SUBJECT: ETHICS POLICY
APPLICABILITY: ALL FACULTY AND STAFF
1. Purpose:
It is of the highest importance that the people of the State of Texas
have complete confidence in the integrity of their public servants. This
need is especially critical in the area of state-supported higher education.
The responsibility for educating and training the future leaders of the
state and nation carries with it the duty to adhere to the highest ethical
standards and principles. It is for this reason that this statement of
standards of conduct and ethical principles and its accompanying guidelines
are promulgated by the Board of Regents of the University of North Texas
(UNT). These standards, principles and guidelines shall apply to all persons
employed by any department, program, or service of UNT regardless of rank
or position.1,2 If a topic has also been addressed in other policy statements
or manuals of UNT, the procedures and statements contained therein are
hereby reaffirmed and made a part hereof for all purposes.
2. Standards and Principles of Ethical Conduct3
2.1 No faculty or staff member shall accept or solicit
any gift, favor, or service that might reasonably tend to influence
him or her in the discharge of official duties, or that the faculty
or staff member knows or should know is being offered with intent to
influence his or her official conduct.
2.2 No faculty or staff member shall accept employment
or engage in any business or professional activity that the faculty
or staff member might reasonably expect would require or induce him
or her to disclose confidential information acquired by reason of his
or her official position.
2.3 No faculty or staff member shall accept other
employment or compensation which could reasonably be expected to impair
the faculty or staff member's independence of judgment in the performance
of his or her official duties.
2.4 No faculty or staff member shall make personal
investments that could reasonably be expected to create a substantial
conflict between the faculty or staff member's private interest and
the public interest.
2.5 No faculty or staff member shall intentionally
or knowingly solicit, accept, or agree to accept any benefit for having
exercised his or her official powers or performed his or her official
duties in favor of another.
2.6 No faculty or staff member shall hold financial
interests that are in conflict with the conscientious performance of
his or her official duties and responsibilities.
2.7 Faculty and staff members shall put forth honest
effort in the performance of their duties.
2.8 Only faculty and staff members authorized by
the Board of Regents shall make commitments or promises of any kind
purporting to bind UNT.
2.9 No faculty or staff member shall use his or her
public office or position for private gain.
2.10 A faculty or staff member shall act impartially
and not give preferential treatment to any private or public organization
or individual.
2.11 Faculty and staff members shall protect and
conserve public property and shall not use it for other than authorized
activities.
2.12 Faculty and staff members shall promptly disclose
waste, fraud, abuse, corruption, and noncompliance with federal and
state laws to appropriate authorities.
2.13 Faculty and staff members shall adhere to all
laws, regulations, and policies that provide equal opportunity for all
persons regardless of race, color, religion, sex, national origin, age,
or disability.
2.14 Faculty and staff members shall not sexually
harass any guests and visitors to the campus or any member of the University
community including faculty, staff, students and candidates for University
positions.
2.15 Faculty and staff members shall endeavor to
avoid any actions that would create the appearance that they are violating
the law or the ethical standards of UNT.
2.16 Faculty and staff members shall not knowingly
or intentionally violate policies of the University or state or federal
laws regarding their employment.
2.17 Failure of any faculty or staff member of the
University to comply with one or more of the foregoing standards of
conduct and ethical principles which apply to him or her, shall constitute
grounds for removal from office, or for disciplinary action, including
suspension or discharge, whichever is applicable. Disciplinary actions
shall follow established University policies and procedures.
3. Conflicts of Interest:
3.1 Ethics Commission Financial Disclosure Statement:
The President is required to file a financial statement with the
Texas Ethics Commission annually.4 Forms prescribed by the commission
shall be utilized and filed by the deadlines established by state law.5
3.2 Disclosure of Interest in Property to be Acquired:
The President, Vice Presidents, and Associate/Assistant Vice Presidents
are required to disclose any legal or equitable interest in property
that is to be acquired with public funds.6 Such disclosure shall be
made by filing an affidavit containing the following information: the
disclosing officer's name and title; a full description of the property,
and the nature, type and amount of interest in the property including
the percentage of ownership interest; the date when the officer acquired
an interest in the property; a verification swearing to the completeness
and correctness of the information in the affidavit; and an acknowledgment
of the type required for recording a deed in the records of the county.
