1.2.200 Conflict of Interest and Commitment Policy - Employees and Board of Governors

A.        Prohibitions for all employees

An employee shall not:

• Act or refrain from acting in the employee’s duty as an employee by reason of any payment, offer to pay, promise to pay, or receipt of anything of actual pecuniary value to the employee or any third person, including gifts or campaign contributions, made or received in relationship to or as a condition of the performance of an official act, other than compensation to be paid by the university. See § 105.452, RSMo.

• Use or disclose confidential information obtained in the course of or because of employment or official capacity in any manner with intent to result in financial gain for the employee or any business with which the employee has a relationship.  § 105.452, RSMo.

• Favorably act on any matter that is so specifically designed so as to provide a special monetary benefit to the employee including but not limited to increases in retirement benefits, whether received from the state of Missouri or any third party by reason of such act.

• For the purposes of this point, “special monetary benefit” means being materially affected in a substantially different manner or degree than that in which the public in general will be affected or, if the matter affects only a special class of persons, then affected in a substantially different manner or degree than that in which such class will be affected.
• In all such matters such employees must recuse themselves from acting as required by law. See § 105.452, RSMo.

• Use the employee’s decision-making authority, for the purpose of obtaining a financial gain which materially enriches the employee, by acting or refraining from acting for the purpose of coercing or extorting from another anything of actual pecuniary value. See RSMo. § 105.452.

• Offer promote, or advocate for a political appointment in exchange for anything of value to any political subdivision. See § 105.452, RSMo.

• Keep for sale or be interested, directly or indirectly, in the sales of any school furniture or apparatus, books, maps, charts or stationery used in the university; nor be interested, directly or indirectly in any contract or purchase for building or repairing any structure, or for fencing or ornamenting the grounds, or furnishing any supplies or material for the use of the university. See § 174.220, RSMo. 
  
  Textbooks, tapes, software and other materials authored by a course instructor may be assigned to be purchased by students for a course taught by the author if the royalties arising from the purchase of the assigned materials are returned to the university, another educational institution, a charitable organization, or a not-for-profit foundation; proceeds from other university uses of such materials, such as purchase by the library, shall be the property of the author. Any employee responsible for selecting or ordering course materials cannot accept consideration from any person or entity for doing so other than compensation to be paid by the university.

• Use university resources for private gain unless in exchange for a benefit to the university reasonably equivalent to or exceeding the value of the resources used. University services, personnel or facilities may be used in a non-university activity only after permission has been received from the appropriate senior administrator or designee and arrangements are made to ensure benefits to the university.

• Use the name or logo of the university in any letterhead, advertising or other promotion of an outside activity in such a manner as to imply university sponsorship.

• Retaliate against a person regarding the terms or conditions of employment because that person has reported a violation of this policy or participates in an investigation thereof. This does not apply to a person who knowingly or recklessly makes a false report. See § 105.452, RSMo.

 Employees in executive or administrative capacities shall not:

• Directly or indirectly attempt to influence or participate in any university decision

• that the employee knows may result in the performance of a service or sale, rental, or lease of property to the university
• for an amount in excess of $500 per transaction or $5,000 per year
• by the employee or any business with which the employee has a relationship,
• unless the transaction is made after public notice and competitive bidding as required by § 105.454, RSMo.

• Perform any services during the time of employment for consideration, other than the compensation provided for the performance of the employee’s official duties, by which service the employee attempts to influence a decision of the university. See § 105.454, RSMo.

• Perform any service for consideration, during one year after termination of office or employment, through which the employee attempts to influence a decision of the university, except that this provision shall not be construed (a) to prohibit any person from performing such service and receiving compensation therefor in any adversary proceeding or filing of any public document or (2) to prohibit an employee of the university from being employed by any other department, division or agency of the executive branch of state government. See § 105.454, RSMo.

• Perform any service for consideration after termination of office or employment in relation to any case, decision, proceeding or application with respect to which the employee was directly concerned or in which the employee personally participated during the employee’s period of service or employment..

University employees, excluding members of the Board of Governors, are expected to devote their primary professional loyalty, time and energy to their university responsibilities. Accordingly, outside professional activities of such employees must be arranged so as not to interfere with the primacy of university responsibilities. 

Such employees may devote a reasonable amount of time to outside activities provided it will not interfere with their responsibilities to the university. Staff will be required to use available leave time when conducting outside activities during university work hours. Faculty members' outside activities shall not exceed 25 percent of their full-time workload.

Employees, excluding members of the Board of Governors, shall obtain prior approval from the appropriate senior administrator or designee when committing university resources, including employee time commitments, beyond the level that is typically available to said employees for outside activities. During those times that they are under contract or have appointment with the university, full-time employees shall obtain written consent of the appropriate senior administrator or designee prior to accepting outside compensated teaching responsibilities; such consent must be obtained prior to each occurrence.

