University of Alaska
University Regulation 04.10 - Ethics and Conduct

University Regulation

PART IV - HUMAN RESOURCES
Chapter X - Ethics and Conduct

Outside Activities R04.10.010

  1. Scope

    1. Serving on advisory bodies and university governance groups, teaching, research, application of research findings, preparation and publication of articles and books (whether for royalty or not), preparation and delivery of lectures, memberships and activities in professional societies, participation in artistic performances or activities, when said activities are related to staff members' professional fields and no compensation or honorarium (other than royalties from publication) is received, are considered to be within the regular work duties of university employees and are supported by the university.

      Examples of activities considered to be outside the regular work or duties are: consulting for or providing other services to individuals or firms, serving on boards of directors, or as officers of business organizations, and engaging in commercial operations and practice except as noted above.

    2. Outside activities may be of a one-time nature, intermittent or occasional, or regularly recurring. They may involve little or considerable amounts of compensation.

    3. For purposes of this regulation "employee" is intended to include all personnel of the university, including both staff and faculty enrolled on the university payroll records and receiving compensation from the University of Alaska, no matter what the basic fund source, for the performance of regular staff or academic duties. It includes part-time as well as full-time employees. Nothing contained herein will be considered applicable to any outside activities of employees during the period of time for which they are compensated as university employees, except insofar as the use of university name, property, equipment, etc., is concerned.

  2. Conduct of Outside Activities

    1. Prior to engaging in any outside activity, as defined herein, the employee concerned will secure approval of his/her immediate supervisor. Department heads, deans, and directors or equivalent level are designated as representatives of the university to grant such approval for employees under their jurisdiction. If the approval is denied, the individual will have the right to appeal the decision as set forth below.

      1. In making these determinations the chief consideration will be whether the employee's current or proposed outside activities, taken individually or cumulatively, would substantially interfere with the performance of his/her regular duties. The fact that the outside activity involved compensation or the amount of such compensation will not be a reason for a refusal.

      2. In some cases the outside activity of an employee may be in the interest of the university or contribute to a significant enhancement of the employee professional standing or competence, even though engaging in the outside activity would substantially interfere with the employee's performance of his/her regular duties. In some cases the university may, upon consideration, determine that a re-allocation of the employee's duties is justified. Heads of departments and offices must process such cases through regular channels for approval.

    2. Review

      Heads of offices, departments, deans and other supervisors may, from time to time, review a case if, in their judgment, reasonable evidence suggests that:

      1. The outside activity or activities, individually or cumulatively constitutes in fact a substantial interference with the satisfactory accomplishment of the employee's regular university duties; or

      2. The employee may otherwise be violating the provisions of this policy.

    3. Community, State and Governmental Service

      Community, state and governmental service is encouraged by the university as a function of citizenship, provided it does not constitute detrimental interference with the employee's discharge of his/her regular work duties. If community, state or governmental service duties, whether compensated or not, in fact substantially interferes with the employee's discharge of his/her regular work duties, it then becomes an outside activity.

    4. Use of the University Name

      1. In conducting outside activities for compensation, the employee will make it clear to his/her employers or associates that he/she is serving in an individual capacity and that the university accepts no responsibility in connection with the outside activities.

      2. Official stationery of the university will not be used in connection with consultant's reports, bills for services or correspondence relating to the fulfillment of the staff member's performance of the outside activity.

      3. Employees whose names are included in commercial listings or other public documents, the purpose of which is to draw attention to the employee's availability for compensated services, will not list university buildings as an address, or list a university telephone number.

    5. Purchases Through the University for Private Purposes

      Individuals are not permitted to purchase supplies or equipment for personal use through institutional channels.

    6. Use of University Property, Equipment, Facilities, or Services

      The use of university property, equipment, facilities, or services by employees for purposes not directly related to university duties is prohibited. Exception will be made for the use of specialized equipment not available to industry or individuals through any private source within the state for which a pre-determined fee or rate has been established. The individual staff member may use such equipment on the same basis as other members of the public.

(06-20-97)

Abuse of Office for Political Purposes R04.10.020

Any employee seeking an elected public office will campaign completely on his/her own time, without adversely affecting his/her duties at the university; and be subject to any general university procedures governing appearances and activities of political candidates on the campus.

Any employee who acquires a state or federal public office or a full-time local government office which is legally not permitted to be held by a university employee, will resign from university employment. Such resignation will be without prejudice if adequate notice has been given by the employee and mutually satisfactory arrangements have been made concerning possible replacement of the employee.

(06-20-97)

Conflicts of Interest R04.10.030

A.
Notice

Regents' Policy and this regulation regarding conflicts of interest will be communicated to all affected persons - regents, employees and other university representatives. Policy and regulation will be enforced in a timely and consistent fashion. Units of the University of Alaska are directed to post, permanently, copies of Regents' Policy 04.10.030 and this regulation on appropriate bulletin boards.
B.
Purpose and Scope

Regents' Policy 04.10.030 and this regulation apply to and provide guidance for all persons employed by the university, regardless of position.