The affidavit must be filed with the county clerk in which the individual
resides and the county clerk of each county in which the property is
located.7 Such filing must be completed within 10 days before the date
on which the property is to be acquired by purchase or condemnation.8 "Public funds" includes only funds collected by or through
a government.9
4. Travel:
4.1 Improper Travel Reimbursement: When a
faculty or staff member engages in travel where the full reimbursement
is to be received from any source other than University funds, the faculty
or staff member shall not submit a claim under the provisions of the
University's travel regulations.10 A faculty or staff member who receives
an overpayment for a travel expense shall reimburse the University for
the overpayment.11
4.2 "Official Business" for Purpose
of Travel: To qualify for travel reimbursements and use of University
vehicles, the purpose of a trip must be "State business" or
"official business" of UNT. State or official business is
the accomplishment of a governmental function directly entrusted to
UNT including the reasonably necessary means and methods to accomplish
the function.12
4.3 Per Diem for Faculty and Staff Members' Travel
Under Contracts & Grants: Faculty and staff members traveling
under contracts and grants (federal, state, private) shall be reimbursed
for travel expenses and allowances on the same basis as other UNT members,
except in those instances where the terms of the contract or grant specify
travel guidelines and reimbursement rates which differ from State of
Texas reimbursement rates.13
4.4 Travel Bonus (Frequent Flyer) Awards: Faculty
and staff members who earn credit with airlines, hotels, car rental
companies, etc. for official travel are not required to account for
such credit or use such for official travel.14
4.5 State Credit Cards: Faculty and staff
members may not use State credit cards for personal expenses. State
credit cards may only be used for legitimate state business expenses.15 Payment of charges on individual cards is the sole responsibility of
the individual faculty or staff member. UNT shall not be responsible
for the charges, regardless of the type of charge.16 Individuals may
use State credit cards to charge for items that qualify as official
business but are not fully reimbursable under State or UNT guidelines
for reimbursement.17
4.6 Official Travel by Spouses and Relatives of
Faculty and Staff Members: Spouses and other relatives of faculty
and staff members may qualify to have travel expenses paid by UNT if
their presence at a function or on a trip is for an official purpose
benefiting UNT and/or the State of Texas. In making a determination
of whether the presence of a spouse or relative is for an official purpose,
the factors to be considered are the nature and duties of the faculty
or staff member's office, the traditional role, if any, of the faculty
or staff member's spouse or relative, the purpose of the particular
trip, and the spouse or relative's connection with that purpose.18 Travel
by other relatives of UNT faculty or staff members shall be evaluated
using the same criteria. Requests for reimbursement of expenses or for
direct departmental payment of travel expenses for such persons must
be approved in writing by the President.
4.7 Foreign Travel: Requests for travel outside
of the United States other than to Mexico, Canada or a destination that
is a possession of the United States, must be given advance written
approval by the President or his/her designee, if reimbursement for
travel expenses is to be claimed or an advance for travel expenses to
be incurred is sought.19 A copy of the written approval must be submitted
with any request for reimbursement of travel expenses.
5. Benefits, Gifts, and Honoraria:
5.1 Bribery: No faculty or staff member may
solicit, offer, or accept any benefit in exchange for his/her decision,
opinion, recommendation, vote, or other exercise of official power or
discretion.20 A "benefit" is anything reasonably regarded
as pecuniary gain or pecuniary advantage.21 A benefit that is otherwise
allowed by University policy is nevertheless prohibited if it is offered
in exchange for official action, as described above.
