Conflict of Interest Guide

All employees must complete the online Conflict of Interest Disclosure Form in Banner (1) upon initial hire, (2) during annual review, (3) when an update to a prior disclosure is needed, (4) immediately when a potential conflict first arises, or (5) for a short term consulting disclosure. The online COI Disclosure form will route the form to the employee's immediate supervisor upon completion. The appropriate approvals based on the employee’s responses. Below are types of conflict of interest and reviewing departments:

1. Conflict of Time – Human Resources
2. External Financial Interest – Purchasing Office
3. Contracts with the University – Purchasing Office
4. Gifts – Purchasing Office
5. Intellectual Property – Human Resources for Staff and Provost Office for Faculty
6. Protected Information – Data Privacy Officer
7. Academic Information – Provost Office
8. Externally Sponsored/Reimbursed Travel - Accounts Payable Office
9. Sponsored Programming Disclosure – SPARC Office
10. Other Conflicts of Interest – ERM & Compliance Office for determining next steps in the approval process.
11. If there is no disclosure, the process ends and the Disclosure Form is recorded in Banner, the supervisor, and the Compliance Office.
    
    If there is a disclosure, the process moves to Step 2

Supervisor and employee review the completed disclosure.

1. Employee Instructions
   1. Working with your Immediate Supervisor, determine if a Conflict of Interest exists.
   2. If so, fill out a Conflict of Interest Management Plan with your immediate supervisor using the template.
   3. Sign the COI Management Plan by typing your name and date.
      Download the COI Management Plan as a PDF.
   4. Once you have completed the management plan, you or your Immediate Supervisor can upload it in Banner for approval.
2. Immediate Supervisor Instructions
   
   1. Review the disclosure and determine if a conflict of interest exists. The links below can help you make a determination. You may also request input and perspective on the disclosure from the Conflict of Interest Review Group by selecting “Send to COI Experts.”
      1. Examples of Outside Activities and Interests
      2. Conflict of Interest and Commitment FAQs
   2. If it is determined that a Conflict of Interest does not exist, the immediate supervisor must leave a comment explaining how they arrived at this determination and click "Comment." The Immediate Supervisor can then click "Approve."
   3. If a Conflict of Interest is determined, create a Conflict of Interest Management Plan with the employee using the template. In the plan, you will be asked to describe the conflict of interest and how it will be managed.
   4. NOTE: If you are unable to resolve the conflict of interest and/or would like to have the conflict reviewed by the Conflict of Interest area experts, you can "Send to COI Experts" for further review.
      1. If "Send to COI Experts" is selected, the Compliance Officer is notified and will convene the Conflict of Interest Review Group who will advise the Immediate Supervisor.
   5. Upload and approval
      1. You or the Employee can upload a PDF version of the management plan to the disclosure form in Banner.
      2. Once the COI Management Plan has been uploaded, use the "Add Next Approver" button to add an AVP-level administrator (or equivalent) or higher supervisor to the approval queue.
      3. Once the AVP-level administrator (or equivalent) or higher supervisor has been added, then you can "Approve" the disclosure.

1. AVP-level administrator (or equivalent) or Higher Supervisor Instructions
   1. Review the management plan
   2. Approve or deny the disclosure OR:
   3. If you want this to be reviewed by the Conflict of Interest area experts, you can "Send to COI Experts" for further review.

If implemented, supervisor and employee ensure the Plan is followed and reviewed at least annually.

When a University Employee owes a professional obligation to the University, which is or may be compromised by the pursuit of an Outside Activity or Financial or Other Interest. Conflicts of interest include but are not limited to: actual conflicts of interest, apparent conflicts of interest, potential conflicts of interest, conflicts of allegiance, conflicts of commitment, and sponsored projects conflicts of interest.

An Outside Activity is any activity that is not performed as part of the Employee’s responsibilities for the University. (Employee responsibilities are articulated/enumerated in an Employee's job description and/or University policy.)

