UC Santa Barbara Attachment 5005 A
Policies
Issuing Unit: Administrative Services Date: July 15, 1986
COMPEDIUM OF SPECIALIZED UNIVERSITY POLICIES,
GUIDELINES, AND REGULATIONS RELATED TO
CONFLICT OF INTEREST
INDEX
Page
1. Standing Order of The Regents 103.1 (b), Special Projects 2
Concerning Officers, Faculty Members, and Employees of the
University-Service Obligations
2. University Regulation No. 3, Privileges and Duties of Members of 2
the Faculty
3. University Regulation No. 4, Special Services to Individuals and 2
Organizations
4. University Regulation No. 5, Academic Freedom 3
5. University Policy on Faculty Conduct and Administration of 3
Discipline, including The Faculty Code of Conduct
6. Policy on Outside Professional Activities of Faculty Members 3
7. Policy on Additional Compensation for Services as Faculty 3
Consultant, Academic Personnel Manual, Section 664
8. Statement of Conflict of Interest 4
9. Instructions to Review and Appraisal Committee, Academic Personnel 4
Manual, Section 210
10. University of California Patent Policy 4
11. Policies on Appointment of Near Relatives 5
12. Policy on Acceptance or Offering of Gifts and Gratuities by 5
University Employees
13. Policies Applying to Campus Activities, Organizations, and Students 5
(use of university facilities)
14. Conflict of Interest Code (financial) 5
15. Policy Regarding Employee-Vendor Relationships 5
16. Materiel Management, Business and Finance Bulletin BUS-43 6
17. Independent Consultants, Business and Finance Bulletin BUS-34 7
18. Internal Audit Code of Ethics 8
19. University of California Police Rules and Regulations 8
20. Policy on Disclosure of Financial Interest in Private Sponsors of 8
Research
COMPEDIUM OF SPECIALIZED UNIVERSITY POLICIES,
GUIDELINES, AND REGULATIONS RELATED TO
CONFLICT OF INTEREST
1. Standing order of The Regents of the University of California 103.1
(b), Special Provisions Concerning Officers, Faculty Members, and
Employees of the University-Service Obligations (January 22, 1971).
Summary: No portion of time due the university shall be devoted to
private purposes and no outside employment shall interfere
with performance of university duties.
2. University Regulations No. 3, Privileges and Duties of Members of
the Faculty, Section 3a (February 15, 1935).
Summary: Faculty are assumed to devote full "working" time to the
university. Service includes classroom teaching,
conference with students, studying and writing, research,
committee work, administration, and public service, with
time devoted to each varying with, and dependent upon,
involvement with each type of activity.
3. University Regulation No. 4, Special Services to Individuals with
Organizations (June 23, 1958) and Principles Underlying Regulation
No. 4 (June 23, 1958).
Summary: Faculty may render professional or scholarly services for
compensation and may engage in the practice of their
professions to maintain professional competency if such
service does not interfere with university commitments and
if it gives experience and knowledge of value to his
teaching or research; is suitable research through which
he may make worthy contributions of knowledge; or is
appropriate public service. When consultants or outside
services are such as to interfere with recognized
university duties, they may be undertaken only on the
basis of a leave of absence. University laboratories,
bureaus, and facilities are not to be used for work of a
purely commercial character except when it can be shown
conclusively that satisfactory facilities for such
services do not exist elsewhere.
4. University Regulation No. 5, Academic Freedom (June 15, 1944),
Academic Personnel Manual Section 010.
Summary: The function of the university is to train students in
processes whereby truth is to be made known. Its
obligation is to see that conditions under which questions
are examined are those which give play to intellect. To
convert or make converts is alien and hostile to this
dispassionate duty. When considering political, social,
or sectarian movements, they are to be dissected and
examined (not taught) and the conclusion left to the logic
of the facts.
5. University Policy on Faculty Conduct and Administration of
Discipline (June, 1974), including The Faculty Code of Conduct (May,
1974), Academic Personnel Manual Section 015.
Summary: The policy includes in its statement on ethical principles
that the professor "determines the amount and character of
the work he does outside his institution with due regard
to his paramount responsibilities within it..." The
policy also lists as one type of unacceptable conduct the
"unauthorized use of university resources or facilities on
a significant scale for personal, commercial, political,
or religious purposes" and contains sanctions where abuse
is demonstrated.