5.2 Prohibited Benefits: Faculty and staff
members who exercise discretion in connection with contracts, purchases,
payments, claims, and other pecuniary transactions of government may
not solicit, accept, or agree to accept any benefit from any person
the employee knows is interested in or is likely to become interested
in any contract, purchase, payment claim, or transaction involving the
employee's discretion.22 This prohibition does not apply to: (1) gifts
or other benefits conferred on account of kinship or a personal, professional,
or business relationship independent of his or her employment status23,
(2) a fee prescribed by law to be received by the employee or any other
benefit to which the employee is lawfully entitled or for which he or
she gives legitimate consideration in a capacity other than as an employee24,
(3) a gift, award, or memento that is received from a lobbyist who is
required to make reports under Chapter 305 of the Government Code,25 and (4) items having a value of less than $50, not including cash or
negotiable instruments.26 An employee who receives an unsolicited benefit
that he or she is prohibited from accepting by law may donate the benefit
to a governmental entity that has the authority to accept the gift or
may donate the benefit to a recognized tax-exempt charitable organization
formed for educational, religious, or scientific purposes.27
5.3 Food, Lodging, Transportation, and
Entertainment Received as a Guest: A faculty or staff member may
accept food, lodging, transportation, or entertainment from persons
or entities he or she knows or reasonably should know are interested
in or likely to become interested in a contract, purchase, payment,
claim, decision, or transaction involving the exercise of the employee's
discretion only if the faculty or staff member is a "guest"
as defined by Texas law.28 A member is a "guest" if the person
or a representative of the entity providing the food, lodging, transportation,
or entertainment is present at the time the food, lodging, transportation,
or entertainment is received or enjoyed by the member.29 The President
is required to report any such benefits valued at over $250 on his annual
disclosure statement filed with the Texas Ethics Commission.30
5.4 Gift Items: Faculty and staff members
shall disclose to the President through their chairs/department heads
any gifts received, in the course of official business, having a value
of more than $250. The President shall make such disclosures to the
Board of Regents.
5.5 From Friends, Relatives, and Associates: Faculty
and staff members may accept benefits from personal friends, relatives,
or business associates with whom they have a relationship independent
of their official status, so long as the benefit is not offered in exchange
for official action or decision.31
5.6 Awards: Faculty and staff members may
accept plaques and similar recognition awards.32
5.7 Honoraria: Faculty and staff members may
not solicit, accept, or agree to accept an honorarium in consideration
for services they would not have been asked to provide but for their
official position or duties.33 This prohibition includes a request for
or acceptance of a payment made to a third party if made in exchange
for such services.34 However, they may accept the direct provision of
or reimbursement for expenses for transportation and lodging incurred
in connection with a speaking engagement at a conference or similar
event.35 Meals provided as a part of the event or reimbursement for
actual expenses for meals may also be accepted.36 Participation by the
faculty or staff member must be more than merely perfunctory.
6. Public Officials and Political Activities:
6.1 Entertainment: The legal prohibitions
against acceptance of benefits apply to an official who accepts benefits
from the University. The "guest" exception to these prohibitions
permit officials to accept certain benefits from the University including
tickets to athletic and entertainment events. If a University officer
or employee provides tickets to a public official to allow the officials
and/or guests to attend an event, an officer or employee of the University
will serve as host to the official, and must attend the event.37
6.2 Perishable Food Items: Public officials
may receive small, infrequent gifts of perishable food items delivered
to their offices and these will not be considered to be "benefits"
for purposes of the provisions of the Penal Code prohibiting such.38
6.3 Expenses for Public Officials: University
of North Texas departments, programs, and services may pay expenses
in order to furnish information to State officials relevant to their
official position, including presentations about the programs and services
of the University.39
6.4 Use of Official Authority Prohibited: Faculty
and staff members of the State of Texas have the rights of freedom of
association and political participation guaranteed by the State and
Federal Constitutions, except as limited by valid State laws.40 No faculty
or staff member may use his or her official authority or influence,
or permit the use of a program administered by the University to interfere
with or affect the result of an election or nomination of a candidate
or to achieve any other political purpose.41 No faculty or staff member
may coerce, attempt to coerce, command, restrict, attempt to restrict,
or prevent the payment, loan, or contribution of any thing of value
to a person or political organization for a political purpose.42 Any
faculty or staff member who violates either of these provisions is subject
to immediate termination of employment, in accordance with the Government
Code.43
6.5 Use of University Funds or Property: No
faculty or staff member shall expend or authorize the expenditure of
any University funds for the purpose of influencing the outcome of any
election, or the passage or defeat of any legislative measure.44 This
prohibition shall not be construed to prevent any official or employee
of the state from furnishing to any member of the legislature or committee
upon request, or to any other state official or employee or to any citizen
information in the hands of the employee or official not considered
under law to be confidential. Furthermore, this prohibition shall not
be construed as preventing faculty or staff members from communicating
with any member of the legislature during non-working hours, when such
communication does not disclose or intentionally indicate he or she
has information of a confidential nature which was obtained by virtue
of his or her employment, or when such communication does not otherwise
violate this policy.45 No University funds may be expended for the payment
of full salary of any employee who is also the paid lobbyist of any
individual, firm, association, or corporation.46 University facilities
may be used as polling places for local, state, and national elections.
