UTA Legal Documents

EI-PO-02 Conflicts of Interest, Conflicts of Commitment, and Outside Activities Policy

Contents

  • I. Title
  • II. Policy
  • III. Definitions
  • IV. Relevant Federal and State Statutes
  • V. Relevant UT System Policies, Procedures and Forms
  • VI. Who Should Know
  • VII. UTA Office(s) Responsible for Policy
  • VIII. Dates Approved or Amended
  • IX. Contact Information

I. Title

Conflicts of Interest, Conflicts of Commitment, and Outside Activities Policy

II. Policy

A. Purpose

This policy is intended to protect the credibility and reputation of The University of Texas System (UT System), The University of Texas at Arlington (UTA or University), and their employees by providing a framework to address conflicts of interest, conflicts of commitment, and outside activities.

B. Value in Certain Outside Activities

UT System Rules and Regulations of the Board of Regents Rule 30104 Conflict of Interest, Conflict of Commitment, and Outside Activities permits UTA employees to engage in outside work or activities subject to State laws, and UT System and UTA policies and procedures. UTA encourages outside activities that clearly contribute to the mission of UTA and/or provide important elements of professional development related to employees’ institutional responsibilities.

C. Approval for Outside Activities Required

All full-time staff and faculty must electronically request and receive prior approval for the following activities:

  1. All outside employment or other compensated activity;
  2. Any outside activity, regardless of compensation, that reasonably appears to create a conflict of interest or a conflict of commitment;
  3. Any participation in a Foreign Talent Recruitment Program (See Section III for full definition); and
  4. Outside board services as described in Section II. D. 4 below.

D. Outside Activity Guidelines

1. Approval Authorities

The President has appointed the following individuals as the approval authorities under this policy:

  • a. For Executive Officers: The President, or for the President, the Executive Vice Chancellor.
  • b. For employees involved in procurement activities and/or contract management: The Chief Financial Officer and Vice President.
  • c. For Members of the Faculty: The department Chair and then the Dean.
  • d. For Deans and Department Chairs: The Senior Vice President of Academic Affairs and Provost.
  • e. For Administrative and Professional Staff: The department head and then the appropriate Vice President.
  • f. For all other employees: The department head and then the appropriate Vice President.

2. Conflict of Commitment

  • a. Outside activities must not interfere with an employee’s fulfillment of their duties and responsibilities to UTA. Conflicts of commitment may arise regardless of the location of the activity (on or off campus), the type of outside entity (individual, for-profit, not-for-profit, or government), or the level of compensation (compensation or unpaid).
  • b. Because members of the faculty do not have a traditional eight-hour daily schedule, they have flexibility in using their time to prepare for teaching and engage in research and other scholarly activity. Other responsibilities, such as presenting lectures, being available to meet with students, and participating in University committees, have more rigid time demands. During the academic term in which a faculty member holds a full-time appointment, the faculty member must attend to all their duties and responsibilities and meet the minimum academic workload requirements, but may be permitted to engage in an average of no more than eight hours of all approved outside activity during University time each week, so long as the activity does not reasonably appear to create a conflict of interest, does not interfere with the faculty member’s University duties and responsibilities, and clearly contributes to the mission of the University or provides important elements of faculty professional development related to their University duties and responsibilities.

3. Categories of Outside Activity

  • a. Some activity is so integral to the mission of UTA that it is encouraged and may be performed during normal operating hours and will be considered pre-approved; so long as the activity does not reasonably appear to create a conflict of interest and the amount of time committed does not interfere with an employee’s UTA duties and responsibilities. These activities include the following:
    • i. Serving on a U.S. government agency, committee, panel, or commission;
    • ii. Acting in an editorial capacity for a professional journal;
    • iii. Reviewing journal manuscripts, book manuscripts, or grant or contract proposals;
    • iv. Attending and presenting talks at scholarly colloquia and conferences in the U.S.;
    • v. Developing scholarly works in the form of books or journal articles, movies, television productions, artistic expressions and similar works, even when such activities result in financial gain, consistent with intellectual property and other applicable UT System and institution policies and guidelines; or
    • vi. Serving as a committee member, an officer, or a board member of a U.S. professional or scholarly society.
  • b. Some outside activities clearly contribute to the mission of UTA and/or provide important elements of professional development related to the employee’s institutional duties and responsibilities. These activities, upon proper prior approval via the Outside Activity Portal, are permitted and encouraged, and may be performed during normal operating hours when conducted on behalf of UTA. Examples of these activities include engaging in professional activity such as providing expert testimony, providing consulting services, professional/clinical practice, and serving on a board of directors.
  • c. UTA employees may also engage in activity that does not necessarily contribute to the mission of UTA or provide elements of professional development related to their UTA duties and responsibilities, so long as it does not reasonably appear to create a conflict of interest or a conflict of commitment with the employee’s UTA duties and responsibilities. Any such activity must take place only outside of normal operating hours without the use of UT System resources, and with prior written approval as required by this policy.