Regents' Policy 04.10.030 applies to individual members of the University of Alaska Board of Regents as "officers" and "representatives" of the university when applicable.
C.
Rationale

In order to maintain the highest ethical standards in all associations and activities with outsiders that take place on behalf of the university, every employee of the university is expected to accord the university his/her primary professional loyalty and to arrange outside obligations, financial interests and activities so as not to conflict or interfere with this over-riding commitment. All university employees will conduct both university business and their individual activities in a manner which will withstand the sharpest scrutiny and avoid even the appearance of impropriety.
D.
Disclosure

All university employees will follow the practice of full prior disclosure, in writing, of the precise nature of any association, relationship, business arrangement of circumstance that might suggest that decisions were made contrary to the best interests of the university and/or for an employee's personal gain or the gain of an employee's family, close friends or business associates. All such prior disclosures will be done through organizational channels to the university president in case of employees, or to the board president in the case of regents.
E.
Areas of Potential Conflict

The following activities and situations present conflicts of interest or commitment.

1.
Use of University Resources

The unauthorized use of any university resources by a university employee, including equipment or services of university employees, for his/her own personal benefit.
2.
Disclosure of Privileged Information

The unauthorized disclosure or release of any data of a confidential nature by a university employee, secured through one's employment, such as educational, medical, personnel, security records of individuals; anticipated material requirements or price actions; possible new sites for university actions; knowledge of forthcoming programs or of selection of contractors or subcontractors in advance of official announcements; results, materials, records of information stemming from university activity that are not generally available.
3.
Acceptance of Gifts

Direct or indirect acceptance by a university employee of a loan, gift or favor of more than nominal value from any organization or person doing or seeking to do business with the university. Nominal value is generally considered to mean low cost advertisement items, i.e., calendars, cups, pens, etc. This subsection should not be deemed to prohibit normal loans made in the ordinary course of business from banks or financial institutions that have or expect to have relations with the university.
4.
Provision of Gifts

Direct or indirect provision by a university employee of a gift or favor of more than nominal value to any organization or person doing or seeking to do business with the university.
5.
Interest in Supplier or Contractor

Direct or indirect interest by a university employee in any organization that has, or is seeking to have, business dealings with the university where there is an opportunity for preferential treatment to be given or received except (a) with the knowledge and written consent of the board or university president, or (b) in any case where such an interest consists of securities in widely-held corporations that are quoted and sold on the open market, or in private corporations where the interest is not substantial, e.g., not more than 5 percent of the voting stock or controlling interest of such organization.
6.
Competition with University

Direct or indirect engagement by a university employee in any other enterprise for remuneration when the activity is in direct competition with the university, except with the knowledge and prior written consent of the president or his designee.
7.
Sale or Lease of Property

Direct or indirect selling or leasing by a university employee of any kind of property to or from the university or to any organization or person that is, or is seeking to become, a supplier of goods, services or property to the university, except with the knowledge and prior written consent of the president or his designee.
8.
Employment by Supplier

Direct or indirect service by a university employee as an officer or director of, or as a consultant to, or to be otherwise employed by any organization doing or seeking to do business with the university, except with the knowledge and prior written consent of the university president or his designee.
9.
Outside Activities

Devotion of so much time or creative energy by a university employee to extramural activities that the employee compromises the amount of quality of his/her participation in the instructional, scholarly or administrative work for which the employee was hired. No more than 20 percent of an employee's total professional effort may be directed to such extramural activities.
10.
Research

Direction of students by a university employee into a research area from which the employee hopes to realize financial gain.

A university employee will be considered to have done indirectly the things or activities described in subsection E whenever any part of the actions or things are accomplished by or through the spouse, child, parent or sibling of the employee or by an association, trust or organization in which the employee or the employee's spouse, child, parent or sibling has a substantial interest; or through any device or artifice intended to evade the effect of the regulation.
F.
Activities that are Permissible

The following activities present no conflict of interest:

1.
Acceptance of royalties for published scholarly works and other writings or of honoraria for commissioned papers and occasional lectures, provided, however, that such published work is not a "commissioned work" as defined in Regents' Policy 10.07.05.

2.
Service as a consultant to outside organizations provided that (a) the time and energy devoted to the task is not excessive, (b) the arrangement in no way inhibits publication of research results obtained within the university and (c) the arrangement violates no portion of subsection E.

3.
Service on boards and committees of organizations, public or private, provided that (a) such service does not compromise the amount or quality of the employee's work and (b) the service does not otherwise violate the provisions of subsection E.

G.
Method of Resolving Conflict

The procedures listed below will be followed to determine when a conflict of interest could or does exist and to avoid or remove such conflict. If there is any question about the propriety of any business dealings contemplated or engaged in currently, or if an employee is uncertain whether a conflict of interest situation exists, this procedure will be followed.

1.
Through appropriate university channels, the employee will fully and accurately inform the president of the university, or the president of the Board of Regents in the case of regents, in writing, of the specific facts and circumstances surrounding the possible conflict of interest.

2.
The employee or regent will then request a determination of whether the situation, as presented, constitutes a conflict of interest.

3.
If any activity is interpreted as an existing or potential conflict of interest, the university president, or president of the Board of Regents in the case of regents, will determine what action is necessary to eliminate or avoid any conflict of interest.

H.
Sanctions

Failure of an employee to follow the requirements of this chapter or comply with related directives from the president or his designee will be grounds for suspension or dismissal of the employee and/or other sanctions as may be deemed appropriate by the university president.
I.
Official Spokesperson for the University

The president of the university is designated as the representative of the university in all official university discussions and communications with officials of the executive, judicial and legislative branches of the state and federal governments in their official capacities. Exceptions for direct contact by officials of the university, other than the president, are identified in Regents' Policy 04.10.030. The president may issue further regulations from time to time consistent with that policy.

(06-20-97)

Nepotism R04.10.040

The employment of relatives of current employees of the university is addressed in policy.

(04-21-95)

PART IV TABLE OF CONTENTS