6.6 Voting: Faculty and staff members shall
be allowed sufficient time off to vote in public elections without a
deduction from pay or from accrued leave time.47
6.7 Faculty and Staff Members as Candidates and
Officeholders: Faculty and staff members may run for election and
serve as members of the governing bodies of school districts, cities,
towns, or other local governing districts.48 No campaign activities
may be conducted during official business hours unless the employee
has requested and received permission to use leave time for such purpose.
Candidates and officeholders may not use state computers or personnel
to prepare campaign reports.49 Any faculty or staff member elected to
such a position may not receive any salary for serving as a member of
such governing bodies.50 Any faculty and staff members who intend to
be candidates for any public office, other than local offices for which
no emolument of any kind is received, must resign unconditionally from
employment prior to announcing their candidacy.
6.8 Political Contributions from Employees:
Except as otherwise restricted by State law, faculty and staff members
may make personal contributions to candidates for office and political
organizations. State law provides that no State employee may contribute
personal services, money, or goods of value to a candidate campaigning
for Speaker of the Texas House of Representatives.51
6.9 Political Mail and Advertisements: An
officer or employee of the University may not knowingly use or authorize
the use of the intercampus mail system for the distribution of political
advertising. This provision does not prohibit individuals from distributing
or routing political advertising that is delivered to the University
through the United States Postal Service.52
7. Dual Office Holding:
7.1 Non-elective State or Federal Office:
Faculty and staff members may hold non-elective offices with boards,
commissions, and other state and federal entities provided that the
holding of such office, (1) is of benefit to the State of Texas, or
is required by state or federal law, and (2) is not in conflict with
the employee's position.53 Such appointments must be approved by the
President. Prior to the President accepting an invitation to serve in
an additional state or federal non-elective office, the Board of Regents
must determine that the appointment meets the two requirements stated
above.54 The Board must also make an official record of any compensation
to be received by the President from such appointment, including salary,
bonus, per diem or other types of compensation.55
7.2 Position of Employment with Government Agencies:
Faculty and staff members may hold other positions of employment with
agencies, boards, commissions, or other entities of government so long
as the holding of such positions is consistent with the prohibitions
against dual office holding in the Texas Constitution and is approved
in advance by the head of the department (Dean, Director, Vice President
or the President).56
8. System Property and Services:
8.1 Misuse of Authority: It is a violation
of State law for faculty and staff members, acting with the intent to
obtain a benefit or with intent to harm another, to intentionally or
knowingly misapply anything of value belonging to the government that
comes into their custody or possession by virtue of their office or
employment.57
8.2 Misuse of Official Information: It is
a violation of State law if a faculty or staff member, in reliance on
information to which he or she has access in his or her official capacity
and which has not been made public, (1) acquires or aids another to
acquire a pecuniary interest in any property, transaction, or enterprise
that may be affected by the information; or, (2) speculates or aids
another to speculate on the basis of the information.58
8.3 Telephones: From time to time faculty
and staff members may need to make personal telephone calls during working
hours. Normally, such use does not result in additional costs or damage
and generally will not hinder the day-to-day operation of an office.