4. Accounting for Outside Board Services

  • a. UTA time spent on uncompensated service, other than for reimbursement of usual and customary expenses, on nonreligious boards may be deemed to be of service to UTA and may not require the employee to take time off, provided that the employee receives prior written approval before engaging in such service. Approval will be based on identified benefits to be derived by UTA and thorough consideration of the time commitment that might be involved.
  • b. Service on an outside board for which the employee is compensated, and any service to a religious organization whether or not compensated, must be on the employee’s own time. If the service occurs during normal office hours, the employee must use vacation time, compensatory time, or other appropriate leave while providing the service. The service must be without cost to UTA; and, except for service to religious organizations, must be approved in writing prior to engaging in such service.
  • c. Neither approval nor disclosure is required for participation on the board of a municipality; local religious congregation; neighborhood association; public, private or parochial school; political organization; youth sports or recreation league; affinity groups such as the local orchid society or model train collectors club; and other similar outside boards if the service is primarily personal rather than professional in nature and does not require time away from UTA responsibilities, and it does not create the appearance of, or an actual, conflict of Interest or conflict of commitment.

E. Procurement and Contract Management Conflicts of Interest

All employees involved with procurement activities, including those participating on bid proposal review committees must complete the non-conflict of interest statement and the non-disclosure memo before serving on a bid proposal review committee. In addition, all employees involved with Contract Management must report any conflicts of interest in the University’s Outside Activity Portal on an annual basis.

F. UTA President Obligations

The President is required by state law to file personal financial statements with the Texas Ethics Commission. The President will file a duplicate copy of their personal financial statement with the Office of the Chancellor at the time that it is filed with the Ethics Commission. If the President seeks an extension of the time to file a personal financial statement with the Texas Ethics Commission, the President must also notify the Chancellor’s Office of the extension.

G. Electronic Database

UTA will utilize the UT System electronic disclosure database (“Outside Activity Portal”) developed by UT System Administration to meet the disclosure and approval requirements outlined herein. All employees must access the Outside Activity Portal on an annual basis regardless of whether they need to request approval for outside activities. If employees have no outside activities for which they need to request approval, they are required to access the Outside Activity Portal and select the option “Report No Activity.” In determining whether activity should be reported, the individual should resolve any doubt in favor of reporting.

H. Additional Process Requirements

1. Management Plans

Management plans must be in place for all officers and employees for outside activities that may create a conflict of interest or a conflict of commitment before any activity begins. Management plans will be developed by the Chief Compliance Officer and approved by the Chief Legal Officer. For scenarios subject to UTA Policy RA-PO-02 Policy for Disclosure, Management, and Reporting of Conflicts of Interest in Research, the Chief Compliance Officer may refer the case to the Office of Regulatory Services for management under that policy.

2. Notification

To assess for potential impact of foreign influence in research, the Chief Compliance Officer (or their designee) will notify the Office of Regulatory Services upon receipt of a request/disclosure in the Outside Activity Portal that involves a Foreign Affiliation or Association.

3. Appeals

Employees whose request for approval of an outside activity is denied may within ten calendar days of receiving the decision request that the denying authority reconsider the decision and provide an explanation in writing. The denying authority will review the request to reconsider and provide a written explanation within ten calendar days. If the employee remains unsatisfied with the decision, he or she may access standard grievance procedures to the extent that they are applicable.

4. Prospective and Retrospective Approval

In rare instances, outside activity may be approved retrospectively when the employee is called upon to assist in an emergency or urgent situation where it would be impossible or unreasonable to obtain advance approval. In such cases, approval must be sought from the appropriate authority as soon as reasonably possible.

5. Confidential Outside Activity

If an individual wishes to engage in an activity for which some or all of the relevant information is confidential, the approving authority and Chief Compliance Officer may nonetheless approve the activity without requiring full written request for approval upon satisfaction that there is a compelling reason to treat the information confidentially and the activity is otherwise fully compliant with this policy and all other applicable laws and UTA and UT System policies.

