RESPECT | TRUST | INCLUSION | DISCOVERY | EXCELLENCE
Two roles and many more problems:
A conflict of interest can of worms
An employee in a department is hired to work for a dynamic and inspiring faculty member. Together, and as part of the employee’s role, they make progress regarding an exciting project to create web-based software for a specific use. The faculty believes this software can be further developed into a service as a standalone start-up company. The faculty licenses the technology developed at Duke, creates an external company and leaves Duke to further develop the technology. The employee stays at Duke, in their original role, working with the same software that inspired the company’s creation. The employee is also working with the former faculty on the external company’s efforts.
A report is received through the Speak Up program regarding the outside company where the employee appears to hold a key role. The person reporting the concern expresses confusion as to whether the company and services referenced on a website are part of Duke. The company and its software are recognizable to those working in the specific subject area as there are both Duke and external company sites listing the same software services and links.
Duke Values In Action: Dual Interest and Outside Activities
Outside activities are a valuable means for professional and civic engagement with the community. Avoid or manage real or perceived conflicts of interest in all aspects of business, patient care, research, time commitment, and governance. Avoid activities, pursuits or financial interests that are not compatible, in reality or perception, with our responsibilities. Do not use our positions of influence or authority to secure personal advantage or gain.
Fact finding and intervention:
The employee is working for the outside company during Duke business hours and is utilizing Duke resources, including the Duke Directory and other technology, for the external company and their personal gain.
The lines between the Duke work and the external company work are blurred; Duke has become a customer of the external company utilizing the software developed internally and there is a lack of transparency to internal stakeholders.
The outside company website is similar to the Duke website with the same services listed on both sites; it is unclear whether there is a difference between the two sites or the services offered.
The employee’s former supervisor, the faculty who created the external company, is still actively managing the employee during Duke business hours.
Resolution and action plan:
- An outside activity/COI review is conducted, and it is determined the employee violated the Dual Interest and Outside Activities Policy by using Duke resources inappropriately.
- A review of the employee’s Duke position will be undertaken to determine whether there is a role for the employee in the unit separate from the role at the external company.
- The unit and the employee will be messaged regarding what will be allowable going forward; the employee cannot work on the external company at Duke to avoid real or perceived conflict of interest.
- The licensing agreement will be reviewed to understand the services available to other Duke users through the license.
- The Duke website is updated to remove external company links.
*This vignette is loosely based on real cases received through Duke’s Speak Up program and/or other investigatory offices. Creative license was taken to protect the identities of those involved.*