Human Resources Information Systems
Tel: 780-5628 - Fax: 780-5554 - Email: HRIS
© 2003 USM - HRIS
A Member of the University of Maine System
U N I V E R S I T Y O F S O U T H E R N M A I N E
POLICY#: 101.1
SUBJECT: CONFLICT OF INTEREST
APPLIES TO: ALL EMPLOYEES
ISSUED BY: UNIVERSITY OF MAINE BOARD OF TRUSTEES
EFFECTIVE DATE: 05/01/91
REVISION DATE: 10/01/92
REVIEW/REPLACES: POLICY #101.1 - NEPOTISM
To ensure continued confidence of the people of Maine in
the University and its personnel, individuals serving the
University and University of Southern Maine shall at all
times act in a manner in consistent with their public
responsibilities to the University and shall exercise
particular care that no real or perceived detriment to the
University results from conflicts between personal interests
and those of the University. Conflict of interest
situations, or the appearance of conflicts of interest, have
the potential to result in serious harm and direct losses to
the University. The losses are often difficult to detect and
include not only direct monetary losses and loss of
confidence in the University, but also negative publicity and
erosion of employee morale.
It is the policy of the University and University of
Southern Maine that its officers, faculty, staff and others
acting on its behalf have the obligation to avoid ethical,
legal, financial or other conflicts of interest and to ensure
that their activities and interests to not conflict with
their obligation to the University or to its welfare.
This policy applies to all University officers and
employees. The policy also applies to persons affiliated or
associated with the University, including members of advisory
boards to the University. All provisions, except those
relating to outside employment, apply to persons affiliated
with the University. This policy does not apply to the Board
of Trustees who are already covered by similar provisions in
the Board's Financial Code of Ethics and State law.
The policy is to be interpreted and applied in a manner
that will best serve the interests of the University and that
distinguishes between those minor and inconsequential
conflicts which are unavoidable and those conflicts which are
substantial and material. A conflict of interest may exist
when an employee, a close relative, or a person or
organization with whom the employee is associated has an
existing potential financial or other interest which involves
the employee's University responsibilities. If an employee
believes that he or she may have a conflict of interest, the
employee shall promptly and fully disclose the conflict to
the appropriate administrator (Chancellor or President's
designee) and shall refrain from participating in any way in
the matter to which the conflict relates until the conflict
question has been resolved. In some cases it may be
determined that after full disclosure the University's
interests are best served by the participation of the
employee despite the conflict or appearance of a conflict.
The policy does not prohibit an employee from freely
pursuing those teaching, research, and professional and
public service activities which will not result in such a
conflict, nor prohibit an employee from accepting pay,
compensation, fees, honoraria, or reimbursement of expenses
which may be offered in connection with such activities.
TYPES OF CONFLICTS:
1. Personal Gain from University Position
a. An employee may not use or attempt to use, in a
manner contrary to the interests of the University,
his or her position or University property or
services, to gain or attempt to gain anything for
the private benefits of the employee.
b. An employee may not solicit or receive gifts or
entertainment from suppliers or goods of services,
or from persons associated with or seeking
association with the University.
c. An employee shall not use confidential information
acquired in connection with University related
activities for personal gain or for other
unauthorized purposes.
2. Contracting and Leasing
a. An employee may not enter into any contract or
lease with the University, if the employee is in a
position to approve or influence, in his or her
official capacity, the University's decision to
enter into the contract or lease, unless such
contract is deemed in the best interests of the
University and has the approval of the appropriate
administrator.
b. If the employee is not in a position to approve or
influence the University's decision, the employee
may enter into a contract or lease, provided the
employee makes prior written disclosure or the
nature and extent of any relationship to the
appropriate administrator and obtains written
approval. The administrator shall approve an
employee's interest in a lease or contract unless
the administrator determines that the employee's
personal interest in the agreement will conflict
substantially and materially with the employee's
discharge of his or her University
responsibilities.
c. An employee may not contract with the University to
provide a service which is the same as or similar
to the service that the employee provides as a
University employee. Such services may be provided
as a University employee in the course of
University employment.
