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Any
circumstance that could cast doubt or the appearance of
doubt upon an employee's ability to act with total
objectivity with regard to the College's interests presents
a potential conflict of interest situation. Set forth
below, both descriptively and by way of example, are the
kinds of conflict situations each employee should avoid and
guidelines for dealing with them.
Given the complexity and diversity of the College it is not
possible for a single statement to be all-inclusive and by
the same token any generalization may be overly broad.
Anyone who has any question about whether a particular
activity or transaction is permitted or prohibited by this
policy statement should seek clarification from the Office
of the Provost or the appropriate Vice President.
1. Self-Dealing Conflict -
The possibility of a self-dealing conflict
typically occurs where an employee has a significant
personal interest in a transaction to which the College is a
party, coupled with some degree of influence or control over
the outcome. In such an instance the employee is vulnerable
to the charge that his or her influence within the College
might be used to advance this private interest or benefit.
There are
numerous situations where potentially self-dealing conflicts
may arise; the following examples are illustrative, not
exhaustive:
a. An
employee who has responsibility for or influence over the
College's purchase of goods or services influences a direct
purchase from an organization in which he, she, or a member
of his or her family has an interest;
b. An employee accepts gratuities or special favors from
any organization doing business with the College where the
offering or acceptance of such gratuities or special favors
could be viewed as potentially interfering with the
employee's proper discharge of his or her responsibilities
to the College; and
c. An employee seeks to purchase property, which
the College has offered for sale to the general public
without disclosing the intended purchase to the College and
obtaining the College's prior written approval.
There are certain potentially
self-dealing situations that must be specifically
regulated. Acquisitions by the College by purchase or lease
of materials or services from any entity in which a College
employee has a significant proprietary interest are
prohibited. An exception to this policy will only be
granted upon application in writing, with full disclosure of
the background facts, to the Provost for academic personnel,
or to the Vice President for Finance and Administration for
all other employees, as appropriate.
2.
Conflict of Commitment. - Outside professional activities and interests are an
accepted part of academic life. They make faculty better
scholars and teachers and thereby better equip them to serve
Barnard College. Nonetheless, the opportunities available
to faculty to conduct research, engage in consulting,
practice their professions, and turn their discoveries and
ideas into commercial ventures create the potential for
conflict between their outside interests and commitments and
their responsibilities to the College. Outside professional
interests and employment, whether gainful or not, must not
interfere with a faculty member’s teaching, scholarly
research, and other departmental and College duties.
The primary professional obligations of
full-time faculty are to the College. They consequently may
not participate in any outside activities, for or without
compensation, that will absorb an undue amount of their time
and thereby divert their primary attention from their duties
at Barnard College. Outside employment, consulting, and
other interests are limited to an average commitment of no
more than one day per workweek during the period in which a
faculty member is expected to provide services to the
College. Generally, this period covers the academic year,
and excludes summers and semesters during which a faculty
member is granted a leave without pay.
Faculty may not engage in outside
activities that directly compete with the core mission of
the College or are in conflict with their College
responsibilities, regardless of the time they require,
without the prior written permission of the Provost.
Operationally this means that full-time faculty may not
create courses, substantial parts of courses or courseware
for, or accept teaching assignments from, either another
nonprofit institution of higher education or a commercial
enterprise, unless authorized in advance by the Provost and
Dean of the Faculty. This policy applies equally to courses
taught in person, or via the Internet or some other method
of electronic transmittal. In this context, Columbia is not
considered to be a separate non-profit institution, and
faculty may create courses for and collaborate freely with
the Columbia University academic community.
This policy is not intended to prevent
faculty members from participating in ordinary scholarly
exchanges, such as visiting professorships and guest
lectures at another institution or engaging in similar
activities, as long as those activities are consistent with
this policy.
A
full-time administrative employee normally may not undertake
any outside employment except after consultation with his or
her department head or supervisor.
3. Effect on Academic Judgment -
An employee may encounter a conflict
where he or
she engages in outside employment or activities that could
be viewed as impairing his or her academic judgment in the
performance of College duties and responsibilities.
