Administrative Manual - 208 Employee Performance and Conduct
208.03 Conflict of Interest
- GENERAL
- Employees of JSA/Jefferson Lab are expected to conduct themselves in accordance with the highest standards of integrity and avoid conflicts of interest or even the appearance of a conflict of interest. Employees shall be prohibited from engaging in any activity or practice which conflicts with the interests of JSA/JLab or DOE. (Conflicts of interest related to patents, copyrights, etc., are covered in Policy 701.)
- JSA's conflict of interest policy shall conform to all relevant and appropriate federal, state, and local laws and regulations.
- DEFINITIONS
- Conflict of Interest
A conflict of interest is any situation in which a JLab employee's outside business activities or personal interest may adversely affect the JSA's or the DOE's interest in carrying out its mission at Jefferson Lab.
- Financial Interest
Financial interest means an equity or other monetary or fiduciary interest in an entity, held by an employee or a member of the employee's immediate family. Financial interest does not include investments that are part of pensions, mutual funds, annuities and similar financial investment instruments. For purposes of this policy, immediate family is defined as spouse, children, parents, siblings or other persons living in the household of the employee.
- Privileged Information
Privileged information as used in this policy is information (regardless of ownership) not available to the public that may financially benefit third parties and that the employee gains by reason of his or her employment at the Lab; and includes but is not limited to unpublished information relating to technological and scientific developments; medical, personnel, or security records of individuals; anticipated materials requirements or development; and knowledge of selections of contractors or subcontractors in advance of official announcement.
- Conflict of Interest
- REQUIREMENTS
- Financial Interest
- An employee will promptly report to his or her supervisor any financial interest or planned financial interest that presents, or appears to present, a conflict of interest as an employee of JLab. Unless the financial interest is approved by the Lab, the employee and/or the Lab must eliminate the conflict.
- Employees will not generally be permitted to have an equity interest based on technology derived from their research at the Lab. Under certain circumstances, such interests may be permitted but only with the approval of the Director.
- Use of Government Assets
Employees may not use paid work time, government property, contract funds, resources, or materials for private purposes without the consent of appropriate Lab management and proper reimbursement from the employee.
- Use of Privileged Information
Employees may use privileged information only in the conduct of JLab business.
- Intellectual Property
Employees must communicate to JLab promptly and fully all intellectual property (this includes all inventions, discoveries, software developments, designs, drawings, copyright works or mask works and patents) made or conceived by them during their employment which was developed in whole or in part by the utilization of funds, resources or facilities belonging to JSA/JLab or DOE, or which resulted from or is suggested by their work on behalf of JSA/JLab, or which was developed, tested, improved or investigated either in part or entirely on time for which they were paid by JSA/JLab or using any resources of JSA/JLab or DOE.
- Misuse of Employment Position
Employees may not use their JLab positions to gain benefit from entities having, or endeavoring to have, a business relationship with Jefferson Lab.
- Gratuities
Acceptance of payment for any meal or gift, gratuity or favor, discount, hospitality, or other item having monetary value from any supplier, vendor or subcontractor of JSA exceeding the $25.00 dollar de minimis gift exception ($50 per year aggregate) shall be avoided to preclude any appearance of improper influence upon decisions or actions. Any relationship of a compromising nature with a supplier, or even the appearance of such a relationship, shall be avoided. (If a gift or gratuity of greater than de minimis value is delivered and cannot be returned, the JSA Legal Counsel shall be consulted concerning disposition.)
- Subcontractors
JSA places heavy demands upon its subcontractors. Encouraging subcontractor employees to terminate and join JSA is in direct conflict with those demands and is not permitted.
- Government Officials
As a Government contractor, JSA may not give anything of greater than de minimis value to DOE or other government officials.
- Personal Interest
An employee shall not make or influence decisions on behalf of JSA/JLab, if personal interests conflict with the interests of those of JSA/JLab or the government. An employee will not negotiate, or influence the award of, a subcontract with a company in which he/she has an employment relationship or financial interest. An employee will not be assigned the preparation of an evaluation for DOE or JLab of some technical aspect of the work of another organization with which he/she has an employment relationship, or financial interest, or which is a competitor of an organization (other than JLab) in which he/she has an employment relationship or financial interest.
- Outside Business Activities and Consulting
JSA permits employees to engage in outside business activities outside of normal hours and away from the facility provided such activities do not create a real or perceived conflict of interest. (Conflicts of interest related to Outside Employment and Consulting are covered in Policy 208.12)
It is difficult, if not impossible, to describe all of the situations which may arise involving conflicts of interest. When employees have questions concerning a possible conflict of interest, they shall request advice from their supervisor.
- Financial Interest
- RESPONSIBILITIES
- The appropriate Associate Director or Office Head is responsible for resolving all questions of compliance with the Conflict of Interest Policy, with assistance as needed from Human Resources and the Legal Department. Unresolved issues may be forwarded to the Director of the Laboratory for determination.
- The Employee Relations Manager is responsible for overseeing the policy on conflict of interest and for coordination with Lab management and staff involved.
- All levels of JLab management are responsible for:
- Maintaining ongoing awareness of potential conflict of interest problems of subordinates;
- Requiring timely disclosure of conflicts of interest by subordinates;
- Initiating prompt action to resolve any potential conflict of interest situation; and
- Carrying out actions deemed necessary by the cognizant Associate Director or Office Head to avoid actual or potential conflicts of interest.
- All JLab employees are responsible for avoiding real and perceived conflicts of interest and for understanding and following JSA/JLab policy and procedures on conflict of interest.
- Conflict of Interest Disclosure
- JSA/Jefferson Lab requires all employees to file a disclosure statement, using the JSA/JLab Conflict of Interest Disclosure to answer questions relating to potential conflicts of interest.
- The Conflict of Interest Disclosure is distributed to all staff members for confirmation annually. If any question on the Disclosure is answered "yes", a full and accurate description must be included or attached to the Disclosure. Human Resources will review the employee's explanation and follow up to ensure a Request to Engage in Outside Business Activities Form is submitted if appropriate. In questionable situations, the Associate Director or Office Head is encouraged to consult with the Director of Human Resources and/or the Legal Department.
- The Conflict of Interest Disclosure is distributed with the employment offer for all new hires. If any question on the Disclosure is answered "yes", the form must be returned to Human Resources for further review. The Lab must make a determination regarding the conflict of interest before a new hire can report to work.
- The Conflict of Interest Disclosure shall acknowledge that the employee has read and is familiar with the requirements and restrictions prescribed in this policy.
- Conflict of Interest Disclosures will be properly safeguarded and disclosed to cognizant management only on a "need to know" basis or as otherwise may be required by law.
- All employees entering into outside employment and consulting agreements (see Policy 208.12) must complete a new Conflict of Interest Disclosure and submit it to their Associate Director or Office Head, along with the JSA/JLab Request to Engage in Outside Business Activities Form.
- JSA/JLab shall make all Conflict of Interest Disclosures available to the DOE Site Office.
Exhibit 208.03 Conflict of Interest Disclosure Form