Each year annually, each member of the Board of Governors must:

• Review this policy
• Review referenced statutes
• Disclose any possible personal, familial or business relationships that reasonably could give rise to a conflict, or appearance of a conflict, involving the university
• Acknowledge by his or her signature that he or she is in accordance with the letter and spirit of this policy

This policy refers to certain (1) benefits (including financial gain, enrichment, payments, gifts, consideration, etc.) to employees and members of the Board of Governors and (2) relationships with employees or members of the Board of Governors.  For purposes of this policy, such references also extend to benefits to and relationships with an employee’s or member’s spouse or domestic partner or dependent child. 

For example,

• where the policy prohibits an employee from acting by reason of any payment to the employee, employees are also prohibited from acting by reason of any payment to the employee’s dependent child;
• where the policy prohibits an employee from using confidential information obtained in the course of employment for the financial gain of a business with which the employee has a relationship, employees are also prohibited from using confidential information obtained in the course of employment for the financial gain of a business with which the employee’s spouse or domestic partner has a relationship.

Business relationships include relationships with corporations, associations, firms, partnerships, proprietorship, or business entity of any kind of which an employee is

• a sole proprietor;
• a director, officer, or owner (alone or in combination with the employee’s spouse or domestic partner or dependent child) of more than 10% of any class of stock or partnership units, other than as a limited partner of a limited partnership; or
• a trustee or settlor of a trust in which the employee (alone or in combination with the employee’s spouse or domestic partner or dependent child) is a beneficiary or holder of a reversionary interest of 10% or more of the corpus of the trust.

See § 105.450, RSMo.

Consulting or other non-university activities, including but not limited to:

• Activities that involve the use of the employee's expertise, the practice of the employee’s profession, or contribution to the employee's professional competence or development; and
• Activities relating to a direct or indirect financial interest in an entity that proposes to do business or is doing business with the university, or that is conducting research or business that is relevant to the scope of the employee's university responsibilities.

A.        Reporting

When a report is received by any supervisor, director, department chair, dean, vice provost, or vice president that a possible, potential or apparent conflict of interest or violation of this policy may have or has occurred and cannot be resolved through the appropriate administrator, a statement shall be made detailing the possible violation, in writing, signed, dated, and submitted to the office of the university’s Office of Human Resources after the alleged conduct has taken place.

B.        Fact finding

If the Office of Human Resources, after consultation with the appropriate senior administrator(s), determines that a possible violation of the policy has occurred, the associate vice president of human resources will appoint a disinterested party/committee to investigate the facts and will notify the subject of the investigation, within 10 days, unless notification would limit the effectiveness of the investigation. The disinterested party/committee will present a copy of those relevant facts found to the general counsel who will notify the appropriate senior administrator(s) as to whether a violation has occurred.

C.        Enforcement

If it is determined by the associate vice provost of human resources that a violation of the policy has taken place, a summary of findings will be presented to the appropriate senior administrator(s) for appropriate action. Action will be based on the extent of the violation and the position held by the employee. Action will be consistent with applicable UCM policies, procedures, and/or memorandums of understanding.

D.        Appeals

Appeals may be provided pursuant to applicable existing avenues for employment grievance or appeal. Allegations against the president will be reported to the Board of Governors. The decision of the final step in the appeal process, the president’s decision, or the board’s decision, as applicable, will be final.

A.        Disclosures

All members of the Board of Governors are requested to list on the disclosure form only those substantive relationships that the member, the member’s spouse, the member’s dependent child, or any business with which the board member has a business relationship, maintains with organizations that do business with the university or otherwise could be construed potentially to affect the member’s independent, unbiased judgment in light of the member’s decision-making authority or responsibility. Business transactions or relationships that follow the university's competitive bidding procedures and/or are not acted upon by the Board of Governors are exempted from disclosure, as are loans to members of the board from financial institutions that have substantially the same terms as those prevailing at the time for comparable transactions by the bank with other persons who are not members of the board. Also exempted from disclosure are voluntary gifts to members of the board of nominal value. Examples of such nominal gifts include but are not limited to: a donation, tribute or gift made on a special occasion such as marriage, illness, holiday or retirement; promotional gifts such as pens, pencils, calendars, etc.; items such as meals during the normal course of business pursuits; and awards for meritorious public contribution or achievement given by a non-profit or quasi non-profit organization.

In the event a member of the Board of Governors is uncertain as to the propriety of listing a particular relationship, the president of the Board of Governors and/or the university president should be consulted. They, in turn, may elect to consult legal counsel or the Board of Governors in executive session. Such information, including information provided on the disclosure form, shall be held in confidence except when, after consultation with the member of the board, the institution's best interests would be served by disclosure, unless otherwise required by law.

B.        In cases of conflicts of interest

Members of the Board of Governors who have declared or been found to have a conflict of interest shall excuse themselves from participation in or consideration of related transactions, unless for special reasons the board requests the member of the board to provide information or interpretation on the transaction. Members of the board with conflicts shall not vote nor participate in discussion of the related transaction prior to the vote of the board.