Internal Audit

Conflict of Interest Examples

The following provide some examples of situations where a conflict of interest may, or may not, arise or exist. For a printable version, you can download the Conflict of Interest Examples page (pdf).

Personal relationships between employees and students

1. The President pays $100 to a student for pet caretaking.
   • This situation has the potential to create a conflict; however it is likely de minimus.
2. A faculty member or other employee is the landlord of a student.
   • This relationship should be disclosed to the employee’s supervisor to determine whether the
     conflict can be appropriately managed
3. An employee has, or has previously had, a consensual relationship with a student where the
   employee has the potential to influence outcomes for that student
   • The employee should immediately terminate the assessment role and make alternative
     arrangements for the assessment of the student’s work and disclose the relationship with its
     supervisor.
4. An employee attempts to influence an application for admission for a student or prospective
   student with whom the employee has a close personal relationship.
   • The employee should withdraw from the application process for the specific student and
     disclose the relationship with his/her supervisor.

Personal relationships between employees

1. The spouse or partner of a manager applies for a position in the same work unit where the
   manager is in a position to influence the selection outcome.
   • The employee should abstain from the selection process and disclose the relationship with
     his/her supervisor.
2. A supervisor has a close personal relationship with an employee whom they directly
   supervise
   • The employee should immediately terminate the supervisory role and make alternative
     arrangements for the supervision of the employee’s work and disclose the relationship with his/her supervisor.
3. An employee takes part in any phase of the recruitment, promotion, reclassification,
   evaluation or grievance process with a current or prospective employee with whom they have,
   or have had, a close personal or financial relationship.
   • The employee should immediately terminate any supervisory or assessment role and make alternative arrangements for the supervision/assessment of the employee's work.

Personal benefits and financial or commerial conflicts of interest

1. A professor's family owns a local business. As part of his class curriculum, the professor
   assigns students to conduct surveys in the community to better understand local shopping
   habits.
   • This assignment and relationship should be disclosed to the professor’s department chair to determine whether or not the conflict can be appropriately managed.
2. An employee is the chair of a university committee that is evaluating a new rental rate
   structure for community groups that use University facilities. The employee is also a board
   member of a local sports club that frequently rents field and gym space from the University
   throughout the year
   • This relationship should be disclosed to the employee’s supervisor to determine whether or not the conflict can be appropriately managed.
3. A department manager is choosing a vendor to provide goods and services needed for a
   University event. One of the companies giving a quote for the contract is owned and operated
   by the manager’s sister.
   • The family relationship should be disclosed to the manager’s direct supervisor and the
     Department of Contracts, Procurement and Payments Services to determine how the conflict can be appropriately managed.
4. A research professor is working on a new agriculture technology that will improve crop
   yields. Many companies are interested in obtaining the rights to the technology so that they can bring it to the market place. The professor will receive royalties from the technology. One
   company has offered the professor an all-expense paid trip to tour its facility in France and a
   large bonus in its efforts to secure the rights to the technology.
   • The professor should disclose the company’s offer to the Ethics Advisor to ensure the
     University’s best interests are being considered and its ethics policy is being upheld.
5. An employee is a director of a company engaged by the University to undertake a
   consultancy.
   • According to University policy, this relationship should have been disclosed prior to a contract being completed. If the contract is already in place, this relationship should be disclosed to the employee’s supervisor to determine whether the conflict can be appropriately managed
6. An employee directs University resources to an entity where they or family members are
   directors or shareholders of that entity.
   • The action of directing University resources to an entity where the employee or family
     members are involved in leading the entity may, in itself, be a violation of the university’s ethic policy. Prior to making the recommendation, the employee should discuss the matter with his/her supervisor. If the recommendation has already been made, the employee should immediately abstain from doing business with the entity and disclose the matter to its supervisor.
7. A supervisor is involved with one of their employees in private business arrangements.
   • This relationship should be disclosed to the supervisor’s manager to determine whether the conflict can be appropriately managed
8. An employee undertakes private tutoring of University students in circumstances where this
   could reasonably be expected to be part of their normal teaching duties.
   • In this situation, the employee should immediately terminate the private tutoring sessions and disclose the relationship with its supervisor.
9. An employee or their family members have an interest in organizations that may provide
   property or services to the University, or to an entity the University controls
   • This relationship should be disclosed to the employee’s supervisor, and the Department of
     Contracts, Procurement and Payments Services, to determine whether the conflict can be
     appropriately managed.
10. An employee owning property, or being aware of a person with whom they have a close
    relationship owning property, that the University might purchase.
    • This situation has the potential to create a conflict; therefore, the employee should
      immediately disclose the matter to his/her supervisor and the Department of Contracts,
      Procurement and Payments Services.
11. An employee responsible for purchasing consumables receiving a gift from a sales
    representative of a supplier company.
    • This situation has the potential to create a conflict; therefore, the employee should
      immediately disclose the matter to his/her supervisor and/or discuss with the Ethics Advisor.
12. An employee auditing the performance of a research project where they are or have been an
    investigator or participant on the project.
    • The employee should immediately abstain from the audit and disclose the matter to his/her supervisor.
13. A budget administrator approves payments to themselves or to someone with whom they
    have a personal relationship.
    • The employee should immediately discontinue his/her duties and disclose the matter with
      his/her supervisor.

Conflicts with outside duties

1. A University employee has been appointed on a statewide governmental committee for an
   aspect of policy that affects the University.
   • The University employee should immediately abstain from the process and disclose the
     matter to the University.
2. An employee holds a position in an organization sponsoring and conducting research at the
   University.
   • This relationship should be disclosed to the employee’s supervisor to determine whether or not the conflict can be appropriately managed.
3. An employee chairs a department and/or university committee responsible for allocating
   internal funding for research granted to the chair's college/department.
   • The employee should immediately abstain from the process and disclose the matter to their supervisor, the dean of the college.