6. Policy on Outside Professional Activities of Faculty Members (April
13, 1979), Academic Personnel Manual Section 025.
Summary: Amplifies previously issued policies on expected duties of
a faculty member and clarifies expectations of performance
of compensated or uncompensated outside professional
activities which relate to a faculty member's academic
specialty. Requires annual reports on such activities to
departmental chairpersons.
7. Policy on Additional Compensation for Services as Faculty Consultant
(July 1, 1984), Academic Personnel Manual Section 664.
Summary: If not regularly engaged on the project concerned, a
member of the faculty may, on occasion, receive additional
compensation for consultant services on projects conducted
under the auspices of the university.
8. Statement of Conflict of Interest (issued by the President, October
5, 1967 and October 12, 1967).
Summary: The statement recognizes the potential conflict of
interest from sponsored research, consulting contracts,
and staff involvement in the management of private
companies and illustrates for guidance the kinds of
situations which may give rise to conflicts of interest
(excerpted from a 1964 joint statement of the American
Council on Education and the American Association of
University Professors).
9. Instruction to Review and Appraisal Committees (June 21, 1977
through May 1, 1981), Academic Personnel Manual Section 210.
Summary: The instructions state that "Superior intellectual
attainment, as evidenced both in teaching and in research
or other creative achievement, is an indispensable
qualification for appointment or promotion to tenure
positions." Creative work includes recognized artistic
production in architectural or engineering design;
professional competence; demonstrated distinction in the
profession; and public service, service to the community,
state, and nation.
10. University of California Patent Policy (November 18, 1985).
Summary: In order to equitably administer intellectual property,
the discoveries and inventions of members of the
faculties, employees, and others associated with the
university are subject to the patent policy. The use of
university facilities or services, particular assignment
of duties, possible claims of a cooperating agency where
research is supported from extramural funds, and other
situations may give rise to a complex of interrelated
equities or rights. Specific requirements of the policy
are set forth, including No. II.A., which states: "An
agreement to assign inventions and patents to the
University, except those resulting from permissible
consulting activities without use of university
facilities, shall be mandatory for all employees..." By
letters of January 14, 1976, and July 14, 1976, and their
attachments, the President extended patent policy
regulations to non-compensated researchers, certain
visiting scholars and consultants, and graduate students.
11. Policies on Appointment of Near Relatives, Academic Personnel Manual
Section 520, (July 1, 1971 and June 3, 1985) and Staff Personnel
Policy 211.26 (July 1, 1985).
Summary: Appointment of near relatives in the same department is
permitted, subject to reasonable safeguards against
conflict of interest.
12. Policy on Acceptance or Offering of Gifts and Gratuities by
University Employees (February 6, 1980).
Summary: No officer or employee should accept any gift or gratuity
from any source which is offered or appears to be offered
because of the university position held by the officer or
employee. This document also prohibits offers of a gift
or gratuity by university officers or employee and defines
gifts and gratuities.
13. Policies Applying to Campus Activities, Organizations, and Students
(January 3, 1979).
Summary: Included in this document is the policy that university
facilities may be used only for university-related
purposes or in furtherance of such purposes.
14. University of California Conflict of Interest Code (financial),
approved by the Fair Political Practices Commission, January 26,
1978 and re-approved yearly thereafter with modifications.
Summary: The Code requires public filing of financial disclosure
statements by designated officials and disqualification
from governmental decision-making of any employee who has
a financial interest. Programmatic teaching and research
decisions when a research project is totally publically
funded, are not considered governmental decisions under
the Code. Research decisions pertaining to research
projects funded in whole or in part by private entities
are subject to separate code and policy requirements.
See: Policy on Disclosure of Financial Interest in
Private Sponsors of Research. See No. 20, page 6.
15. Policy Regarding Employee-Vendor Relationships (August 19, 1982).
Summary: Goods or services shall not be purchased from a university
officer, employee, or near relative unless there is a
specific determination that the goods or services are not
available otherwise.
16. Materiel Management, Business and Finance Bulletin BUS-43 (April 15,
1986).
Part 2: Basic Policies and Requirements, Section XI (p. 24),
Personal Purchases.
Summary: University credit, purchasing power, and facilities shall
not be used to purchase goods or services for individuals
or non-university activities.
