Ohio Administrative Code › Title 3339 - Miami University › Chapter 3339-3 - In General › Section 3339-3-12 - Conflicts of interest/ commitment

Current through all regulations passed and filed through July 1, 2024
(A)
								Miami university
			 statement on conflicts of interest
The close relationship Miami has with
				the community along with the growth of sponsored research, consulting
				contracts, staff involvement in the management of private businesses, and
				similar developments in recent years have increased the complexity of the
				relationships between the university, government, and industry. One of the
				consequences has been an increase in the potential for conflicts of interest
				between the university obligations a faculty or staff member has and the
				obligations he or she may assume in extramural activities involving sponsored
				research, private business ventures, consulting, etc.
It has long been recognized that the
				only truly effective safeguard against a conflict-of-interest situation is the
				integrity of the faculty and staff. A codification of the complex ethical
				questions involved, even if possible, would be unduly restrictive. At the same
				time, even the most alert and conscientious individual may at times be in doubt
				concerning the propriety of certain actions or relationships. Whenever such
				doubt arises, the university expects the individual involved to consult with
				the associate provost for research and dean of the graduate school, the
				associate vice president for finance and business services, or the office of
				the general counsel before making a decision.
Because of the importance of avoiding
				conflicts of interest and other ethical problems, the following summary of
				pertinent statutes is being made available. The summary should not be relied
				upon as the basis for answering a specific ethics question or determining a
				course of conduct in a specific situation. The summary is intended only to give
				all employees a basic understanding of the circumstances under which ethical
				problems may arise. Once the employee becomes aware of an ethical issue, he or
				she should look into the matter in greater detail.
There are two portions of the Revised
				Code that are directly applicable to university employees. The first of these
				is Chapter 102, of the revised code ethics; the second one is section
				2921.42, of the revised code
				having an unlawful interest in a public contract; and section
				2921.43, of the revised code
				soliciting or receiving improper compensation, which are part of the criminal
				code. Any interpretation of these statutes also may require consulting with the
				Ohio ethics commission or the employee's own attorney, in addition to
				appropriate individuals at the university. Such consultation should, of course,
				occur before, not after, the taking of any action that might raise ethical
				issues.
Ohio's ethics law recognizes that
				faculty and staff may be in a position to make or influence decisions that
				directly affect their personal interests. The guiding principle of the Ohio's
				ethics law is to prevent a public employee, including faculty and staff
				members, from participating in matters that involve the public employee's own
				financial interest or those of his family or business associates.
The specific sections of the Revised
				Code that are likely to affect Miami university employees are:
(1)
									Misuse of
			 confidential information - division (B) of section
			 102.03 of the Revised Code
			 prohibits public university employees from disclosing confidential information
			 acquired during employment.
(2)
									Misuse of
			 official position - divisions (D), (E), and (F) of section
			 102.03 of the Revised Code
			 prohibit the giving, receiving, or soliciting of anything of value which would
			 "manifest a substantial and improper influence" upon a public university
			 employee with respect to his or her duties.
(3)
									Sale of goods or
			 services - division (B) of section
			 102.04 of the Revised Code
			 prohibits public university employees from selling or agreeing to sell, except
			 through competitive bidding, goods or services to the university, general
			 assembly, or any agency or institution of the state, excluding the courts.
			 Again, there is a provision for exemption from the prohibition in some
			 circumstances if the public employee files a disclosure statement, copies of
			 which may be obtained from the Ohio ethics commission.
(4)
									Soliciting or
			 receiving improper compensation - division (A) of section
			 2921.43 of the Revised Code
			 prohibits employees from receiving or agreeing to receive compensation in
			 addition to that paid by the institution for the performance of his or her
			 duties. Division (C) of section
			 102.04 of the Revised Code
			 prohibits employees from receiving or agreeing to receive, directly or
			 indirectly, compensation other than from the university for any "service
			 rendered or to be rendered" in any "case, proceeding, application or other
			 matter" that is before the general assembly or any state institution or agency,
			 excluding the courts. This provision may have an impact upon, among others,
			 faculty members who receive compensation for certain types of consulting work,
			 particularly giving testimony before state agencies. The law does provide
			 mechanisms that may permit this type of activity in some circumstances, but it
			 requires the filing of a disclosure statement, copies of which may be obtained
			 from the Ohio ethics commission.
(5)
									Unlawful interest
			 in a contract
(a)
										Divisions (A)(1) and (A)(2) of section
			 2921.42 of the Revised Code
			 prohibit a public university employee from authorizing or employing the
			 authority or influence of his or her employment to secure any public contract
			 or public investment in which the employee, a member of the employee's family,
			 or any of the employee's business associates, has an interest.
(b)
										Division (A)(3)
			 of section 2921.42 of the Revised Code
			 prohibits a public university employee from participating for profit in the
			 prosecution of a public contract authorized by him or her as a public
			 employee.
(c)
										Divisions (A)(4) and (A)(5) of section
			 2921.42 of the Revised Code
			 prohibit public university employees from having any interest in a contract
			 entered into by the university; or having an interest in any contract with any
			 other state agency or institution which is not let by competitive bidding and
			 which involves more than one hundred fifty dollars. There are exceptions to
			 these prohibitions, which are quite detailed. For further assistance, the Ohio
			 ethics commission should be contacted.