Conflict of Interest, Conflict of Commitment, and Outside Employment Policy

Purpose

McNeese State University faculty and staff disseminate knowledge and information both inside and outside the University through teaching, research, service, and public engagement. This policy ensures that such activities are conducted in a manner that upholds the integrity of the University and complies with the Louisiana Code of Governmental Ethics, Louisiana Revised Statutes 42:1101-1170. The policy outlines the responsibilities of employees to avoid conflicts of interest and commitment and establishes procedures for reporting outside employment or financial interests that may interfere with University responsibilities.

McNeese State University follows the Association of American Universities’ three-fold approach: disclose always; manage in most cases; prohibit when necessary to protect the public interest or the University’s mission.

Definitions

Conflict of Interest: A situation in which a University employee is in a position to influence University decisions in a way that could result in personal gain or give improper advantage to immediate family members. Conflicts may be actual or perceived and may involve financial or non-financial interests.

Conflict of Commitment: A situation in which an employee’s outside activities interfere with their responsibilities to the University, including instructional, research, and service duties.

Financial Interest: Any employment, consulting, fiduciary, or ownership relationship—other than University employment—that could result in personal financial gain for the employee or their immediate family.

Significant Financial Interest: Anything of monetary value, including but not limited to consulting fees, honoraria, equity interests, and royalties, excluding University compensation and certain payments from public or nonprofit entities.

Immediate Family: Includes children, spouses of children, siblings and their spouses, parents, spouse, and in-laws, as defined in Louisiana R.S. 42:1102.

Faculty and Staff: All individuals employed by McNeese State University.

Guiding Principles

Employees must act in the best interests of the University and avoid outside activities that compromise, or appear to compromise, their institutional responsibilities. This includes avoiding personal financial interests that may affect—or may be perceived to affect—research integrity, instructional decisions, procurement processes, or other institutional activities. Even when no actual conflict exists, the appearance of one can undermine public and professional trust.

Faculty are expected to safeguard academic freedom and the open dissemination of scholarly work. Outside entities may not delay, restrict, or suppress the publication of research findings. Faculty must not assign students to projects that serve the faculty member’s personal financial interests and must avoid using students’ work in ways that subordinate their academic interests.

Outside Employment and Consulting

Faculty and staff may engage in outside employment or consulting, paid or unpaid, provided these activities do not conflict with their University responsibilities and duties or use University resources for outside employment or consulting without authorization. Such activities must not delay, reduce, or interfere with teaching, research, service, or administrative responsibilities.

Prior to engaging in outside employment, full-time faculty and staff must submit a written report to their department head describing the nature and scope of the activity, including the time commitment involved. This report is forwarded through the appropriate supervisory chain to the president or designee. No outside employment may be undertaken without the written approval of both the department head and dean. If either official believes the activity may interfere with institutional responsibilities or raise public concern, the matter must be referred to the president or designee for further review.

Employees must clearly communicate to outside employers or clients that they act in an individual capacity, not as representatives of McNeese. University titles, logos, or branding may not be used in connection with outside activities unless specifically authorized. Biographical information indicating University affiliation may be included as context in external reports or presentations but should not appear to imply institutional endorsement.

University resources—including personnel, equipment, facilities, or confidential information—may not be used in connection with outside activities without written authorization. Employees may not receive compensation directly from outside sources for activities that are part of their University responsibilities. Outside engagements must not give preferential access to University research or services for personal financial gain.

Employees may not be employed by or enter into commercial relationships with students or student-controlled entities and must avoid any relationship that presents a real or perceived conflict of interest with their instructional or supervisory roles.

Use of Students and Human Subjects

Faculty must ensure that students involved in research or scholarly projects are not used to further the faculty member’s personal or financial interests. Students must retain the right to publish and present their academic work and must be informed of any relationships between faculty members and outside sponsors. Projects requiring students to sign non-disclosure agreements or to work on proprietary material must be carefully reviewed to ensure compliance with academic freedom and institutional policies.

When faculty have a financial interest in a technology or company related to student research, they must obtain approval from their dean or supervisor before assigning students to follow-up work. This applies regardless of whether the interest is direct or held through another entity.

Human subjects research involving financial conflicts of interest must be managed with particular care. Any financial stake that could influence study design, participant safety, or data reporting must be disclosed and addressed to ensure ethical compliance and protection of participants. Similar caution is required in non-clinical research where public safety or intellectual integrity may be affected.

