Conflict of Interest

General Purpose
Tufts employees are responsible for performing their duties in good faith and in the best interests of the University. In particular, employees are expected to avoid activities, agreements, business investments or interests, or other situations that materially conflict or appear to conflict with the interests of the University or interfere with the individual’s duty to loyally serve the University to the best of his or her ability.

Definition of Conflict of Interest
A conflict of interest exists when an employee is in a position to benefit personally, directly or indirectly, from his or her relationship with an entity or person conducting business with the University. All employees have an obligation to avoid conflict, or the appearance of conflict, between their personal interests and the interests of the University.

Typical conflict situations are:

1. The current or potential involvement of the employee, or a member of his or her family, in a financial or other relationship that affects, or potentially could affect, his or her independent, unbiased judgment in the discharge of his or her duties to the University. A conflict of interest could arise, for example, from an employee’s compensated service as a consultant to, or membership on, a board of directors or a managerial role with respect to an entity doing business with the University.
   
   
2. The possession on the part of the employee, or a member of his or her family, of a significant ownership interest in an organization conducting business with the University. A significant ownership interest shall mean 1% or more of the stock; 1% or more interest in the profits; or a beneficial interest of 1% or more in an enterprise.
   
   
3. Receipt of gifts or other payments or services of financial value from persons or entities doing business with the University other than those specified under “Gifts and Entertainment.”
   

Reporting Conflicts of Interest
While all Tufts employees are required to avoid conflicts of interest, or the appearance of conflicts, certain individuals are required to disclose annually the existence or absence of defined conflict situations. These employees include all officers and deans of schools and any other identified employees who are responsible for establishing substantive business relationships on behalf of the University. The Executive Vice President will designate other individuals from time to time and notify them of their designation. Receipt of a disclosure form will constitute notice.

Annually, each officer, dean, and any other identified individual is required to disclose to the Executive Vice President, using a form provided by the University, whether or not he or she has a reportable conflict of interest. Any employee is also required to promptly report to the Executive Vice President any actual or perceived conflict of interest as defined in accordance with the conflict situations defined in this policy which arises outside of the annual reporting period.

Questions will arise as to whether a specific situation constitutes a conflict of interest. Employees are urged to conduct themselves cautiously and, whenever in doubt, to report the situations to and seek advice from the Executive Vice President or their supervisors, as appropriate.

Failure to disclose a reportable interest or relationship or neglecting to comply with the University’s requirements for managing a determined conflict of interest may subject the employee to disciplinary action up to and including termination of employment.

Resolving Conflicts of Interest
The Executive Vice President will determine the appropriate resolution for all reported conflicts. The affected employee may appeal that determination to the President, whose decision shall be final. For actual or potential conflicts of interest which directly involve the Executive Vice President, the President’s determination shall be final.

Research
Faculty and staff who participate in research should consult “Tufts University’s Policy Regarding Conflicts of Interest in Research” for additional mandatory disclosure requirements. That policy may be obtained from the Vice Provost’s Office.

	Questions & Answers Question: I intend to use outside printing services to develop the layout for a new student services brochure to be issued next semester. My wife runs a printing and design shop that can perform this type of work. Can I direct the business to her? The total job cost is below the University’s minimum bid requirements. Answer: No. Even though the cost of the job is below the bid threshold, there exists a potential conflict of interest since by providing this job to your wife (or any other family member or persons living in your household) you might personally benefit. Also, this situation could affect your unbiased judgment in selecting the most qualified print shop for the project. Therefore, you should not negotiate or approve a contract with the shop. Question: I have an outside consulting practice that solicits business from several sponsoring agencies that provide funding awards to Tufts. Do I need to disclose this relationship? Answer: Yes, this relationship must be disclosed in writing to the Executive Vice President to determine if any potential conflict exists between your outside business and Tufts in terms of competing for similar awards of projects and funds from these agencies. Work performed by a University employee in a self-owned business or as an employee of an outside business which directly or indirectly places the University at a financial or competitive disadvantage will not be permitted. Question: I am the department FSP (Frontline Support Provider). Last week, my supervisor asked me if I could come over to his house that weekend and upgrade his personally owned computer with the extra memory he recently purchased. I found it hard to say no to his request since I perform the same function for the University. Is this a conflict of interest on his part? Answer: Yes, this would constitute a conflict of interest. Supervisors may not make such requests. This situation can be compared to one in which a supervisor receives a gift from a vendor. Gifts are forbidden by our policies because they may cause the supervisor to feel beholden to the vendor or give the vendor power to coerce the supervisor. In the case of an employee, receipt of a “gift” of the employee’s time creates the same opportunity for a conflict of interest, where the obligation of loyalty to Tufts becomes secondary to other interests. This is true even if the work is, or appears to be, performed voluntarily; it need not be coerced to be wrong. Question: I am a researcher at the University who is involved in a start-up company in which I own a 5% interest. Do I need to report this as a conflict of interest to the Executive Vice President? Answer: You need to report your interest if the company conducts or is likely to conduct business with the University.