# Assess a conflict of interest disclosure and recommend safeguards

Evaluates an employee's conflict of interest disclosure against policy and recommends whether to approve, mitigate, or decline it.

- Topic: Legal & Compliance
- Framework: Few-Shot
- Level: Standard
- Tags: Legal, HR & Hiring, Finance, Analyze, Fill-in Template
- Source: https://www.thinkwithprompt.com/prompts/assess-a-conflict-of-interest-disclosure-and-recommend-safeguards

## Prompt

```text
Help me assess a conflict of interest disclosure.

**The disclosure:** [WHAT the employee reported - e.g. outside job, relative at a supplier, investment in a competitor, board seat]
**Employee's role and decision-making authority:** [ROLE, budget authority, influence over vendors, customers, hiring, or contracts]
**Relationship to our business:** [does the other party do business with us, compete with us, or seek to]
**Our conflict of interest policy:** [PASTE relevant sections]
**Industry rules that apply (if any):** [e.g. public sector, healthcare, financial services rules]

Assess:
1. **Type of conflict** - actual, potential, or perceived, and why.
2. **Risk factors** - the employee's ability to influence decisions, value involved, frequency of interaction, access to confidential information, how it would look to an outsider.
3. **Policy position** - what the policy permits, prohibits, or leaves to judgment, citing sections.
4. **Options** - approve, approve with safeguards, require divestment or change, or decline.
5. **Safeguards** if approving - e.g. recusal from specific decisions, alternate approver, information barriers, periodic re-certification, documented arm's-length terms.
6. **Questions to ask** before deciding.
7. **Decision letter to the employee** - clear, respectful, under 200 words, with conditions and a review date.
8. **Register entry** - one line for our conflicts register.

Be fair to the employee: a disclosed conflict is good behavior. Mark gaps [CONFIRM]. Check local law and any regulatory requirements.
```

## What to fill in

- PASTE relevant sections
- e.g. public sector, healthcare, financial services rules
- CONFIRM

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