1. Purpose

   The purpose of this policy is to define standards and expectations for employees to recognize and responsibly manage conflicts of interest and commitment in compliance with federal and state ethics laws. This policy affirms the university’s commitment to ethical behavior by all employees, protects the university’s resources and reputation and maintains public trust by ensuring that all activities are conducted with integrity and transparency. 

2. Scope 

   This policy applies to all employees of Ohio university. This includes faculty members, administrators, professional and classified staff, and student employees who receive compensation or other consideration for duties performed on behalf of the university. Additional requirements may apply to individuals working on externally sponsored research or projects, depending on the terms of the external funding.

3. General expectations

   1. Avoiding personal or professional conflicts of interest

      Employees must avoid situations where their personal, financial, or family interests interfere or appear to interfere with their ability to carry out their responsibilities to the university in an impartial and objective manner.

   2. Avoiding conflicts of commitment with outside activities

      Ohio ethics law does not prohibit university employees from engaging in outside employment, so long as there is no conflict between their university job and outside work, volunteer service, or personal activities.

   3. Avoiding situations that create perception of bias, including giving, soliciting, or receiving gifts related to performance of official university duties.
   4. The potential for a conflict of interest does not imply that a situation is unethical, impermissible under this policy, or in violation of law.  Instead, it means that the situation must be carefully evaluated, and in some cases, managed or mitigated to avoid noncompliance with Ohio ethics law or perceptions of the same.
   5. Disclosing and managing conflicts
      Potential conflicts must be disclosed promptly and reviewed by appropriate university officials. The presence of a conflict must be addressed either through a written management plan or, when necessary, by eliminating the conflict to ensure transparency and compliance with the law and university policies.

4. Definitions

   1. Conflict of interest: A situation where personal, professional, or financial interests may interfere, or appear to interfere, with an employee’s ability to perform their university duties objectively and in the best interest of the university. This includes situations where close associates such as family members or business partners may benefit from the employee’s decisions.
   2. Financial conflict of interest: A type of conflict where financial interests, either those of the employee or of family members or business associates—could influence or appear to influence the employee’s decision-making in their university role.
   3. Conflict of commitment: A situation where an employee’s outside activities (whether compensated or not) interfere with the time or focus required for their university duties. This is distinct from financial conflicts, as it pertains to time, attention, and professional focus rather than money.
   4. Family member: As defined in policy 40.107 nepotism, a family member includes but is not limited to the following: spouse, domestic partner, children (biological, step, adopted, or foster), legal wards, siblings, parents, grandparents, grandchildren, uncles, aunts, father-in-law, mother-in-law, brother-in-law, sister-in-law, daughter-in-law, son-in-law, and other persons related by blood, adoption, or marriage.
   5. Business associate: Any individual or entity with whom the employee shares a financial interest or partnership that could lead to personal gain, financial or otherwise, or that could be seen as competing with the interests of the university.
   6. University duties: Tasks and responsibilities assigned by the university, including teaching, research, scholarship, service, administrative work, and other assigned employment obligations.
      1. Primary duties: These include all required responsibilities assigned to the employee such as teaching, research, service, and administration.
      2. Secondary duties: These include professional activities such as presenting at conferences, participating in professional organizations, or volunteering for public service that utilizes their professional skills or expertise. These activities are generally conducted outside of formal employment but are often encouraged if they do not interfere with primary duties.
   7. External professional activities: Any paid or unpaid activity performed for an entity other than Ohio university, which draws upon the employee’s professional expertise but is not part of their assigned university responsibilities.
   8. Gift: Anything of value given to a university employee by a person or organization that may be seeking or has the appearance to influence the employee’s decisions.
      1. de minimis gift: A small, non-recurring item of minimal value such as a coffee mug, t-shirt, or modest food item. These may be acceptable when not intended to influence official actions.
   9. Conflict management/mitigation plan: A written agreement developed between the employee and university administrators that outlines how a conflict will be managed, reduced, or eliminated to protect the interests of the university.