Each employee is under an obligation to take no action that
might adversely affect his or her own independence of
judgment or the integrity of the duty of primary loyalty he
or she owes the College. Nor can an employee allow his or
her research agenda or the interpretation of his or her
research results to be distorted, to serve his or her or any
other private interests. For example, an employee may not
enter into an agreement with an organization that provides a
financial incentive for reaching a predetermined result in
research or consultation. Also, no employee should
interfere with the research project of any other faculty
member in order to promote private interests.
4. Use of College Name or
College Resources - Barnard College’s name, reputation and
resources are important assets of the College. The College,
therefore, has an interest in ensuring that its name, seal,
and other insignias are used in a manner that furthers its
mission and is consistent with its institutional interests,
and that its resources are used for legitimate College
purposes.
A situation in which a conflict may arise
because of an employee's outside activities, affiliations,
or concerns is when the employee seeks to use the College's
name or the College's resources, such as its facilities or
equipment, to advance his or her own private interests. The
College's name, facilities, and equipment are to be used for
the furtherance of College goals and not for the benefit of,
or to imply the College's support of, a non-College
activity. An example of the inappropriate use of the
College's resources is the use of College equipment at an
employee's disposal in pursuit of research for a private
firm.
a. Use of College Name.
In connection with their outside activities, faculty, administrators and other
employees may identify themselves as affiliated with Barnard
College by listing their College titles. They should,
however, be careful not to imply that Barnard College
supports, sponsors or endorses those activities.
Beyond denoting an
affiliation with Barnard, no employee shall use the official
title of the College, or any of its parts, in whatever forms
that title may appear except in connection with legitimate
College purposes. For example, neither the name of the
College nor its letterhead may be used by any employee in
sponsoring or recommending any commercial service or product
regardless of whether that employee has any interest in the
promotion. An employee may not use the College's name and
address on stationery in connection with an outside
organization that he or she established or of which he or
she is a director unless the employee's participation in
that organization is at the request of the College or is
otherwise a part of the employee's normal College duties.
b. Use of College Facilities and Equipment.
College materials, supplies, facilities, or personnel must
not be diverted by an employee to promote an outside
activity or interest of his or her own. The College may
grant permission to an employee, in his or her pursuit of
outside activities or interests, or to an employee of
another institution or entity to use College facilities, but
only where there is evidence that the work of such an
employee, supported by College resources, will be of
significant benefit to the College.
5. Use of Confidential
Information - A conflict may occur between an employee's
obligations to the College and his or her personal interests
where there could be a misuse of privileged information for
private gain. This conflict arises, for example, where an
employee uses confidential information acquired in
connection with his or her College-related activities for
personal gain or for other unauthorized purposes. An
employee who transmits to others outside the legitimate
College community confidential information obtained in the
course of College-sponsored activities is in breach of his
or her duty of loyalty which demands use of such information
for the College's credit and the benefit of its students.
An employee must not disclose confidential information
acquired by reason of his or her College position or use
such information for his or her or another's gain or
benefit. An employee should not accept employment or engage
in any business or outside activity that he or she might
expect would require or induce him or her to disclose
confidential information acquired by reason of his or her
College position.
6. Disclosure and
Consultation - In addition to those Trustees and employees
who are required to make periodic disclosures of outside
interests, employees are expected to comply with the
College's policy of disclosure and consultation where there
exists a possibility that a conflict of interest could
arise. The policy requires voluntarily and expeditiously
disclosing his or her degree of involvement in such outside
activities by consulting with his or her Dean, Department
Chair, Project Director, or supervisor before such outside
professional activity is considered. An employee has an
obligation not to mislead the College about the amount of
time or effort he or she must devote to outside activities
and interests. If an employee is in doubt as to whether he
or she is confronted with a potential conflict of interest,
the employee should consult with his or her Dean, Department
Chair, Project Director, or supervisor to determine if
disclosure is warranted.
Deans,
Department Chairs, Project Directors, or supervisors, being
charged with the duty of maintaining the integrity of
institutional standards of instruction, research, or
management within their respective spheres of
responsibility, are obliged to notify the appropriate Vice
President or the Provost, of any potential violations of the
College's policies on conflicts of interest. Compliance with
these policies is essential if the primary goals of the
College, its commitment to excellence in the realm of both
teaching and research, are to be achieved.
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