ATTENTION DISCLOSERS:

Mason has implemented a new disclosure system called RAMP COI. The legacy system can be accessed in View Only mode by clicking the button below. Please refer to RAMP COI Training, Annual Disclosure Guidance, and Frequently Asked Questions below.

For questions or concerns, email rampcoi@gmu.edu.

Conflict of Interest

Examples of COI

Mason faculty and staff are employed by the Commonwealth of Virginia, and subject to its rules, which means they can’t:

  • Have a personal interest (more than $5,000 in annual income or 3 percent ownership interest) in any contract or transaction with Mason, other than their own employment contract, unless there is a waiver in place. This includes interests of immediate family members.
  • Have supervisory authority over a member of their immediate family.
  • Accept money, gifts, or anything of value for services performed within the scope of their official duties, or which could appear to influence how they perform their duties.
  • Use confidential information that they received because of their position for their own or someone else’s economic benefit.

Employees with Authority Over a Contract:

Employees with authority over a contract or procurement transaction can’t:

  • Accept gifts or anything of more than minimal value from a contractor or prospective contractor.
  • Participate in a transaction if the employee, the employee’s business partner, or any member of the employee’s immediate family has a personal interest in that transaction.
  • Accept a job with any bidder or contractor, or anyone making an offer, that the employee dealt with on a procurement transaction for one year after leaving state employment, unless the employee provides written notification to the public body before accepting the employment.

Employees with Research Responsibilities:

Mason supports faculty innovation and collaboration, which can lead to an increased need for review of outside interactions.

The university conducts these reviews following Policy 4001 and review by the conflict of interest (COI) committee.

Mason encourages faculty to develop relationships with external organizations and communities, such as small businesses, industry, non-profits, and government agencies.  Many of these interactions are pivotal in creating, promoting, and supporting our research, educational, and service missions.

However, these relationships must be legal and ethical and cannot create conflicts of interest that could violate federal regulations or Virginia law. Violations could result in criminal penalties and civil sanctions.

Examples of Conflicts of Interest

A Conflict of Interest that must be reported can arise in these main ways:

Contract or Transaction: You or an immediate family member are paid more than $5,000 a year by (or own more than 3 percent of) a company that has signed a contract or done or plans to do business with Mason.

Research: You or an immediate family member are involved with a research project and are paid over $5,000 a year, own over $5,000 in equity (or any ownership in a privately held firm) in a company that has a potential to benefit from the outcome of your research.

Immediate Family Member Employment: If your spouse or a child who lives in your house and is your dependent is also employed by Mason, you must report that using this website.

Employment of Spouses and Family Members

Kelsey and Hilary are spouses. Kelsey currently works for Mason, and Hilary is considering applying for a position in the same department.

What should Kelsey and Hilary do?

When immediate family members (defined as spouses and dependents that live in your household) both work for Mason, Virginia law requires that a waiver be in place before the second immediate family member is hired by the university.  This is necessary to eliminate the potential for one family member to exercise authority or control over the employment of the other family member.

Kelsey should disclose the situation through Mason’s Conflict of Interest Disclosure System upon becoming aware that Hilary plans to apply to Mason. Kelsey may not be involved in the hiring and selection process for Hilary. 

OIC will review the disclosure and ensure that Human Resources is aware of the family relationship.  If it is determined during the search process that Hilary is fully qualified for the position and is selected as a finalist according to Mason procedures, the selection of Hilary will be approved by the hiring authority/supervisor who has no family relationship with Hilary.  If Hilary is hired, neither Kelsey and Hilary would supervise or be supervised by the other, which would be a requirement of the waiver.

Services for a Company that Contracts, or May Contract with Mason

Scenario A: Working for Mason and for Other Institutions

Fernando is a part-time Mason employee, who also works for a small business, Strategy Inc.  Fernando received prior written approval for this outside employment from his supervisor per Policy 2227 Outside Employment. Jeane, Fernando’s boss at Strategy, noticed that Mason has put out an RFP for a contract, and told Fernando she thinks that bidding for the contract would be a great opportunity for Strategy. Fernando would not have any connection with this contract in his role as a Mason employee.

