• DSHS HIV/STD Program

    Post Office Box 149347, MC 1873
    Austin, Texas 78714

    Phone: 737-255-4300

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241.005

Conflict of Interest in Administrative Agencies

Policy
Policy Number  241.005
Effective Date  June 1, 2006
Revision Date  June 1, 2006
Subject Matter Expert Capacity Building Group Manager
Approval Authority  Branch Managers
Signed by  Felipe Rocha, M.S.S.W., L.M.S.W. and Sharon Melville, M.D., M.P.H. 

1.0 Purpose

The purpose of this policy is to define conflict of interest between Administrative Agency (AA) employees and board members and their clients, contractors, and vendors.

 

2.0 Policy

The following is a list of some AA processes that may lead to conflicts of interest. The list is not exhaustive and conflicts of interest may arise in other AA activities.

  1. Assessing community resources for HIV/STD services.
  2. Conducting a needs assessment and interpreting information from this process.
  3. Prioritizing and allocating resources to service categories.
  4. Evaluating the planning process.
  5. Subcontracting for HIV care services.

 

2.1 An AA Employee May Not:

  • Have an interest in, or in any manner be connected with a contract or bid for the purchase of goods or services by the AA.
  • Be dually employed by a contractor of the AA.
  • Accept or solicit anything of value whether by gift, rebate, service or favor from a person to whom an AA contract may be awarded, directly or indirectly.
  • Contract for future reward or compensation from an actual or potential vendor in exchange for a promise or other obligation on an AA contract.
  • Be employed by, or agree to work for, a vendor or potential vendor.
  • Knowingly disclose confidential information acquired in the course of one's official duties for personal gain.

 

2.2 If a Violation Occurs:

When an actual or potential violation of an ethical standard is discovered, the person(s) involved shall promptly file a written statement regarding the matter and request written instructions for the disposition of the matter from their immediate supervisor.

If an actual violation occurs or is not disclosed the employee involved may be reprimanded, suspended, or dismissed from employment. Any contractor, vendor or potential contractor vendor determined to have acted unethically may be barred from receiving future contracts and/or have any existing contracts canceled.

 

3.0 Minimizing Conflict of Interest

To minimize the negative impact of conflict of interest, the planning and subcontracting processes will be open, public, and based on clear policies. Planning and subcontractor selection policies and procedures will include the following.

  1. A definition of conflict of interest.
  2. A method of disclosure of conflict of interest.
  3. A duration that a conflict of interest disclosure is effective.
  4. A method or methods of resolution when a conflict of interest action arises that violates planning policies and procedures.

 

4.0 Declaring Conflict of Interest

Any employee or board member of an AA who perceives a conflict of interest for himself/herself must take the following actions:

  1. declare the conflict of interest prior to participating in business discussions or decisions regarding the affiliated person or entity;
  2. refrain from voting or exerting influence on an issue in which the conflict of interest exists, and
  3. refrain from influencing another person’s decision in regard to the affiliated person or entity where the conflict of interest exists.

Upon request of other persons present, the person who declares a conflict of interest may provide technical advice and answer questions related to the issue in which a conflict exists.

When an employee or board member realizes a potential conflict of interest situation for another person, he/she will make known the concerns to the Board of Directors or the Executive Director. The potential conflict of interest is to be recorded in the meeting minutes, if applicable, and the meeting continued. Following the meeting, if the conflict of interest was not resolved to the satisfaction of any member, any member may then initiate a review of the decisions made by the Board during the meeting by filing a request with the appropriate committee (see bylaws).

 

5.0 Conflict of Interest Disclosure Statement

All employees and board members of an AA are required to complete and sign a Conflict of Interest Disclosure Form which contains, at a minimum, the content in Board Member and Employee Conflict of Interest Disclosure Form (PDF). DSHS requires all Board Members and AA employees sign a Conflict of Interest Statement each year. One copy of the signed statement shall be given to the employee, and one copy shall be filed in the employee's personnel file.

Forms must be completed annually before the employee or board member participates in discussion, debate, or vote regarding any business before the AA. Signed disclosure statements will be kept on file in the AA office. Conflict of interest disclosure statements include any professional and/or personal affiliations with agencies or persons that provide goods or services to the AA or its clients.

 

6.0 Additional Resources

Additional Resources
File
Board Member and Employee Conflict of Interest Disclosure Form (PDF)

 

7.0 Revision History

Date Action Section
Revision History
10/2/2014 Converted format (Word to HTML) -

 


Last updated May 21, 2021