Incidental use of University telephones during working hours by employees
for local calls is not considered to be a misapplication of State property,
and is permissible so long as it does not unduly interfere with the
individual's assigned responsibilities or the normal functioning of
an office.59 Use of telephones is considered to be a misapplication
of State equipment if it results in additional costs being incurred
or damage to the equipment (see University policy 8.5, Use of University
Phones, Cell Phones, Phone Lines, Fax Machines and Computers for Reasons
Other than Official Business.)
8.4 Other University Equipment: No faculty
or staff member shall entrust State property to any State official or
employee or to anyone else to be used for other than State purposes.60 Faculty and staff members shall not use University equipment or property
for their own benefit or pleasure unless, (1) suitable arrangements
have been made in advance for payment of the agreed upon value of the
use of such property, or (2) the property consists of books from the
library, recreational facilities and other such items of well-established
usage that are authorized for such use by the President.61 (Reference
University policy 8.5, Use of University Phones, Cell Phone, Phone Lines,
Fax Machines and Computers for Reasons Other than Official Business.)
8.5 State Vehicles: No faculty or staff member
shall use any vehicle owned by the State of Texas for any purpose other
than official business. Employees may not use such vehicles in connection
with any political campaign or for any personal or recreational activity.62
9. Employment:
9.1 Supplementary Pay and Perquisites: Compensation
for the President, shall be a fixed amount of money as determined by
the Board of Regents. The President may not receive any emolument, supplement,
perquisite, or other benefit from the University without specific approval
of the Board of Regents. Salary supplements as authorized by the Appropriations
Act for the President shall be reflected in the annual operating budgets
by listing the amount of such supplementation and the source of funding.
9.2 Outside Employment and Consulting: Faculty
and staff members are expected to devote their time and talents to their
assigned duties and responsibilities. Outside employment may be authorized
by the appropriate University official (i.e. Department Chair, Director
or Dean, unless otherwise directed by the Vice President and/or President)
provided that the following conditions are met:
(1) It does not interfere with the regular work of the employee.
(2) It is reasonable in amount.
(3) It avoids unfair competition with legitimate private enterprises.
(4) It does not come in conflict with the interest of the University.
(5) The official connection of the employee is not used in connection
with the employment.
(6) It is approved in advance by the appropriate UNT official, and
all reports required by policy are properly filed.
(7) The standards of conduct prescribed by law for state employees
are observed.
This policy is not intended and shall not be interpreted to restrict
an employee’s First Amendment rights of free speech and association
except as specifically permitted by law. For more detail on this subject,
see UNT Policy No. 1.2.2 "(Dual/Outside Employment and Other
Activities).
9.3 Nepotism: State law prohibits the employment:
of persons related within the second degree by affinity (marriage)
or within the third degree of consanguinity (blood) to any officer or
member of any board making, voting for, or confirming the employment.63 Whenever an appointment is made, whether on a regular, temporary, full-time,
or a part-time basis, it shall be made solely with regard to the qualifications
of the appointee, subject to Section 573.041, Texas Government Code;
and subject to the provisions of the University's "Employment of
Relatives (Nepotism Rule) Policy", No. 1.2.6, Volume 1, UNT Policy
Manual.
No person shall be employed, appointed, promoted or transferred, if
related within the second degree by affinity or within the third degree
of consanguinity to any person employed by the University of North Texas,
whose duty would involve acting in any official capacity upon such an
employment, promotion, or transfer, regardless of the source of funds
for payment of salary; nor shall any person be employed if either person
would come under the administrative supervision of the other; or if
either would have any official voice in recommending salary increases
or promotion in rank for the other.
Where employed in the same college or department, neither shall any
person related within the second degree by affinity or within the third
degree of consanguinity to the other person serve on those committees
whose purpose it shall be to recommend compensation, promotion, or tenure
for the other.