Organizations and activities closely allied to or
officially associated with the university (such as a
faculty club or an ASUC), with the approval of the
chancellor, may not be permitted to purchase materials
that are not subject to federal tax through the campus
Materiel Management Office.
Part 9: Employee-Vendor Relationships, (pp. 48-50).
Summary: Separation of Interest-It is the policy of the university
to separate an employee's university and private interests
and to safeguard the university and its employees against
charges of favoritism in acquisition of goods and
services.
Conflict of Interest-The State of California Political
Reform Act prohibits an employee from making, or
participating in the making, of a decision if there exists
a financial conflict of interest. Requirements governing
such decision-making are set forth in the university's
Conflict of Interest Code and shall be observed in
purchase of goods and services by the university. (See
No. 14, above.)
Determination-No purchase, lease of goods, or contracts
for services shall be made from any employee or near
relative unless there has been a specific determination by
the Materiel Manager or designee that the goods or
services are not available either from commercial sources
or from the university's own facilities.
Inspection-The responsible administrative officer or
representative whenever necessary to ensure an
understanding of facts presented shall inspect the
business premises and records of an employee-vendor or
near relative-vendor from whom the university is
considering acquiring goods or services.
Exceptions-Each responsible administrative officer is
delegated authority, within constraints imposed by the
Political Reform Act, for approving exceptions to policy
when there are unusual or extenuating circumstances.
Introduction (p.1) and Appendix B, Principles and Standards or
Purchasing Practice Advocated by National Association of Purchasing
Management, and Code of Ethics of National Association of
Educational Buyers.
Summary: The university is committed to maintaining high standards
of performance based upon fair, ethical, and professional
business practices. It therefore, expects each Materiel
Manager and anyone else authorized to make purchases to
abide by the purchasing codes of conduct attached to BUS-
43 in Appendix B.
17. Independent Consultants, Business and Finance Bulletin BUS-34 (July
8, 1981 and March 31, 1983).
Summary: Proposals from independent consultants shall include the
name and university position of any officer, faculty
member, or other employee of the university who holds a
position of director, officer, partner, trustee, manager,
or employee in the consultant organiztion. Selection of
the independent consultant shall be made on the basis of
qualifications, resources, experience, needs of the
university, and cost to the university. In the selection
process, any officer or employee participating in the
decision must keep in mind the disqualification
requirements for financial conflict of interest of the
State of California Political Reform Act of 1974. The
university policy regarding employee-vendor relationships
applies to services as an independent consultant.
If an employee-vendor relationship exists, the reporting
requirements of Business and Finance Bulletin BUS-43 shall
be followed. (See No. 15 and No. 16, above.)
18. Ethical Professional Conduct: Internal Audit Code of Ethics.
Summary: The university subscribes to the Code of Certified
Internal Auditors, whch subscribes to avoidance of any
conflict of interest or manifestation of bribery.
19. University of California Police Rules and Regulations (April 1,
1981).
Summary: The regulations include the Law Enforcement Code of Ethics
as an introduction and a section on Code of Conduct for
University Police employees. Specifically, employees
shall conduct their private and professional lives in such
a manner as to avoid bringing discredit upon the
department or upon themselves and, for example, shall not
solicit or accept gratuities, use one's position to obtain
privileges, or permit endorsement for advertising purposes
based upon the employee's university position.
20. Policy on Disclosure of Financial Interest in Private Sponsors of
Research (April 8, 1982), Academic Personnel Manual Section 028.
Summary: University Policy on Disclosure of Financial Interest in
Private Sponsors of Research issued by the President on
April 26, 1984, and State regulations mandated by the
President on April 26, 1984, and State regulations
mandated by the Fair Political Practices Commission under
the Political Reform Act (2 Cal. Admin. Code Section
18705) require that a principal investigator must disclose
whether or not he has a direct or indirect financial
interest in the sponsor of research which is funded in
whole or in part: 1) through a contract or grant of $250
or more with a non-governmental entity; or 2) by a gift
from a non-governmental entity which is earmarked by the
donor for a specific research project or a specified
principal investigator, provided the amount of the gift,
or the aggregate over a 12 month period, from the same
donor is $250 or more.
When an interest by a principal investigator in the
sponsor is disclosed, a campus committee must review
whether or not the contract, grant, or gift can be
accepted.
For questions or comments regarding the format of the above information, please contact webcontact@ucsbuxa.ucsb.edu.
Last Modified By: HMW, 5/21/97
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