Financial and Other Interests can include: anything of monetary value, including but not limited to salary or other payments for services; equity interest (e.g., stocks, stock options, or other ownership interest); intellectual property rights (e.g., patents, copyrights, and royalties from such rights). Financial and Other interests can also mean the holding of a position as an officer, director, agent, or employee of an Outside Entity. Financial or Other Interest includes such interests held by an Employee or by an Employee’s Family member.

Examples of reportable and non-reportable Outside Activities and Financial and Other Interests

Outside Activities and Financial or Other Interests could constitute a conflict of interest when they reasonably appear at odds with your professional responsibilities to the University as defined by your job description. Disclosing Outside Activities and Financial or Other Interests will help identify potential Conflicts of Interest.

All employees must complete the Disclosure Form either: (1) at the time of hire; (2) when a Conflict of Interest arises; (3) circumstances change as relevant to a prior disclosure, (4) when a supervisor requests an Employee to fill it out;and/or (5) as otherwise required by applicable law.

Southern Utah University is committed to maintaining the highest level of ethical conduct in all academic, clinical, and administrative activities. To uphold this standard and ensure transparency, all employees are required to complete the Disclosure Form at least once every fiscal year.

No. Your supervisor will review the Disclosure Form and determine whether there is a Conflict of Interest or not.

Employees should contact their reporting supervisor for further questions.

Generally, yes. Faculty members are encouraged to develop texts, workbooks, and other materials. These materials are generally allowed in University courses. However, all text and work material must be sold through the campus bookstore and must receive prior approval. For more information about the approval process, see Policy 6.17.

Yes. Faculty who publish instructional materials who expect to earn profits following standard publishing practices are responsible for complying with copyright laws and obtaining necessary rights and clearances for their materials. Ownership of copyrights and royalties for materials produced under University hire will be negotiated on a case-by-case basis. See Policy 6.17.

Not typically, unless the circumstance is covered as an exception listed in Policy 5.18.

Generally, yes. Employees may teach students who are Family Members in their courses. In the case of credit-bearing courses, the department chair or next-level authority will designate another appropriate Employee (who is not a Family Member of the student) to grade the student’s academic coursework and assign a final grade for the course. Employees may not participate in academic decisions directly affecting a Family Member.

Generally, yes. A reimbursement is usually not considered to be a gift. A reimbursement simply helps offset SUU’s cost of sending you to do your SUU job. Reimbursement for standard airfare, food, and hotel expenses is usually considered acceptable and does not typically influence the recipient improperly; It covers human necessities related to SUU travel such as food, shelter, and transportation. Of course, context matters. If you stayed in a luxury resort in the South Pacific or if your transportation were a Carnival Cruise Ship, this would go beyond the industry and cultural norms of human necessity and work engagement, and may instead be considered a personal benefit. But most destinations and accommodations for normal professional gatherings aren’t inherently “gifts” to an individual. They’re reimbursements to SUU. You should submit a travel request before traveling to ensure that the travel is approved.

Additionally, if the outside entity you are traveling with or for is part of a contract or solicitation with the University or may be part of a contract or solicitation with the university within the next 12 months, you must submit a travel request and fill out a conflict of interest Management Plan.

Other policies regarding University Travel must also be followed. See policies 10.13 and 5.30.

1. You may be able to accept a gift from an Outside Entity. However, gifts exceeding $50 are prohibited if they could reasonably influence someone to not perform their job faithfully and impartially.
2. If you are currently involved, have been recently, or in the next 12 months may be involved in any SUU action that directly impacts a donor, you must disclose any gifts received. If you have decision-making authority over a vendor's contract with SUU, it’s advisable to avoid accepting gifts from that vendor valued above $50;
3. Gifts are prohibited when the employee knows or should know under the circumstances that the gift is primarily for the purpose of rewarding the employee for official action taken.
4. Gifts from the University may be accepted and do not create a conflict of interest.

When attending events, training, or conferences on behalf of the University, you are on a normal work assignment and do not need to take personal leave. However, if you attend a conference for personal reasons or purposes unrelated to your SUU employment, you must take leave if it takes you away from your work duties.