Conflict of interest (CoI)
1. What is the general policy for Associated Universities, Inc. (AUI) employees in Chile?
Associated Universities, Inc. (AUI) recognizes that AUI employees in Chile, both at the Joint ALMA Observatory (JAO) and at the Office of Chilean Affairs (OCA), as well as their immediate families, may have diverse private, business, or professional interests that place them in a position where there is, or might appear to be, a conflict between their private interests and the interests of AUI.
Therefore, AUI requires all employees in Chile to disclose actual or potential financial, research, or organizational conflicts of interest prior to their participation in any AUI related activity.
AUI is also committed to taking appropriate action to ensure that conflict of interest situations are promptly identified and mitigating actions are implemented to ensure all decision are made free of any real or apparent conflicts of interest.
2. Definitions
An interested person is any AUI employee who has a real or apparent financial, organizational, or research interest, as defined in this Policy.
A real conflict of interest exists when the personal interests of an AUI employee interfere or oppose the interests or objectives of the organization, affecting the capacity for taking objective decisions in a specific situation.
A potential conflict of interest exists when an AUI employee, not being in a position to take a decision that can interfere with the organization’s interest, could potentially be so, and find him or herself influenced by personal interest, thus creating a real conflict of interest in the future.
An apparent conflict of interest exists when circumstances or conditions surrounding the employee are such that, regarding a specific subject, a reasonable person with knowledge of the relevant facts would question the person’s impartiality in the matter and thus be involved in a real conflict of interest.
3. What kind of interest could a collaborator have?
An interested person is deemed to have a financial interest if he/she has, directly or indirectly, through business, investment, or immediate family:
- An ownership or investment interest in any entity with which AUI has a transaction or arrangement; or
- A compensation arrangement with AUI or with any entity or individual with which AUI has a transaction or arrangement; or
- A potential ownership or investment interest in, or compensation arrangement with, any entity or individual with which AUI is considering or negotiating a transaction or
Compensation includes direct and indirect remuneration, as well as gifts or favors.
For example, a buyer who chooses to buy from someone related or from a company in which s/he has an interest without having declared it.
An interested person is deemed to have a research interest if he/she has, directly or indirectly, through his or her own professional activities, or those of a close personal collaborator, or through business, investment, employment or family, an interest in research conducted, or to be conducted, by or on behalf of AUI, either at JAO or OCA, that:
i. may diminish the person’s capacity to give impartial, technically sound, objective assistance or advice, or
ii. may result in the person (or the person’s business, employer, investment or family) having an unfair competitive advantage.
For example, being awarded an outside project that involves using AUI technology without declaring it.
Associated Universities, Inc. (AUI) recognizes that AUI employees in Chile, both at the Joint ALMA Observatory (JAO) and at the Office of Chilean Affairs (OCA), as well as their immediate families, may have diverse private, business, or professional interests that place them in a position where there is, or might appear to be, a conflict between their private interests and the interests of AUI.
Therefore, AUI requires all employees in Chile to disclose actual or potential financial, research, or organizational conflicts of interest prior to their participation in any AUI related activity.
An organizational interest occurs when an interested person has a present or currently anticipated interest (including a business, government-service, employment, investment, family or other relationship with another organization) that, directly or indirectly, relates to a present or proposed transaction or arrangement with the organization that:
- may diminish the interested person’s capacity to give impartial, technically sound, objective assistance or advice, or
- may result in the interested person or the interested person’s business, employment, investment, family or other relationship having an unfair competitive advantage.
For example, a person with decision-making power in a hiring has a relationship or friendship with one or more applicants and does not declare it.
Note: The existence of a financial, research or organizational interest is not necessarily a conflict of interest. An actual conflict of interest will be deemed to exist if either the Director of the JAO or the Assistant Director of the OCA decides that a conflict of interest exists in accordance with the procedures established pursuant to this policy.
4. Responsibilities of employees in grades 14 and above regarding conflict of interest
Annually acknowledge in writing to have been informed of the AUI Conflict of Interest Policy and affirm that they are either an interested person or that they have no real or apparent conflicts of interest.
Refrain from participating, directly or indirectly, in any decision, operation, management, participation, contract and or negotiation related to their personal or those of related third parties.
Declare and sign a Conflict of Interest Disclosure Statement, in which he/she discloses whether any potential or actual financial, research, and organizational interests exist, and agree to inform management in future if there is any change in the information provided in this declaration.
Consult with their direct supervisor or managers in case of doubt.
5. Procedure for interested parties
a. In the event that a potential conflict of interest is identified as a result of the written disclosure process, the JAO Director will investigate the matter, delegating it as he considers appropriate. As part of this process, the interested person may be requested to provide additional information. In the event that a conflict of interest is established, the interested person may not participate in the decision or recommendation on the matter that causes the conflict of interest, notwithstanding other appropriate actions as established in chapter III point 3 of the Internal Rules and Regulations Manual depending on the case.
b. In the event that a conflict of interest situation is identified after the Interested Person has participated in a decision or recommendation, or if the JAO Director has reasonable grounds to believe that an Interested Person has failed to disclose actual or potential conflicts of interest, he will investigate the matter and determine what appropriate actions should be taken.