Technology Transfer and Managing the Conflict of Interest

Strict compliance with Ethics Act required .020 Activities incompatible with public duties .050 Confidential information–Improperly concealed records .070 Special privileges .180 Use of public resources for political campaigns Among others

Public duty cannot be compromised Primary professional duty owed to WSU Conflict of Interest Committee–guidelines to avoid compromising public duty requirement Avoid—an employee on both sides of a contract Conflicts boil down to benefits and bias You CANNOT: Have direct or indirect financial interest Engage in a business or transaction or professional activity Incur any obligation With those you contract with

Will my activities distract from state business? Will my activities disrupt other state employees? My activities must not compromise integrity of state data Determined on a case-by-case basis. Err on the side of caution and ask for advice when you are unsure. CDs vs. streaming audio No Pandora radio or other streaming music or video

Am I using a WSU resource to avoid personal expense? Will my actions potentially compromise the perception of integrity of my research? Will my actions result in added costs or other disadvantages to the state? Am I using a WSU resource to avoid personal expense? .

Conflict of interest and nepotism WSU employees may not supervise or participate in employment decisions affecting: Family members Household members Intimate partners The purpose is to minimize conflicts. Each employee has the responsibility to self-report conflicts related to family members. The key is to report the possible conflict. Generally, steps can be taken to resolve the conflict and address specific issues.

Gifts and special privileges RULE: No state employee may receive, accept, seek, or solicit anything of economic value as a gift or favor from a person if it could be: (1) reasonably expected that the gift or favor would influence the vote, action, or judgment of the officer or employee, or (2) be considered part of a reward for action or inaction. When neither of these elements are present, you may accept a gifts up to $50 in value per calendar year. Note: some items are not considered gifts or do not count against the $50 limit. If you have a question, contact WSU’s Office of Internal Audit.

Gifts Section 4 employees—RCW 42.52.150(4) Section 4 employees meet the following criteria: (1) Work for an agency that seeks to acquire goods or services (2) Gift-giving person seeks to provide goods or services to the agency (3) Employee participates in those contractual matters with the gift-giving person If your duties include decisions about contracting or purchasing, the Section 4 gift restrictions apply to gifts from any past, current, or potential future contractors or vendors. In other words, no gifts for Section 4 employees.

Post-state employment Under certain circumstances, WSU employees may be affected by post- state employment restrictions designed to prevent former state employees from personally benefitting as a result of actions and decisions made while serving the public. Like other conflicts of interest, a determination of whether post-state employment guidelines could apply to an employee are made on a case-by-case basis. Additional restrictions exist for accepting employment when employment was offered for the purpose of influencing or rewarding the performance of official duties, or when related to the fulfillment of a contract the employee negotiated or administered while in state service.

No use for political campaigns A state officer or state employee may not use state resources to campaign for the election of a person or ballot initiative. Complete test on pages 27-28

Confidential information Confidential information cannot be used for personal benefit or benefit of others. RCW 42.52.050 Legal protections preclude using: FERPA protected records, employee records, medical records, credit card information, WSU security information

Public records You may receive requests for public records. Contact the WSU Public Records Office if you receive such a request. They will assist you in responding. Ethical duty under RCW 42.52.050(4): No state officer or state employee may intentionally conceal a record if the officer or employee knew the record was required to be released under the Public Records Act, and failed to do so.

Pre-2005 Research employees were required to follow ethics rules as written at that time when engaging in technology transfer SHB 1806 2005 Regular Session “ETHICS IN PUBLIC SERVICE--UNIVERSITY RESEARCH EMPLOYEES” Effective Date: 7/24/05 To comply with this Act, WSU wrote a policy as provided by the new statute and the governor’s office approved the policy—now Executive Policy #27

Managing conflicts in research and technology transfer—Executive Policy #27 Research employee—primarily those responsible for the design, conduct, or reporting of research Technology transfer—research employees’ interaction with and investment in external entities in an attempt to transfer WSU technology and know-how into the economy http://public.wsu.edu/~forms/HTML/EPM/EP27_Ethics_Conflict_of_Interest_and_Technology_Transfer.htm

RCW 42.52.220 The university may use an administrative process to manage conflict of interest in research and technology transfer A university research employee in compliance with the university’s administrative process is “deemed to be in compliance with” a few sections of the Ethics Acts

Management plans– deemed to comply with RCW 42.52 .030 Financial interests in transactions .040 Assisting in transactions .080 Employment after public service .110 Compensation for official duties or nonperformance .120 Compensation for outside activities .130 Honoraria .140 Gifts .150 Limitations on Gifts .160 Use of persons, money, or property for private gain

Do you have a conflict of interest? Ask yourself : Will your private interest benefit as a result of your official action? Would a reasonable person conclude that a private or personal interest impairs your independent judgment in the exercise of official duties? Some conflicts are clearly defined: Having or acquiring a financial or other interest in a contract, sale, lease, purchase, or grant that is under your authority or supervision. Private business ownership or employment Financial Interest in intellectual property

Management plan protects Students WSU resources WSU employees WSU’s mission And the research employee who accepts and abides by the plan

Committee discretion is limited Policy had to be approved by the Governor Management plans must be consistent with an individual’s duty to the state and to the university Use of state resources limited by management plan State resources not expressly included should not be used for Outside business interests Non-WSU activities of the business

QUESTIONS? Sherry Gordon Senior Counsel SherryG@wsu.edu Adam Malcolm Assistant Attorney General Adam.Malcolm@wsu.edu