Special Considerations Regarding Grants

At the time a proposal is submitted for external funding, any individual with responsibility for the design, conduct, or reporting of the proposed activities—typically the principal investigator, co-principal investigators, and often other key personnel—must disclose to the University all current financial interests that existed within the past three years and that may reasonably appear to affect, or be affected by, the work proposed or the employee’s institutional responsibilities. These disclosures must include: (1) any financial interest held by the individual or their immediate family; and (2) any legal entity or beneficial interest in a trust in which they or an immediate family member has a controlling interest.

Completion of the Office of Research and Sponsored Programs (ORSP) Proposal Routing Form constitutes a formal declaration of project responsibilities and associated disclosures. The principal investigator or project director is responsible for determining whether other personnel, such as project staff or students, have comparable responsibility for the project. All individuals so identified must comply with the University’s disclosure and conflict management procedures.

Additional requirements apply to federally funded projects, including those supported by the National Science Foundation (NSF), the Public Health Service (PHS), and programs funded under the Community Development Block Grant (CDBG). In CDBG-funded activities, no persons (employee, agent, consultant, officer, elected official, or appointed official of the recipient, or of any designated public agencies, or of sub-recipients that are receiving funds) who exercise or have exercised any functions or responsibilities with respect to CDBG activities or who are in a position to participate in a decision-making process or gain inside information with regard to such activities  may obtain a financial interest or benefit from a CDBG-assisted activity, or have a financial interest in any contract, subcontract, or agreement with respect to a CDBG-assisted activity, or with respect to the proceeds of the CDBG-assisted activity, either for themselves or those with whom they have business or immediate family ties, during their tenure or for one year thereafter.

For McNeese employees, participation in the selection, award, or administration of contracts funded by federal or University sources is prohibited when a real or apparent conflict of interest exists. Such conflicts arise when the employee, an immediate family member, or a closely associated business entity stands to benefit from the transaction. University purchasing policies further prohibit the acquisition of goods or services from a business in which the employee or their immediate family owns more than 25%, unless full disclosure is made and the appropriate approvals are obtained in advance.

Other criteria may apply when determining whether a conflict of interest or commitment exists, and whether a management plan is required. The Office of Research and Sponsored Programs provides guidance on these matters and oversees compliance with relevant federal and University regulations.

Required Disclosure

All McNeese employees must complete the Outside Employment/Income, Conflict of Interest, and Conflict of Commitment Disclosure Form annually and must update it whenever their outside interests, commitments, or University roles change significantly.

Disclosures must identify outside employment, financial interests, potential conflicts in grants or sponsored projects, relationships with student-run businesses, and personal or family interests in entities that do business with the University. Specific disclosure is required if the outside entity:

• Funds University-sponsored research in which the employee participates or proposes to participate;
• Owns or seeks to develop technology related to the employee’s work;
• Proposes a gift to the University that would support the employee’s research or teaching;
• Furnishes goods or services to the University in a transaction involving the employee; and/or
• Acts as a legal or de facto agent in a matter involving the University and the employee.

Disclosure forms must be submitted through the following process:

1. The employee completes the form and submits it to their immediate supervisor.
2. The immediate supervisor reviews the disclosure and, if necessary, attaches a proposed management plan.
3. The form then routes to the second-level supervisor, who reviews and either approves or returns it for revision.
4. If a management plan is required, the form is forwarded to the appropriate Executive Leadership Team (ELT) member for final approval.

Newly hired or affiliated employees must submit their disclosure within the first three months of employment. The Office of Research and Sponsored Programs provides additional guidance for those involved in externally funded projects.

Management Plans and Oversight

If a potential conflict is identified, a management plan must be developed and approved to ensure transparency and compliance. Management plans may include reassignment of duties, limits on outside activity, oversight of research or financial transactions, or other measures appropriate to the situation. The employee’s Executive Leadership Team member is responsible for assigning oversight and ensuring that management plans are followed.

Executive Leadership Team members may audit employees’ disclosures and activities to ensure compliance. They are also responsible for reviewing disclosures in publications and presentations, consulting with department heads or principal investigators, and recommending conditions to mitigate conflicts.

Noncompliance and Sanctions

Employees who fail to submit disclosures, obtain prior approval for outside employment, or comply with an approved management plan may face disciplinary action. Sanctions may include censure, restriction of outside activities, suspension, removal from administrative duties, or termination, in accordance with University policies and procedures.

Communication

This policy is distributed via the University Policies webpage.