5. Compliance with Ohio Ethics Law

   Ohio university employees are subject to the following provisions of the Revised Code:

   1. Section 102.03 of the Revised Code: Prohibits the use of a public position to secure anything of value from a party interested in a pending matter or seeking to do business with the university.
   2. Sections 2921.42 of the Revised Code: Prohibits public employees and their families or business associates from having an improper interest in a public contract.
   3. Section 2921.43 of the Revised Code: Prohibits public employees from receiving outside compensation for their public duties.
   4. Faculty who have no administrative or supervisory responsibilities: There is a narrow exception in Ohio Ethics Law, as outlined in Chapter 102.01 (B) of the Revised Code, for public college and university faculty members who do not have administrative or supervisory responsibilities. These faculty may be exempt from certain conflict of interest and post-employment restrictions under the Ohio Ethics Law. However, they remain subject to other provisions, such as those concerning public contracts and supplemental compensation (Chapter 2021.42-4 of the Revised Code). Faculty members should carefully assess their roles and consult with legal counsel or the Ohio Ethics Commission to ensure compliance with applicable laws.

6. Use of university resources

   1. University property and resources, including facilities, equipment, personnel, finances, and information, must be used only for authorized university activities.
   2. As part of oversight responsibilities, all administrative units must ensure that employee use of university resources aligns with university policies, including policy 55.002: use of university resources.
   3. Employees may not:
      1. Use university resources for outside employment or personal gain.
      2. Use the university’s name, logo, or reputation to imply endorsement of external activities.
      3. Involve other employees in outside work without approval.
      4. Provide testimony or public statements on behalf of the university without prior authorization from university communications and marketing. 

7. Disclosure requirements

   1. Annual disclosure

      All employees must disclose potential conflicts at the time of hiring and annually using the university’s conflict of interest and commitment disclosure system.

   2. Updated annual disclosures

      Employees must update their annual disclosure whenever a new potential conflict arises, including but not limited to:

      1. Accepting outside employment.
      2. Engaging in external professional activities.
      3. Engaging in additional university employment without prior notice and approval by a supervisor.
      4. Receiving significant gifts from vendors or partners.
      5. Using university resources for non-university activities.
      6. Assuming fiduciary roles on foundation, not-for-profit, industry boards, or advisory committees.
      7. Acquiring stock and other financial assets that meet the State of Ohio disclosure threshold [add hyperlink]
   3. Review and resolution of conflicts identified in annual disclosure
      1. Supervisors and department heads will review annual and updated disclosures. When a conflict exists, a written management or mitigation plan will be created and approved by the planning unit leader. Unresolved or disputed cases will be referred to the appropriate university conflict of interest committee for final determination.
      2. Responsibility for the administration of this policy
         1. Non-research conflicts of interest and commitment:
            University compliance, in collaboration with the office of legal affairs and the office of human resources, is responsible for maintaining the conflict of interest and conflict of commitment disclosure guidelines, forms, training materials, and administrative procedures necessary for implementation of this policy. These offices shall ensure that all non-research-related conflicts are addressed in accordance with Ohio Ethics Law, university policies, and best practices in public accountability.
         2. Sponsored research and sponsored program conflicts of interest and commitment:
            The office of the vice president for research and creative activity is responsible for maintaining and enforcing procedures related to conflicts of interest and commitment in the context of sponsored research or scholarly activities. All research-related conflicts must also comply with policy 19.048 conflict of interest in sponsored programs and applicable federal regulations.

8. Training and education 

   All employees must complete training about conflicts of interest and conflicts of commitment each year as part of the annual disclosure process. The university will provide educational resources to support awareness and compliance.

   Employees who engage in sponsored research or creative activity will complete additional, specialized training relevant to financial conflict of interest as administered by the office of research compliance. 

9. Confidentiality 

   Disclosures and related documentation will be kept confidential to the extent possible, in accordance with applicable law and university policy.

10. Conflict review committee 

    Complex or high-risk conflicts will be addressed by a university compliance committee comprised of representatives of relevant stakeholders, including but not limited to legal affairs, university human resources, university compliance, the office of research compliance, and the individual's departmental leadership and convened by university compliance.

11. Failure to comply

    Failure to comply with this policy, including failure to disclose or mismanagement of a conflict, may result in disciplinary action up to and including termination of employment. Violations of Ohio Ethics laws can be subject to criminal prosecution.

12. Recordkeeping

    Planning units must document conflict of interest issues in the designated institutional including but not limited to disclosure forms, correspondence, and management plans. The university will retain conflict of interest documentation in accordance with university record retention requirements.

Forms, References, and History

1. References

   1. Policy 40.107 – Nepotism
   2. Policy 19.048 – Conflict of Interest in Sponsored Programs
   3. Policy 19.054 – Equipment Inventory Control
   4. Policy 55.002 – Use of University Resources
   6. University Disclosure Forms
   7. Conflict Management Toolkit