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J. Harold Sorrells, ChainnanRaymond L. Bell, Jr., Esq., Vice-ChairmanLinda L. Green

Nancy Edwards Eldridge

-Dorothy W. Huston, PhDVice PresidentResearch & DevelopmentAlabama A & M University196 Robins RoadHarvest, Alabama 35749

Dear Dr. Huston:

STATE OF ALABAMA

ETHICS COMMISSION

MAILING ADDRESS

P.O. BOX4840MONTGOMERY.AL

36103-4840

STREET ADDRESS

RSA UNION100 NORTHUNIONSTREET

SUITE 104MONTGOMERY,AL 36104 James L. Sumner, Jr.

Director

TELEPHONE (334) 242-2991

FAX (334) 242-0248WEB SITE www.ethics.alalinc.net

February 4, 2004

ADVISORY OPINION NO. 2004-05

Conflict Of InterestlVice President OfResearch And Development At Alabama A& M University Operating InformationTechnology, Services And TrainingCompany On Her Own Time

The Vice President for Research andDevelopment at Alabama A & M Universitymay own and operate an informationtechnology, services and training companyon her own time; provided, that all activitiesrelating to the operation of the business aredone on her own time, whether after-hours,weekends, annual leave, etc.; and, that thereis no use of University equipment, facilities,time, materials, human labor or otherUniversity property under her discretion orcontrol to assist her in obtaining jobopportunities or in performing the functionsof her business.

The Alabama Ethics Commission is in receipt of your request for an Advisory Opinion ofthis Commission, and this opinion is issued pursuant to that request.

Dr. Dorothy W. HustonAdvisory Opinion No. 2004-05Page two

QUESTION PRESENTED

May the Vice President for Research and Development at Alabama A & M Universityown and operate an information technology, services and training company on her own time?

FACTS AND ANALYSIS

The facts as have been presented to this Commission are as follows:

Dorothy W. Huston, PhD, is Vice President for Research and Development at Alabama A& M University. She is interested in starting a business of which she would be the principalowner. The name ofthe company is Superior Solutions, Incorporated, and it will be a minority,woman-owned, information technology, services and training company located in Huntsville,Alabama. She will not do business with Alabama A & M University or have any dealings withthe University.

Before undertaking this endeavor, she is asking for this opinion.

The Alabama Ethics Law, Code of Alabama. 1975, Section 36-25-1(23) defines a publicemployee as:

"(23) PUBLIC EMPLOYEE. Any person employed at the state, county, or municipallevel of government or their instrumentalities, including governmental corporations andauthorities, but excluding employees of hospitals or other health care corporationsincluding contract employees of those hospitals or other health care corporations, who ispaid in whole or in part from state, county or municipal funds. For purposes of thischapter, a public employee does not include a person employed on a part-time basiswhose employment is limited to providing professional services other than lobbying, thecompensation for which constitutes less than 50 percent of the part-time employee'sincome."

Section 36-25-1(8) defines a conflict of interest as:

"(8) CONFLICT OF INTEREST. A conflict on the part of a public official orpublic employee between his or her private interests and the officialresponsibilities inherent in an office of public trust. A conflict of interest involvesany action, inaction, or decision by a public official or public employee in thedischarge of his or her official duties which would materially affect his or herfinancial interest or those of his or her family members or any business with

-

Dr. Dorothy W. HustonAdvisory Opinion No. 2004-05Page three

which the person is associated in a manner different from the manner it affects theother members of the class to which he or she belongs."

Section 36-25-2(b) in pertinent part states:

"(b) An essential principle underlying the staffing of our governmental structure isthat its public officials and public employees should not be denied theopportunity, available to all other citizens, to acquire and retain private economicand other interests, except where conflicts with the responsibility of publicofficials and public employees to the public cannot be avoided."

Section 36-25-5(a) states:

"(a) No public official or public employee shall use or cause to be used his or herofficial position or office to obtain personal gain for himself or herself, or familymember of the public employee or family member of the public official, or anybusiness with which the person is associated unless the use and gain are otherwisespecifically authorized by law. Personal gain is achieved when the public official,public employee, or a family member thereof receives, obtains, exerts controlover, or otherwise converts to personal use the object constituting such personalgain."

Section 36-25-5( c) states:

"(c) No public official or public employee shall use or cause to be usedequipment, facilities, time, materials, human labor, or other public property underhis or her discretion or control for the private benefit or business benefit of thepublic official, public employee, any other person, or principal campaigncommittee as defined in Section 17-22A-2,which would materially affect his orher financial interest, except as otherwise provided by law or as provided pursuantto a lawful employment agreement regulated by agency policy."

The Ethics Law permits public officials and public employees to have outside businessinterests, provided a conflict of interest does not exist.

In the facts as presented, there would not be a conflict of interest for Dr. Huston toundertake creating an information technology, services and training company; provided, that allactivities are done on her own time; and, that nothing belonging to Alabama A & M University isused to assist her in either obtaining business opportunities or in performing the functions of hercompany.

Dr. Dorothy W. HustonAdvisory Opinion No. 2004-05Page four

Based on the facts as provided and the above law, the Vice President for Research andDevelopment at Alabama A & M University may own and operate an information technology,services and training company on her own time; provided,

I) that all activities relating to the operation of the business are done on her owntime, whether after-hours, weekends, annual leave, etc.; and,

2) that there is no use of University equipment, facilities, time, materials, humanlabor or other University property under her discretion or control to assist her inobtaining job opportunities or in performing the functions of her business.

CONCLUSION

The Vice President for Research and Development at Alabama A & M University mayown and operate an information technology, services and training company on her own time;provided, that all activities relating to the operation of the business are done on her own time,whether after-hours, weekends, arinualleave, etc.; and, that there is no use of Universityequipment, facilities, time, materials, human labor or other University property under herdiscretion or control to assist her in obtaining job opportunities or in performing the functions ofher business.

AUTHORITY

By 3-0 vote ofthe Alabama Ethics Commission on February 4, 2004.