What should Fernando do?

This is a potential conflict of interest under Virginia law and Policy 4001 Conflict of Interests.  Even though Fernando is a part-time and not a full-time Mason employee, Fernando needs to disclose this situation through Mason’s Conflict of Interest Disclosure System in advance of Strategy’s submitting a response to the RFP. There are several reasons for advance disclosure under Virginia law:

  1. If Fernando is paid more than $5,000 annually by a business that may enter a contract with Mason (such as Strategy), Virginia requires that a waiver be issued by Mason before any contract is signed;  
  • If Fernando has more than 3% ownership of Strategy, then he would need a waiver even if he receives less than $5,000 annual income from Strategy, Inc.; and
  • Per Virginia law, Fernando cannot have a role in negotiating the contract with Mason.

OIC, ORIA, and Mason’s Conflict of Interest Committee will review Fernando’s disclosure to determine the terms of the required waiver per Virginia law.  They will evaluate the situation, communicate with Fernando during the process, and communicate to Fernando the terms of the final waiver to help Fernando avoid a conflict. The waiver will include Fernando’s non-involvement in the contract.

Scenario B: Ownership of Outside Companies

Julie is a part-time Mason employee and has a 2% ownership interest in an engineering company.  Julie performs services for that company and typically earns between $7,000 and $10,000 a year for those services. Julie is not involved in soliciting business for the company, but the company plans to bid on a contract with Mason.  Company personnel ask Julie for information about Mason, its procurement process, and how to compete successfully for a contract.  Though it is not public knowledge, Julie knows that Mason will only consider bids under a certain dollar threshold, and wants to convey that to the company employees preparing the bid.

What should Julie do?

This poses a conflict of interest under Virginia law and Policy 4001 Conflict of Interests. Julie must not share non-public information about the procurement process with any company. Sharing that information would give an unfair advantage to one company because of its connection to a Mason employee.  Julie needs to:

  1. Inform the company that she cannot share information that is not public knowledge per Virginia law; and

OIC, ORIA, and Mason’s Conflict of Interest Committee will review Julie’s disclosure to determine the terms of the required waiver per Virginia law.  They will evaluate the situation, communicate with Julie during the process, and communicate to Julie the terms of the final waiver to help Julie avoid a conflict. The waiver will include Julie’s not sharing non-public Mason information with the company.

Scenario C: Ownership of Outside Companies

Marcus is an Instructional Faculty member.  His father owns a 20% interest in a construction company that operates primarily in Virginia.  Marcus does not work for the company, and has no ownership interest in the company. 

What should Marcus do?

Marcus’ father’s interest in a Virginia construction company would not pose a conflict of interest issue under Virginia law or Policy 4001 Conflict of Interests unless:

1.The company plans to contract with Mason; and

2.Marcus could be involved with that contract.

If Marcus learns that the construction company may bid on a contract with Mason, he should disclose that proposed action, in advance, through Mason’s Conflict of Interest Disclosure System.

OIC, ORIA, and Mason’s Conflict of Interest Committee will review Marcus’ disclosure to determine the terms of the required waiver per Virginia law.  They will evaluate the situation, communicate with Marcus during the process, and communicate to Marcus the terms of the final waiver to help Marcus avoid a conflict. The waiver will include Marcus not being involved in the contract.

Purchasing from a Company where a Family Member has an Interest

Khaleem is an Administrative Faculty member working in Environmental Health and Safety (EHS). Khaleem’s supervisor asks him to help procure personal protective equipment for classified staff on an expedited basis, as there is a projected supply chain shortage, prices have increased rapidly, and the equipment is necessary for employee health and safety.  Khaleem’s brother-in-law is the sales manager for a local, minority-owned business, and can provide the equipment immediately and at a price lower than other vendors.

What should Khaleem do?

