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Selected Policies and Guidelines
Principles of Conflict of Interest  PDF version


The University's overall policy on conflict of interest specifies that its faculty, staff, managers, or officials may not engage in any activities which place them in a conflict of interest between their official University activities and any other interest or obligation.  It requires that all University employees disqualify themselves from participating in a University decision when a financial conflict of interest is present.


Administrative Officials are responsible for ensuring the University's teaching, research, and public service activities are conducted with integrity in an open, free, and objective environment, and in adherence with the following principles and responsibilities:

Principles

A. Teaching, research, and public service performed by UCSC employees are to be conducted in an atmosphere that is free of conflicts of interest.
B. Outside activities or interests should be closely assessed and, if need be, reviewed by an independent party, to assure that the integrity and objectivity of all employees is protected in performance of their University obligations.
C. Each unit is responsible for maintaining a reasonable balance between competing interests and providing a mechanism to help maintain research integrity, protect student interests, and foster an open academic environment.
D. The reporting of financial interests and the withdrawal from decision making shall be consistent with the University's Conflict of Interest Code and the State of California's Political Reform Act of 1974.


Responsibilities

Minimizing the risk of conflict of interest situations means:

A. identifying employees who make major financial decisions for the University so that they can be properly classified as Designated Officials
B. that each Designated Official must submit, on an annual basis or upon assuming or leaving a designated position, a financial disclosure statement
C. prohibiting a University employee from purchasing, leasing, and/or entering into a contract for goods and services from
1. any University employee or business in which any University employee has a 10% or greater interest unless the Director of Materiel Management has determined that the desired goods or services are not available from any other readily available source
2. any near-relative of a University employee or business in which any near-relative has a 10% or greater interest unless the Director of Materiel Management has determined that the University employee has no responsibility for or any involvement in the purchasing decision
D. implementing a process to ensure the systematic review of all Principal Investigators financial disclosures prior to the acceptance of gifts, contracts, or grants from non-governmental sponsors when the amount of the award is $250 or more over a 12-month period
E. ensuring that faculty responsible for the design, conduct, or reporting of a sponsored project disclose to the University interests
1. that would appear to be affected by the funded research or educational activities
2. in entities whose financial interests would reasonably appear to be affected by such activities
3. in entities that the Principal Investigator, the Principal Investigator's spouse or dependent children has an ownership interest of $1,000 or more
4. in entities where the Principal Investigator is a director, officer, partner, trustee, consultant, or manager
5. in entities from whom the Principal Investigator has received $1,000 or more in income, gifts, or loans


RESOURCES

Central Office / Department Phone / Website Address
Conflict of Interest Coordinator (updated11/03)

(831) 459-2241
http://audit.ucsc.edu/COI/

Office of Sponsored Projects (831) 459-2778
http://www.ucsc.edu/osp
Purchasing Office / Materiel Manager / Conflict of Interest (updated 03/06) (831) 459-2084
http://purchasing.ucsc.edu/alphalisttopics.html#C

 

REFERENCES

Academic Personnel Manual
http://www.ucop.edu/acadadv/acadpers/apm

UC Conflict of Interest Q&A
http://www.ucop.edu/services/conflictofinterest.html
Conflict of Interest Policy and University Guidelines - BFB G-39 (updated 12/04)
http://www.ucop.edu/ucophome/policies/bfb/g39.html
Faculty Code of Conduct
http://www.ucop.edu/acadadv/acadpers/apm/apm-015.pdf
University Policy on Faculty Conduct & the Administration of Discipline
http://www.ucop.edu/acadadv/acadpers/apm/apm-016.pdf
UC Business & Finance Bulletin BUS-78 - A Guide to the Political Reform Act of 1974
http://www.ucop.edu/ucophome/policies/bfb/bus78
UCSC - Office of Sponsored Projects - Forms & Guides (added 11/03)
http://www.ucsc.edu/osp/forms.html


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Last modified on May 2, 2007