9.4 Oath of Office and Employee Affidavit:
All faculty and staff members are required to take an oath of office
prescribed by law for employees of tax supported institutions of higher
education.64 University of North Texas faculty and staff members are
required to execute an employee's affidavit indicating compliance with
laws on state employment.65
9.5 Limitations on Contracts with Previous Employees:
No faculty or staff may enter into a contract for consulting or
professional services or into an employment contract, with any person
previously employed by the University within the past twelve months
if the source of funding is money other than gift funds or contracts
and grants.66
REFERENCES:
1 References to the "UNT employees" throughout these documents
include all persons employed by the University of North Texas. Any exceptions
to this rule will be noted in the text.
2 Abbreviations used in the footnotes are as follows:
GC-- Texas Government Code, as amended through the 78th Legislative
Session (2003)
PP -- UNT Personnel Policies and Procedures
Ed. Code -- Texas Education Code, as amended through 78th Legislative
Session (2003)
AA -- Appropriations Act as passed by the 78th Legislative Session (2003)
Op.Tex Att'y Gen. -- Texas Attorney General Opinion
EC-Election Code
EAO -- Ethics Advisory Opinion (issued by the Texas Ethics Commission)
PC -- Texas Penal Code, as amended through 78th Legislative Session
(2003)
T.A.C -- Texas Administrative Code
TX Const. -- Texas Constitution, as amended through the 78th Legislative
Session (2003)
3 The following principles are derived from the Principles of Ethical
Conduct established for federal employees, Executive Order (EO) 12674
of April 12, 1989 (as modified by EO 12731), 54 Red. Reg. 15159; EO
12731 of Oct. 17, 1990, 55 Fed. Reg. 42547, and Sec. 572.051, Texas
Government Code
4 GC 572.021; EAO 28
5 GC 572.030(a), (b)
6 GC 553.002
7 GC 553.002(c)
8 GC 553.002
9 GC 553.001(1)
10 GC 660.018
11 GC 660.017
12 Op. Tex Att'y Gen. H-1089
13 GC 660.004
14 PC 39.02(d)
15 EAO 95, EAO 147; PC 39.01, 1 T.A.C. §125.9
16 Ibid
17 EAO 147
18 Op. Tex Att'y Gen. O-4167, H-1089, MW-93, and MW-206
19 GC 660.024;
20 PC 36.02; EAO 130
21 PC 36.01(3)
22 PC 36.08(d)
23 PC 36.10(a)(2)
24 PC 36.10(a)(1)
25 PC 36 (a)(5)
26 PC 36.10(a)(6)
27 PC 36.08(i)
28 PC 36.08(d); PC 36.10(b); EAO 130
29 PC 36.10(b); EAO 130
30 PC 36.10(b); EAO 130
31 PC 36.10(a)(2); EAO 130
32 EAO 36
33 PC 36.07; EAO 17,19
34 PC 36.07; EAO 19
35 EAO 17
36 EAO 17; EAO 54
37 PC 36.10; EAO 69
38 EAO 62; EAO 118
39 EAO 88
40 GC 556.003
41 GC 556.004(c)(1)
42 GC 556.004(d)(2)
43 GC 556.007
44 GC 556.006; EAO 45
45 GC 556.003
46 GC 556.005
47 GC 661.914; EC 276.004
48 EAO 386
49 TX Const. Art. 16, Sec 40
50 TX Const. Art. 16, Sec 40
51 GC 302.018; EAO24
52 EC 255.0031
53TX Const. Art. 16, Sec 40(c)
54 GC 574.001; TX Const. Art. 16, Sec 40
55 GC 574.002
56 TX Const. Art. 16, Sec 40(b)
57 PC 39.02(a)(2); EAO 134
58 PC 39.06(a)
59 EAO 134
60 EAO 172; GC 2203.004
61 EAO 172; GC 2203.004
62 GC 556.004
63 GC 573.041(1); PP 1.2.6(1.)
64 TX Const. Act. 16, Sec 1; No §2.06
65 PP 1.2.3
66 GC 2252.901
|