6. Rescinding Approvals

An approving authority may rescind the approval of an outside activity upon receipt of information indicating that the activity is not consistent with applicable law or this policy or any other UTA or UT System policy. The individual for whom the activity may be rescinded shall be given notice of the rescinding of approval and an opportunity to respond.

Noncompliance

Noncompliance with this policy may subject one to discipline in accordance with applicable policies and procedures up to and including termination of employment.

Annual Report

Executive Officers must review and finalize all disclosures after the end of the calendar year during the annual reporting period from January through March of the following year.

K. Education and Training

UTA will develop a comprehensive training program to implement this policy. The program will include at a minimum, annual training for those responsible for approving and managing outside activities and interests and annual notification of this policy to all employees.

L. Foreign Affiliations, Associations, or Interests

All Foreign Affiliations or Associations must be pre-approved and managed. Participation in a Malign Foreign Talent Recruitment Program (MFTRP) is strictly prohibited (See Section III for full definition of MFTRP). Other Foreign Affiliations or Associations including any Substantial Interest in a (Foreign) Business Entity involving any UTA officer or employee are prohibited unless properly preapproved and/or disclosed in accordance with this policy.

M. Institutional Conflict of Interest (ICOI)

  1. UTA’s Institutional Conflict of Interest (ICOI) Committee is comprised of the Chief Compliance Officer, the Chief Audit Executive, and the Chief Legal Officer. The Committee will review ICOI’s and advise on the identification, disclosure, and management or elimination of all facets of ICOI’s. Any employee aware of a potential ICOI must forward it to the Chief Compliance Officer at compliance@uta.edu as soon as they are identified. Anonymous reporting of potential ICOI’s may be made through the Ethics Hotline at 1-877-507-7314.
  2. In the event that a particular ICOI relates to the Significant Outside Financial Interests of the University president, the Committee has the authority to report its recommendations directly to UT System administration. In addition, the Committee may refer potential ICOIs directly to UT System Administration in any other circumstance as determined by the Committee.

