UW System Ethics Seminar

1. UW System Ethics Seminar Basics for Department Chairs

2. 2 Focus on Financial Conflict Assumptions: Financial interest leads to actions for personal financial gain Familial relationship leads to actions for family gain Public confidence in University is critical Appearance of conflict is also damaging

3. 3 Focus on Conflict of Commitment Assumptions: Excessive involvement in outside activities negatively impacts job performance Public confidence in University is critical Appearance of conflict is also damaging

4. 4 Definitions Immediate Family: Spouse and any person who receives more than half of his/her support from the staff member or from whom the staff member receives more than half of his/her support.

5. 5 Definitions Anything of value: Money, property, favor, service, loan, promise of future employment, etc. Does not include: salary from the university, compensation (i.e. honoraria and expenses) from permitted outside activities

6. 6 Definitions Organization: any corporation, partnership, firm, etc., other than the university.

7. 7 Definitions Associated with: staff member or member of immediate family is a director, officer or trustee of, or owns or controls directly or indirectly at least 10% of the outstanding equity of an organization

8. 8 Standards of Conduct: Prohibitions No use or attempt to use public position or state property to gain or to attempt to gain anything of substantial value for the private benefit of staff member or immediate family or any organization with which the staff member is associated.

9. 9 Standards of Conduct: Snapshot 1 Professor Prospero has a university research lab. He contracts to do some testing for a local municipality, charging an hourly rate for the testing. The compensation goes to his family checking account.

10. 10 Standards of Conduct: Snapshot 2 Alicia Academic Staff Member uses university computer hardware and server connections after hours to handle a mail order business in curling supplies that she operates with her friend, Betty Broom.

11. 11 Standards of Conduct: Prohibitions No solicitation or acceptance from any person or organization of anything of value pursuant to an express or implied understanding that the staff member’s conduct of university business would be influenced thereby.

12. 12 Standards of Conduct: Snapshot 3 Professor Computer Lover meets the VP for Computers You’ll Love, Inc. The VP gives the Professor a free laptop to use for teaching. Next week, the company makes a sales pitch to the department. Professor Computer Lover is on the technology committee.

13. 13 Standards of Conduct: Snapshot 4 Professor Straight Laced has diligently assisted a struggling grad student. The week before the final oral presentation for the Master’s Degree, the student gives Prof. Laced an elegant antique vase, which would bring $5,000 at auction.

14. 14 Standards of Conduct: Snapshot 5 Dr. Jane Junket is VC for finance and administration at UW-Luck. Four years ago, she negotiated a contract with Big Books, Inc. for the operation of UW-Luck’s bookstore. In late January, Junket flew to the Big Books, Inc. headquarters in Sand Key, Fl. for a meeting to negotiate an extension of the contract. Big Books provided round trip plane tickets, hotel accommodations, meals, ground transportation and Disney World tickets for Junket and her family.

15. 15 Standards of Conduct: Prohibitions No use or disclosure of confidential university information in any way that could result in the receipt of anything of value for staff member or immediate family or for any person or organization which which staff member is associated.

16. 16 Standards of Conduct: Snapshot 6 Professor Great Expectations learns that his department plans to purchase some real estate for a new experimental farm. The university hopes to get the property for a low price. Prof. Expectations, by chance, talks with a neighbor and learns that the land owner wants to move to Arizona quickly. Prof. Expectations calls the land owner and offers below market value for the property, cash, to close within the week. The land owner accepts and they close the deal.

17. 17 Standards of Conduct: Prohibitions No staff member, immediate family or organization which which the staff member is associated may enter into a contract or lease with the University involving payments of $3,000 or more within a 12-month period if the staff member is in a position to approve or influence the university’s decision.

18. 18 Standards of Conduct: Snapshot 7 Professor Leaping Lizard’s spouse owns a biological specimen supply company that promises overnight delivery of orders. Professor Lizard teaches Biology 101 and has had problems obtaining dissection specimens in a timely manner. Professor Lizard tells the department administrator to order all future specimens for his course from Lizard’s Inc. The administrator suspects that this is the spouse’s company.

19. 19 Standards of Conduct:Prohibitions No staff member may formally or informally participate in the decision to hire, retain, grant tenure to, promote or determine the salary of a member of the staff member’s immediate family.

20. 20 Standards of Conduct: Snapshot 8 Professor Family Ties has a niece who has applied for a position in the department. They do not share the same last name. Professor Ties is on the personnel committee that is responsible for the hiring decision.

21. 21 Standards of Conduct:Prohibitions No staff member may engage in outside activities that present conflicts with or detract from performance of university duties and responsibilities.

22. 22 Standards of Conduct: Snapshot 9 Prof. Freddie Faculty has built a flourishing consulting business in his field of academic interest. His department chair notices Freddie's growing number of absences from work and lack of participation in departmental activities. Colleagues complain that Freddie is not pulling his weight on committees. Students complain about cancelled classes and curtailed office hours. One afternoon, Freddie stops the department chair in the hallway and excitedly tells him about a new and lucrative consulting agreement he is negotiating with 3 N, Inc.

23. 23 Standards of Conduct: Snapshot 10 Professor Catharine Conference tells her department chair that she has volunteered to serve on a committee that organizes and presents the national and regional conferences for the international professional organization to which she belongs. Her service on this committee will cause her to miss five weeks of class over the course of the academic year.

24. 24 Standards of Conduct: Snapshot 11 Professor Bigshot and spouse own a private consulting company dealing with an offshoot of Bigshot’s primary research interest. Bigshot holds a patent on a device, the use of which is the primary consulting topic. Last year, the spouse earned most of the money in the company; Bigshot earned only $3,000. Next year, Bigshot will earn most of the money for the company, spending up to two full days a week on the road, according to the company’s current commitments. What must Bigshot do and report?

25. 25 Ethics: Resources Consult institutional policies Consult Institutional Ethics Committees Call Office of General Counsel

26. 26 Ethics Resources www.rsp.wisc.edu/coi/ System Guidelines and Forms www.rsp.wisc.edu/coi/stateform.pdf Federal Rules and Policies www.rsp.wisc.edu/services/guides/conflict/conflict.htm