Since this company is owned by Khaleem’s brother-in-law, per Virginia law and Policy 4001 Conflict of Interests Khaleem must not participate in the procurement transaction with the company. However, the emergency nature of the need and the lack of other options likely means it would be in Mason’s best interest to proceed with the procurement. Khaleem should:

  1. Inform his supervisor that his brother’s business can serve Mason’s best interests, but that Khaleem himself cannot be involved in the transaction; and

OIC, ORIA, and Mason’s Conflict of Interest Committee will review Khaleem’s disclosure to determine the terms of the required waiver per Virginia law.  They will evaluate the situation, communicate with Khaleem and his supervisors during the process, and communicate to Khaleem and his supervisors the terms of the final waiver to help avoid a conflict. The waiver will include Khaleem not being involved in the transaction.

Sponsored Research

Scenario A: Financial Conflict of Interest

Danilo is a Mason faculty member who conducts sponsored research. Danilo is considering starting a business with some of the members in Danilo’s department to commercialize intellectual property which has resulted from their Mason research. Danilo is also a part-time scientific consultant for another business, which also is related to the subjects of Danilo’s Mason research.

What should Danilo do?

Outside financial interests need to be disclosed per federal regulations and Policy 4001 Conflict of Interests.  Danilo needs to disclose the proposed business and the planned commercialization of intellectual property, in advance, through Mason’s Conflict of Interest Disclosure System.

OIC, ORIA, and Mason’s Conflict of Interest Committee will review Danilo’s disclosure in light of his research activities and provide Danilo with the management plan necessary to eliminate or reduce any potential for a conflict.

In addition to making a disclosure of the proposed outside activities, Danilo may wish to contact ORIA for additional guidance regarding sponsored research at Mason and outside activities.  

Scenario B: Foreign Influence and Export Control

Marie is a Mason faculty member who conducts sponsored research on satellite and radar systems. She collaborates on research with colleagues in China, France, Portugal, and the EU, and Mason had signed agreements with entities from those countries that sponsor her research. Marie has been asked by an Asian university to attend a conference to present the results of her research. The Asian university has offered to pay reasonable travel expenses, since she will be presenting at the conference.

What should Marie do?

Since Marie is a researcher, she is subject to a number of federal regulations regarding sponsored research. Support for research from foreign entities is subject to particular federal scrutiny and disclosure requirements, and overseas travel can also implicate federal export control regulations which restrict the types of information that can be shared with foreign nationals.  Export control violations carry significant fines and penalties.

Marie should contact ORIA well in advance, as the proposed travel likely would be a foreign source of support, requiring disclosure through Mason’s Conflict of Interest Disclosure System and evaluation by OIC, ORIA, and Mason’s Conflict of Interest Committee.

Marie should also review and discuss with ORIA in advance the export control rules before any foreign travel so parameters can be put in place for what information is permissible to be shared. More information on Foreign Support and Export Controls is available from the ORIA website.

External Payment of Travel and Business Expenses

Reza is a national expert in education technology. A nationwide trade conference requests that Reza attend as a speaker and offers to cover the costs of Reza’s travel, the conference fee, and meals.

What should Reza do?

This is a form of gift and would be analyzed under Virginia law, Policy 4001 Conflict of Interests, and Mason’s Gift Rules.  If Reza conducts sponsored research, additional research sponsor restrictions might apply and would be part of the analysis. However, note that this situation can arise even in the absence of sponsored research. Reza should:

  1. Consider whether the conference organizer might have a contract with Mason for other services.  If so, Reza would need to disclose the proposed travel, conference fee, and meals in advance through Mason’s Conflict of Interest Disclosure System;
  • If Reza is conducting Sponsored research on a topic related to the conference organizer’s business, Reza should disclose that in advance of accepting the travel, conference fees, and meals through Mason’s Conflict of Interest Disclosure System.

OIC, ORIA, and if necessary, Mason’s Conflict of Interest Committee will review Reza’s disclosures to determine the terms of the required waiver(s) per Virginia law and research sponsor requirements.  They will evaluate the situation, communicate with Reza during the process, and communicate to Reza whether accepting the travel, fees, and meals is permissible and any terms of the final waiver to help Reza avoid a conflict