The University occupies a position of trust and responsibility in the community. It has obligations to external organizations, government, donors, parents and students to use its resources responsibly and, where required, for designated purposes. In meeting its obligations, the University expects all of its personnel to carry out their responsibilities with the highest level of integrity and ethical behavior, and without any conflict of interest or commitment to the University.
In conducting its affairs, the University is subject to many laws, regulations, and contractual obligations that are often complex. For faculty, whose broad activities are essential to the success of the University, it is important that there is cognizance of all legal and regulatory requirements associated with activities undertaken.
The University's policy is to comply with all laws and regulations affecting its activities. The policy on conflict of interest and commitment is intended to satisfy compliance requirements and guide University personnel in avoiding those situations that can result in a conflict of interest or commitment.
The key to avoiding these situations is awareness of what constitutes such conflicts, disclosure of potential situations before activity is undertaken, and a review of the situation. For example, the University encourages its faculty to engage in consulting up to one day each week; this Policy requires only that the agreement or arrangement be disclosed so that it is know to and appreciated by the University. After review, a determination may be made in certain cases to permit an activity, which may otherwise be considered a conflict, if it is (1) purely personal to the individual or beneficial to the University and (2) performed in full compliance with all legal, regulatory and other requirements. Issues of actual or possible conflict, once disclosed to the Senior Vice President, will typically be resolved by the supervisor with approval by the Senior Vice President and the General Counsel.
This policy should be considered as supplementary to existing policies in the Code of Conduct which govern faculty workload and supplementary incomes, including consulting. It is expressly subject to University policies relating to patents and copyright, such that compliance with those policies will be regarded as compliance with this policy.
A Conflict of Interest Statement will be presented once each year, by December I, to all applicable employees (as defined in Note 3). Vice presidents and department heads are to assure that all applicable employees receive the Statements.
POLICY:
It is the policy of Drexel University that employees must discharge their duties in the best interests of the University, to the extent permitted by law. (See Note 1) Therefore, each employee must:
1. Refrain from putting the interests of any individual, agency, organization, or association above the best interests of the University.
2. Refrain from any activity or transaction that could influence or cause an employee not to act in the best interests of the University, including, without limitation, any personal business transaction or private arrangement for personal profit which arises out of or relates to a position of authority with the University or upon confidential information which is obtained by reason of such position of authority. For purposes of this policy "personal" means the employee, any member of his or her immediate family (spouse, parents, children, siblings) and any entity with which he or she may be associated.
3. Disclose any financial, ownership, or management interest in any entity engaged either in the delivery of educational services, or in the delivery of goods or services of any kind to the University.
4. Refrain from participation in a transaction with the University which could result in personal profit except upon the written approval of the President. Such approval should be disclosed in the Conflict of Interest Statement.
5. Disclose any personal activity or business opportunity which is within the scope of the activities of the University and refrain from pursuing or exploiting such opportunity except upon written approval of the President.
6. Refrain from accepting any gift, favor, service, compensation, or benefit of any kind from any person who can influence the exercise of the employee's professional judgment on behalf of the University. This includes any person with whom the employee may transact business on behalf of the University, or whom the employee knows to be transacting, or seeking to transact, business with the University. Items of minimal value (e.g., $100 or less) are not included within this Policy, and need not be reported, unless they occur more than twice per calendar year.
7. Refrain from making or tendering payments, gifts or services to or for the benefit of any government or accrediting agency official, employee or designee who is in a position to influence directly or indirectly, any government or accrediting agency action or decision.
8. Refrain from making or soliciting contributions in the name or on behalf of the University or with University funds, services or facilities in any form to, or in aid of, any political party, group, candidate or cause.
9. Refrain from participating in any employment, salary, or other important decision regarding an immediate family member or person with whom you are in a personal relationship (reference the University's Policy on Sexual Harassment). Members of the same family may not be employed in a situation where one member of the family works under the administrative supervision of another. Any exceptions shall go through the appeals process outlined below and be resolved at the senior vice president level or above.
Violation of this policy will result in appropriate disciplinary action up to and including suspension without pay, transfer, demotion, termination of employment, cessation or prohibition of business with a vendor, and other appropriate remedies.
If there is any doubt about a situation, employees should disclose it to their Supervisors, using the following forms, so that they can determine what action, if any, needs to be taken. Employees may also contact the General Counsel, Director of Internal Audit, Vice President for Research, or the Ombudsman regarding a question in this area.
DISCLOSURES:
A conflict or a potential conflict of interest or commitment can arise at any time. It is therefore required that such a situation be disclosed before occurrence if that is possible, and in any event as quickly as possible after the situation is appreciated.