3. Outside Commitment
a. Employees are permitted to engage in outside
consulting activities and other outside activities
provided the employee meets his/her obligation
to the University and complies with any applicable
provisions of a collective bargaining agreement
concerning outside employment.
b. An employee shall not accept any other outside
position that would impair the employee's ability
to fulfill the employee's obligations to the
University.
c. An employee with faculty rank shall not take on a
teaching assignment in another post-secondary
educational institution during the academic year
except after obtaining written approval of the
appropriate administrator.
d. An employee shall not engage in outside employment
or activities which could be viewed as impairing
the employee's judgment in the performance of
University duties and responsibilities.
4. Use of University Name and Resources
a. An employee shall not use the official title of the
University or any of its parts, in whatever form
that title may appear, except in connection with
legitimate University purposes.
b. The University's name, facilities, equipment,
stationary, supplies, personnel and other resources
are to be used only for the furtherance of the
University's mission. An employee shall not make
unauthorized use of any University resources,
including the services of University employees, for
the personal benefit of the employee.
5. Nepotism
a. Close relatives may be employed in the same or
different departments of the University.
b. The fact that an employee is a close relative of
another employee in the same or different
department shall not be used as a basis for denying
to the employee the rights, privileges or benefits
of regular appointment or regular job status.
Alternative arrangements for supervisory decisions
must be made before employment of a close relative.
c. An employee shall not participate in institutional
decisions involving a direct benefit to a close
relative. Such decisions include, but shall not be
limited to, initial appointment, retention,
promotion, tenure, salary and leave of absence.
d. An employee may not give preferential or favored
treatment in the supervision or management of
another University employee who is a close
relative.
e. The University reserves the right to reassign
employees or duties when deemed a prudent business
or management practice.
f. A close family relationship shall not be used as a
basis for denying a student the rights, privileges
or benefits of access to academic resources.
g. An employee shall not participate in institutional
academic decisions involving a direct benefit to a
close relative. Alternative arrangements for
academic decisions must be made for close
relatives. Academic decisions include, but are not
limited to, acceptance to an academic program,
evaluation of the honors, masters or doctoral
thesis, and recommendation for awards or
employment.
Disclosure and Consultation: The following procedures apply
except in situations where a procedure is otherwise provided
by a collective bargaining agreement.
1. When it appears that a material conflict may arise
between the personal interest of an employee and his or
her responsibilities to the University, the employee
shall notify the appropriate administrator/supervisor by
submitting a written statement describing the nature
of the possible conflict. If an apparent conflict comes
to the attention of the administrator, that individual
may request a written statement from the employee.
2. If an employee is in doubt as to whether he or she is
confronted with a potential conflict of interest, the
employee should consult with the appropriate
administrator to determine if the outside interests
could conflict impermissible with employee's obligation
to the University.
3. The appropriate administrator promptly shall notify the
employee or associate in writing that: (a) there is no
conflict and the employee may proceed; or (b) there
may be a conflict and further consultation is necessary
prior to reaching a determination; or (c) there is a
conflict and the employee shall not proceed with his
or her personal interest which result in the conflict.
4. The employee may appeal the administrator's decision to
the Chancellor for System Office employees and to the
President for campus employees.
5. The employee must report any significant changes in the
outside interest that occur during the year and consult
with the appropriate administrator if the undertaking
of a new outside interest is considered.
6. Any significant violations of this policy shall be
reported to the Chancellor for System Office employees
and to the Personnel and Employee Relations Committee
of the Board of Trustees for the Chancellor.
Sanctions: Charges or violations shall be carefully examined
with due regard for the academic freedom and rights of the
employee and the interests of the University. Charges will
be processed through the normal reporting channels, and
sanctions may range from reprimands to dismissal.
These pages are designed and maintained by
Human Resources Information
Systems
Tel: 780-5628 - Fax: 780-5554 - Email: HRIS
© 2003 USM - HRIS
A Member of the University of
Maine System