III. Definitions

  • Business Entity: Any entity recognized by law through which business is conducted, including a sole proprietorship, partnership, firm, corporation, holding company, joint stock company, receivership, or trust.
  • Compensation: Any form of benefit including but not limited to salary, retainer, honoraria, intellectual property rights or royalties, or promised, deferred, or a contingent interest. It also includes sponsored travel or reimbursement.
  • Conflict of Commitment: Any point when the time or effort that a UTA employee devotes to an outside activity reasonably interferes with the employee’s fulfillment of their institutional responsibilities or when the employee uses State property without authority in connection with the employee’s outside employment, board service, or other activity (See Section 8 Separation of Activities, UT System Rules and Regulations of the Board of Regents Rule 30104 Conflict of Interest, Conflict of Commitment, and Outside Activities). Exceeding the amount of total time permitted by UTA policy for outside activities creates the appearance of a conflict of commitment, as does participation in a Foreign Talent Recruitment Program.
  • Conflict of Interest: A significant outside interest of a UTA employee or one of the employee’s immediate family members that could directly or significantly affect the employee’s performance of the employee’s institutional responsibilities. The proper discharge of an employee’s institutional responsibilities could be directly or significantly affected if the employment, service, activity or interest: (1) might tend to influence the way the employee performs his or her institutional responsibilities, or the employee knows or should know the interest is or has been offered with the intent to influence the employee’s conduct or decisions; (2) could reasonably be expected to impair the employee’s judgment in performing his or her institutional responsibilities; or (3) might require or induce the employee to disclose confidential or proprietary information acquired through the performance of institutional responsibilities.
  • Contract Management: The day-to-day management of contractor performance, monitoring, and reporting.
  • Employee: All staff and faculty individuals hired by UTA on a full-time basis (including faculty in less than twelve-month contracts) or those individuals who are part-time, but conduct research conducted at or on behalf of the University. This definition applies to regular (exempt and non-exempt) employees in teaching and non-teaching positions, but does not include part-time, casual (irregular, temporary) employees and independent contractors.
  • Employees involved in procurement activities and contract management: An employee who makes decisions or recommendations regarding:
    • Contract terms or conditions for a contract;
    • Contract awards;
    • Preparation of a solicitation for a contract; or
    • Evaluation of a bid or a proposal.
  • Executive Officer: Includes, but is not limited to, the President, all individuals who report directly to the president (other than administrative support positions) and those with designated contract signature authority.
  • Foreign Affiliations and Associations: Includes participating in any program or activity sponsored, funded, directed, or controlled by a foreign government, foreign agency, or foreign institution.
  • Foreign Country of Concern (FCOC): The People’s Republic of China, the Democratic People’s Republic of Korea, the Russia Federation, and the Islamic Republic of Iran.
  • Foreign Talent Recruitment Program (FTRP): Any program, position, or activity that includes compensation in the form of cash, in-kind compensation, research funding, promised future compensation, complimentary foreign travel, things of non de minimis value, honorific titles, career advancement opportunities, or other types of remuneration or consideration directly provided by a foreign country at any level (national, provincial, or local) or their designee, or an entity based in, funded by, or affiliated with a foreign country, whether or not directly sponsored by the foreign country, to an individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue. It does NOT include the following international collaboration activities, so long as the activity is not funded, organized, or managed by an academic institution or a foreign talent recruitment program on the lists developed under paragraphs (8) and (9) of Section 1286(c) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 4001 note; Public Law 115-232):
    1. Making scholarly presentations and publishing written materials regarding scientific information not otherwise controlled under current law;
    2. Participating in international conferences or other international exchanges, research projects or programs that involve open and reciprocal exchange of scientific information, and which are aimed at advancing international scientific understanding and not otherwise controlled under current law;
    3. Advising a foreign student enrolled at an institution of higher education or writing a recommendation for such a student, at such student’s request; and
    4. Engaging in the following international activities:
      • a. Activities that are partly sponsored or otherwise supported by the U.S. such as serving as a government appointee to the board of a joint scientific fund; providing advice to or otherwise participating in international technical organizations, multilateral scientific organizations, and standards setting bodies; participating in a Fulbright Commission program funded in whole or in part by a host country government; or other routine international scientific exchanges and interactions such as providing invited lectures or participating in international peer review panels.
      • b. Involvement in national or international academies or professional societies that produce publications in the open scientific literature that are not in conflict with the interests of the federal research agency.
      • c. Taking a sabbatical, serving as a visiting scholar, or engaging in continuing education activities such as receiving a doctorate or professional certification at an institution of higher education that are not in conflict with the interests of the federal research agency.
      • d. Receiving awards for research and development which serve to enhance the prestige of the federal research agency (e.g., the Nobel Prize).
  • Immediate Family Members include:
    • A spouse;
    • A dependent child or stepchild or other dependent, for purposes of determining federal income tax liability during the period covered by the disclosure statement; and
    • A related or non-related unmarried adult who resides in the same household as the individual and with whom the individual is financially interdependent as evidenced, for example, by the maintenance of a joint bank account, mortgage or investments.
  • Institutional Conflict of Interest: A Significant Outside Financial Interest of the University or any University Official that reasonably poses a risk of significant and direct influence on decisions involving the University’s primary interests or missions (e.g., research, teaching, service to students, clinical care, and/or administration of these missions). ICOI examples may include:
    • UTA licenses intellectual property to an outside entity and holds substantial royalty or equity interests in the entity which may be affected by ongoing university research or other university activities;
    • Substantial gifts to the University appear to be connected to decisions related to UTA’s primary missions in ways that may not be appropriate;
    • UTA holds substantial investments or equity interest in an outside entity that has a financial or business relationship with UTA;
    • A Significant Outside Financial Interest of any University Official affects or appears to affect the decisions of the University; and
    • UTA enters into a transaction that compromises or appears to compromise its research, teaching, service to students, outreach mission activities, or its reputation.
  • Malign Foreign Talent Recruitment Program (MFTRP): Any program, position, or activity that meets the full definition of Foreign Talent Recruitment Program (FTRP) found above; and is a program sponsored by: (i) a foreign country of concern or an entity based in a foreign country of concern (whether or not directly sponsored by the foreign country of concern) or (ii) an academic institution listed in section 1286(c) (8) or a FTRP listed in section 1286(c) (9) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019; and requests that a UTA employee:
    • Engage in the transfer of intellectual property, materials, data products, or other non-public information, owned by a U.S. entity, or developed with a federal research and development award to the government of a foreign country or an entity based in, funded by, or affiliated with a foreign country (regardless of whether that government or entity provided support for the development);
    • Recruit trainees or researchers to enroll in such program, position, or activity;
    • Establish a laboratory or company, accepting a faculty position, or undertaking any other employment or appointment in a foreign country or with an entity based in, funded by, or affiliated with a foreign country if such activities are in violation of the standard terms and conditions of a Federal research and development award;
    • Through funding or effort related to the FTRP, being limited in the capacity to carry out a research and development award or required to engage in work that would result in substantial overlap or duplication with a Federal research and development award;
    • Apply for and successfully receive funding from the sponsoring foreign government’s funding agencies with the sponsoring foreign organization as the recipient;
    • Omit acknowledgment of UTA, or the federal research agency sponsoring the research and development award, contrary to UTA policies or standard terms and conditions of the federal research and development award;
    • Not disclose to the federal research agency or UTA, the participation of such individual in such program, position, or activity; or
    • Have a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the federal research and development award.
  • Nature and Extent: A description of the activity, the time commitment, the amount of compensation, if any, and the anticipated length of time the commitment is expected to continue or occur.
  • Outside Board: The board, council, or other governing or advisory body of a business, civic, professional social, or religious organization, whether for profit or not-for-profit.
  • Outside Activity: Any activity performed by an employee, other than fulfilling employment obligations at UTA, where remuneration is received, or not, including but not limited to teaching for, or holding faculty or affiliated appointments at other institutions, consulting, working, and board service.
  • Significant Outside Financial Interest of the University: Any substantial financial interest, including:
    • Gifts from any person, business, or entity;
    • Payments from a person, business, or entity for the licensing of intellectual property; and
    • Equity and ownership interests in entities held by the institution, including equity and ownership interests resulting from technology transfer activities.
  • Substantial interest in a Business Entity: For purposes of this policy means:
    • A controlling interest;
    • Ownership of more than 1 percent of the voting interest;
    • Ownership of more than $5,000 of the fair market value;
    • A direct or indirect participating interest by shares, stock, or otherwise regardless of whether voting rights are included, in more than 1 percent of the profits, proceeds, or capital gains; or
    • Service as an officer.
    • Does not include investments in mutual funds or retirement accounts, so long as the individual does not directly control the investment decisions made in those vehicles.
  • University Official: Includes, but is not limited to, the president, all individuals who report directly to the president (other than administrative support positions), and any employee who exercises broad and significant decision-making authority over key university functions.

