Examples & Categories

Situations and activities may be grouped into one of three categories under the Conflict of Interest Policy:

Category A: Not Significant and Generally Permissible Activities
Situations where any Financial Interest held by a Member, Member’s Family, or Member’s Close Relation is below the threshold for Significant Financial Interest and where the situation suggests no actual, potential, or perceived Conflict of Interest. These situations may continue without special safeguards or oversight.

Category B: Potential or Perceived Conflicts of Interest
Activities which may represent Conflicts of Interest, but in many cases would be permitted to go forward after disclosure with a Management Plan.

Category C: Actual Conflicts of Interest
Activities which represent actual Conflicts of Interest, and which may be permitted to go forward after disclosure only with an appropriate Management Plan to eliminate the conflict, safeguard against prejudice toward University activities, and provide continuing oversight.

Situation	Category	Management Plan
1) A staff member is to take part in the evaluation and selection of a supplier from a number of bidders. One of the bidding companies is operated by the staff member’s family member.	C	The staff member does not take part in that or any other supplier evaluation/selection that involves her family’s company.
2) A faculty member accepts royalties for the publication of his scholarly work.	A	No management plan needed.
3) A faculty member is conducting sponsored research on a product developed by a company for which the faculty member is a consultant.	B	The faculty member discloses her relationship with the company to the sponsor of the research and in any published research results for that product.
4) A staff member serves on the board of a local community organization.	A	No management plan needed unless the organization seeks to do business with the University.
5) A staff member would like to hire his spouse as a consultant to the University.	C	The staff member does not make the hiring decision, but instead refers the hiring decision to a supervisor.
6) A faculty member directs a student into a research area from which the faculty member may receive financial gain.	B	The faculty member informs the student about the possible financial gain. Another faculty colleague makes an objective judgment about whether this research is in the student’s scholarly best interest.
7) A staff member has a financial stake in a company that does business with the University. The staff member has the opportunity to make a decision for the University that will impact that business.	C	The staff member is excluded from participating in this or any other decision on behalf of the University with regard to that business.
8) A staff member owns stock in a company that does business with the University. The staff member does not have any influence over University decisions regarding that company.	A	No management plan needed unless the staff member is given authority to influence University decisions regarding the company.
9) A faculty member would like to use laboratory space for consulting purposes.	B	Under appropriate circumstances, the faculty member may be allowed to enter into a contract with the University to pay for her non-University use of the laboratory.
10) A staff member would like to rent property to the University.	B	The decision by the University to rent the staff member’s property is made by another non-subordinate member of the University.
11) A staff member is in the position to authorize University-paid travel for a family member.	C	The staff member does not make the authorization decision, but instead refers the authorization to his supervisor.
12) A faculty member is offered a position on a scientific board of a company that has research contracts with the faculty member’s department.	B	The faculty member discloses his relationship with the company to the department’s students and staff, and in any published research results the faculty member takes part in for the company.
13) A corporation asks a faculty member to sign a contract that would forbid publication of the faculty member’s research findings.	C	The faculty member renegotiates the contract to postpone publication until after a certain time has elapsed, but not to prevent publication altogether.
14) A faculty member accepts an honorarium for giving a lecture outside the University.	A	No management plan needed.
15) A staff member serves as a director of an organization that does business with the University.	B	The staff member agrees to not take part in any University decisions that involve this organization.
16) A faculty member is an owner, manager or officer of a company that does business with the University.	B	All dealings between the company and the University are overseen by a supervisor or non-subordinate colleague of the faculty member.
17) A staff member is selecting candidates for admission to the University and a family member applies for admission.	C	The staff member does not take part in the evaluation/selection process relating to that family member.