Conflict of Interest
1. Authority and Responsibility
Major responsibilities that cannot be delegated:
Accountability for the implementation of a system or systems that effectively manage conflict of interest activities.
- Committing the university to an appropriate course of action that assures that no significant individual, near relative or financial benefit is present within the area of responsibility of the Administrative Official.
Major responsibilities that can be delegated:
- Establishing departmental policies and procedures which ensure that:
- UC Davis policies and codes regarding conflict of interest are followed.
- Faculty and staff are aware of disclosure and disqualification requirements.
- Monitoring, preventing, and reducing possible conflict of interest situations.
3. Areas of Potential Risk
- University employees who are required to fully disclose their financial interests and fail to do so are in violation of Federal and/or State laws and are subject to administrative, civil, and criminal penalties. Persons violating the university’s Conflict of Interest (COI) policy are subject to disciplinary action.
- University employees responsible for the design, conduct or reporting of a sponsored project at the university must disclose to the university significant personal financial interests related to that project. When the university determines that such an interest might reasonably appear to be directly and significantly affected by the sponsored project, the university will take steps to manage, reduce, or eliminate the conflict of interest.
- A principal investigator must disclose whether or not he/she or a near relative has direct or indirect financial interest in the sponsor of research funded in whole or in part through a gift, contract, or grant from a non-governmental entity prior to making any commitment to accept such funding.
- Faculty and staff should not participate in or influence university business decisions that could lead to personal gain or give advantage to firms in which employees or a near relative have an interest.
- Faculty and staff should not purchase or lease goods, or contract for services, from any university employee or near relative unless the Director of Materiel Management has determined that goods or services are not available from either commercial sources or the university's own facilities.
- Faculty and staff should be encouraged to discuss any potential conflict of interest situations with their supervisor and/or other UC Davis officials, such as the Conflict of Interest Coordinator.
Policies and Procedures