If any employee is in doubt about a situation, it should be fully disclosed so that a determination can be made by the appropriate University official. There is no harm in over-reporting; by contrast, failures to report are sanctionable.
If management determines that the situation disclosed does not constitute a conflict of interest, that determination, with appropriate explanation, must be forwarded to the General Counsel.
Notes:
1. For purposes of this policy, " Drexel University " refers to the University and its related entities such as API and Drexel e-Learning, Inc. A separate policy applies to the College of Medicine .
2. This policy applies to wherever Drexel related activities are conducted, both in the United States and abroad.
3. Employees to whom this Policy applies, and who are required to make annual disclosures, include:
a. . All Full Time and Part Time (exempt and non-exempt) benefit eligible employees;
b. Researchers (including, as appropriate, graduate students)
c. Any other employees for whom disclosure is required by legal, contractual, University Policy or other requirements.
4. Employees accepting grants or contracts must be knowledgeable of the granting and contracting organization's conflict of interest policy and agree to abide by it. For example, the National Science Foundation (NSF) and the Public Health Service (PHS) have published very specific policies regarding conflict of interest in research. Subawardees must also agree to abide by the organization's policy. A statement to this effect must be provided to the Vice President for Research.
5. If the granting or contracting organization's conflict of interest policy requires less than the University, the University's Policy must still be followed.
6. The Vice President for Research will assure the University's compliance with the granting and contracting organization's policy and will certify, where required, that the University meets the requirements of the granting or contracting organization's conflict of interest policy. The Vice President for Research is responsible for notifying the granting or contracting organization if the University cannot comply with its conflict of interest policy and resolving the situation with the organization.
7. Financial, Ownership, and Management Issues
You must disclose financial and ownership interests in, or executive officer or director positions with any entity engaged in the delivery of educational services or the delivery of other goods and services to Drexel University, its related entities, or any of its employees. You must disclose any significant financial or beneficial interest held by yourself or your immediate family in any entity engaged in the delivery of goods and services to Drexel University , its related entities or employees.
"Ownership interests" include interests in a partnership or limited liability company if you have more that 5% ownership interest (including spouse and children) in a partnership. For purposes of this policy, you are not deemed to hold any ownership interest in a publicly-held corporation if your only interest in that corporation is an equity (stock) ownership of 5% or less (including spouse and children) of any class of that corporation's securities.
8. The National Science Foundation (NSF) considers a significant financial interest to be anything of monetary value including equity interest. An equity interest when aggregated for the investigator and the investigator's spouse and dependent children must not exceed $10,000 in value and not represent more than a 5% ownership interest in a single entity. Salary, royalties, or other payments when aggregated for the investigator and the investigator's spouse and dependent children are not to exceed $10,000 in a twelve-month period.
EXAMPLES:
The following are common situations involving a conflict of interest or of commitment and as such must immediately be disclosed and a determination made as to their permissibility:
Providing consulting or managerial services to any organization doing business with the University, seeking to do business with the University, or which is or could become a competitor of the University. Activities which are permitted in the Drexel Handbook under the section "Contract Policy, Full Time Faculty - Supplementary Income" are not conflicts, but must be disclosed. Any exceptions that would be beneficial to the University require the written approval of the President.
Using University resources, facilities, and personnel (including your own time) for non-University related activities without written approval by the dean, provost or vice president. Please note that violation of this prohibition may result in breach of the University's financial obligations to its bonding agencies, which preclude the private or for-profit utilization of space, facilities, or equipment (including infrastructure like computers and internet services) obtained, built or renovated with tax-exempt bonds.
Participating in any activities or transactions that would cause the relationship with a vendor to be other than "arms length".
Accepting gifts for an employee's own use, entertainment, money, services, or other favors from any organization or individual doing business with the University, seeking to do business with the University, or which is a competitor of the University. This does not include books and other educational materials that faculty may receive to review for classroom adoption. This does not include acceptance of items of a nominal value intended as a good will gesture and not to influence decisions or actions affecting the University. Examples are calendars, paperweights, and pens used in advertisements by an organization. The purpose is to avoid accepting anything offered with the appearance, intent, or effect of influencing the exercise of the employee's professional judgment. For example, under the proper circumstances, a business lunch would not be a conflict of interest.
- Providing University assets to for-profit entities without receiving fair compensation.
- Using University facilities to engage in lobbying activities or fundraising for political purposes.
- All gifts over $100 (or totaling more than $100 if more than one gift is involved) given or received in the course of University business must be disclosed. Not all such gifts will create actual or potential conflicts of interest or commitment, but they must be reviewed in accordance with this Policy.
- Any organization or individual desiring to make a gift to the University should be asked to contact Institutional Advancement.