IV. Relevant Federal and State Statutes

  • John S. McCain National Defense Authorization Act for Fiscal Year 2019
  • CHIPS and Science Act of 2022, Pub. L. 117-167, 136 Stat. 1366
  • Tex. Gov. Code § 572, Personal Financial Disclosure, Standards of Conduct, and Conflict of Interest
  • Tex. Gov. Code § 574, Dual Office Holding
  • Tex. Gov. Code § 659, Compensation
  • Texas Constitution, Article 16 General Provisions, Section 40, Holding More Than One Office

V. Relevant UT System Policies, Procedures and Forms

  • UT System Rules and Regulations of the Board of Regents Rule 30103 Standards of Conduct
  • UT System Rules and Regulations of the Board of Regents Rule 30104 Conflict of Interest, Conflict of Commitment, and Outside Activities
  • UT System Rules and Regulations of the Board of Regents Rule 60306 Use of University Resources
  • UT System Rules and Regulations of the Board of Regents Rule 90101 Rules for Intellectual Property
  • UT System Policy UTS 134 Code of Ethics for Financial Officers and Employees
  • UT System Policy UTS 175 Disclosure of Significant Financial Interests and Management and Reporting of Financial Conflicts of Interest in Research
  • UT System Policy UTS 180 Conflicts of Interest, Conflicts of Commitment, and Outside Activities
  • UT System Policy UTS 189 Institutional Conflicts of Interest
  • UTA Policy RA-PO-02 Policy for Disclosure, Management, and Reporting of Conflicts of Interest in Research

VI. Who Should Know

All UTA employees.

VII. UTA Office(s) Responsible for Policy

Vice President for Administration & Economic Development

Responsible Officer: Compliance Services

VIII. Dates Approved or Amended

  • February 11, 2014
  • September 23, 2016
  • November 10, 2020
  • August 12, 2024
  • September 6, 2024
  • January 13, 2025
  • March 8, 2023

IX. Contact Information

  • All questions concerning this policy should be directed to the Chief Compliance Officer at compliance@uta.edu
  • Send notifications of errors or changes to: policysite@uta.edu

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