State and Local Government Conflict of Interests Act Compliance

Government Conflict of Interests Act Compliance


State and Local Government Conflict of Interests Act Compliance

UVA is required to designate certain officers and employees of the University to

  • File a Statement of Economic Interest (SOEI) each year
  • Complete the State and Local Conflict of Interests (COI) Act training course once every two years

UVA HR is responsible for coordinating employee compliance with SOEII disclosures and Conflict of Interest training as mandated by the State and Local Government Conflict of Interests Act.

Purpose

  • To ensure that the judgment of public officers and employees will not be compromised or affected by inappropriate conflicts between personal economic interests and the official duties of Virginia’s public servants
  • To comply with requirements of the State and Local Government Conflict of Interests Act (Title 2.2, Chapter 31 of the Code of Virginia and the Governor’s Executive Order Number 8 regarding filing disclosures and completing training
  • To comply with the requirement that compels approximately 25,000 Virginia governmental officers and employees are required to disclose their financial interests each year

University’s Conflict of Interests List

  • Individuals are selected for this list based on the criteria found in the COI Act (§2.2 - 3114) and the Governor’s Executive Order
  • A list of these designated individuals is maintained and updated once per calendar year
  • The President and each Vice President are responsible for approving additions and deletions to the COI list
  • Board Members remain on the University’s COI list until their appointment expires
  • Officers and employees remain on the list until they terminate employment or no longer require a President’s waiver for a conflict
  • Officers and employees may also be dropped from the University’s COI list if their assigned duties and responsibilities no longer meet the criteria for being a designated employee

Baseline criteria for determining who must file an SOEI disclosure is updated annually. HR manages compliance with this requirement.

SOEI and Financial Disclosure

The COI Act requires the submission of an initial SOEI financial disclosure no later than the first day an individual serves in a role subject to SOEI disclosure rules. Then, each January thereafter, an annual filing of the SOEI financial disclosure documents must be filed by February 1.

  • Reporting period - the report filed each January covers activity and financial interests during the prior calendar year; the State of Virginia Ethics Council expects a subject employee to file a financial disclosure if they work any time during this reporting period
  • The Conflict of Interest Disclosure Portal for filing disclosures online (see user guide)
    • Helps individuals complete disclosure statements
    • Allows filers to sign disclosures electronically
    • Retains a copy of the filers’ previous disclosure to assist in completing future disclosures

  • Required Documents

    Financial disclosure documents are subject to the Virginia Freedom of Information Act.

    Filing the Statement of Economic Interests does not relieve you of your obligation to comply with other requirements of the State and Local Government Conflict of Interests Act.

  • Notification of Financial Disclosure Filing

    • Designated officers and employees receive notice of their filing requirement from the Virginia Ethics Advisory Council via their online COI Disclosure System as well as from the University’s Conflict of Interests Coordinator.
    • The Coordinator will initiate notice after receiving guidance from the Virginia Conflict of Interest and Ethics Advisory Council.
    • New employees and employees transferring or promoted into a new role subject to SOEI disclosure rules must file an SOEI no later than their first day at UVA, and they will need to complete the COI Act training within 60 days after starting at UVA (Coordinator will notify them and provide instructions). Thereafter the SOEI is filed annually and the COI training is required every other year.
    • Research faculty seeking a waiver from the President for a research conflict must also file a Statement of Economic Interests and complete the COI Training course at the time of their waiver request.
  • Late Filing of Financial Disclosure or Statement of Economic Interest Documents

    • Individuals who miss filing deadlines will be reported to their respective Vice President, Executive Vice President and Chief Operating Officer, and Vice President and Chief Human Resources Officer.
    • Individuals who fail to file when designated by the University will be subject to fines and penalties issued through the State of Virginia Attorney General's Office.
    • Failure to file the SOEI, or knowingly filing inaccurately, may result in criminal and/or civil penalties.
    • Knowingly filing forms inaccurately may also result in dismissal from office or employment.

    Contact the COI Coordinator if you have a compelling reason for filing late, such as a death in the family or taking leave for health reasons. The Coordinator will contact the Virginia Conflict of Interests and Ethics Advisory Council and request an appropriate extension on your behalf. Approval of extension requests are at the discretion of the Virginia Conflict of Interests and Ethics Advisory Council.

  • State and Local Conflict of Interests Act Training

    Notification to Complete the State Employee and Officer Training Module (COI Training)

    • Designated officers and employees will receive notification via email to complete the required COI Training directly from Policy, Risk Management and Compliance.
    • This notification is separate from and in addition to the Statement of Economic Interest Disclosure System’s filing notification.
    • The Coordinator is responsible for tracking which designated employees are required to file each year.
    • Training must be completed by subject individuals every two years.

    Failure to Complete COI Training

    The Coordinator is responsible for keeping a public record of completion dates for all individuals. Those who fail to complete the training will be reported to their respective Vice President, Executive Vice President and Chief Operating Officer, and Vice President and Chief Human Resources Officer.

Other Requirements for Faculty and Staff

In addition to the State’s COI annual filing and training requirement (every two years), there are other Conflict of Interest requirements under federal and state law or University policy that affect University faculty and staff.

  • The Department of Procurement and Supplier Diversity Services

    The Department of Procurement and Supplier Diversity Services has COI responsibility mandated by Section 2.2-3110 of the State and local Government Conflict of Interests Act.

    Procurement and Supplier Diversity Services manages the review and internal routing of disclosures related to procurement activities and the acceptance of gifts.

    This process starts with an email in July to all University employees requesting that they self-report any interest(s) in a firm that is contracting or plans to contract with the University. If an employee self-reports ownership in a firm and the University’s contract with the firm reaches a certain dollar threshold, the employee is required to file the State’s financial disclosure form and complete the COI training. For more information contact UVA Procurement and Supplier Diversity Services at 434.924.4212.

  • The Office of the Vice President for Research

    The Office of the Vice President for Research is responsible for a Conflict of Interests process under University Policy, Financial Conflicts of Interests for Research Investigators, RES-005.

    The Vice President for Research manages research-related requirements for financial interest disclosure, conflicts of interest identification and management, and reporting.

    For more information contact the Office of the Vice President for Research: 434.924.3606 or vpresearch@virginia.edu

  • The School of Medicine

    The School of Medicine’s (SOM) Policy on Conflict of Interest and Conflict of Commitment requires all SOM faculty and investigators to disclose annually all financial interests that relate to institutional responsibilities using the SOM online disclosure system.

    • New financial interests must be disclosed within 30 days.
    • Recently hired SOM faculty must disclose their financial interests within 30 days of their initial appointment.
    • This process is completely separate from Virginia’s Conflict of Interest requirements.

    For more information contact David Driscoll or the School of Medicine Office for Research at 434.243.7088.

  • EVP and Provost

    The EVP & Provost identifies and manages conflict of interest and commitment issues of faculty and professional research staff.

  • University Compliance Office

    The University Compliance Office provides general oversight and coordination of the University's compliance programs and can help employees identify which conflict of interest requirements may apply to their particular activities or circumstances and direct them to the appropriate state or institutional resources.

  • Medical Center

    The Corporate Compliance & Privacy Program is a resource to help you better understand the applicable laws and UVAMC and UVAHS Policies with which we must comply. If you have questions concerning the Corporate Compliance & Privacy Program, please contact the Department at 434.924.2938.