities to the University.

“Family” or “family member” includes (i) a spouse, domestic partner or fiancé(e); (ii) a child, grandchild, parent, grandparent, sibling, uncle, nephew or niece, or the spouse, domestic partner or fiancé(e) of any such person; (iii) a person having a step-relationship described in (ii) above; (iv) a parent-in-law or a brother- or sister-in-law; (v) any other person who resides in the same household as the employee; or (vi) any other person as to whom it would reasonably appear that the employee has a relationship involving an interest in such person comparable to the preceding.