NOTE! Before using this PowerPoint, you must customize it to suit your presentation. Asterisks (*) mark items that you must revise to make them appropriate.

NOTE!

Before using this PowerPoint, you must customize it to suit your presentation.

Asterisks (*) mark items that you must revise to make them appropriate to your presentation or to your unit procedures.

The pound or number sign (#) marks items to which you should add specific examples relevant to your unit.

Conflicts of Interest and Conflicts of Commitment

*Name of unit

*Presentation date

Presentation outline About COIs and COCs Central COI/COC policies & procedures Unit COI/COC policies & procedures Roles & responsibilities Collective Bargaining Units Questions

Conflict of interest What is a potential conflict of interest?

Broadly defined, a potential conflict of interest encompasses external ties that may or may appear to improperly bias a U-M employee’s judgment in performing his or her U-M job responsibilities.

Conflict of commitment What is a potential conflict of commitment? Broadly defined, a potential conflict of

commitment encompasses situations in which an employee’s external relationships or activities may or may appear to interfere or compete with the University’s mission, or with the staff member’s ability or willingness to perform his or her job responsibilities.

Why use the word potential? Because a lot depends on the circumstances.

For example, if an employee discloses an

external tie and steps are then taken to remove the chance of bias (e.g., removing the employee from certain decisions), the potential conflict has been eliminated.

Why potential? Another example… A U-M employee accepts a gift from

someone outside the U-M and then makes what he/she claims was an unbiased decision about using the services of that person’s company. But the appearance of bias, regardless of anything else, creates a potential COI.

Why is this topic important? In numerous ways, the general public

invests and places trust in the U-M. Acting in a way that earns a high level of

public confidence is central to our mission. One of those actions is to recognize and,

where necessary, manage potential COIs and COCs.

University COI/COC policies Central policies

Standard Practice Guide 201.85-1 Conflicts of Interest and Conflicts of Commitment

Numerous related policies Unit implementation policies

Required by SPG 201.85-1 & procedures In general, there are separate unit policies for

faculty and staff

SPG 201.85-1: Key elements Articulates key institutional values Articulates key principles Defines potential COI and COC Describes disclosure requirements Assigns accountability for implementing &

monitoring the SPG Lists other related policies

Key principles All U-M faculty & staff members are to act with

honesty, integrity, and in the best interest of the University when performing their duties, and to abide by the highest standards.

U-M allows and encourages faculty and staff to engage in outside activities and relationships that enhance the mission of the University.

Because of this commitment, potential COIs and COCs are inevitable.

Key principles, continued Faculty & and staff with 50% or more

appointments owe their primary professional commitment to the U-M.

Must commit commensurate time & intellectual energy to support and enhance the U-M’s mission

Other part-time faculty & staff members owe time and effort commensurate with their appointments.

Key principles, continued No U-M employee may use his/her official

position or influence to further his/her personal gain or advancement, or that of family members or personal associates, at the expense of the U-M or against U-M policy.

Disclosing & Managing COIs and COCs Faculty & staff must disclose all potential COIs

and COCs. The appropriate U-M official must then evaluate

the potential conflict, and if it is found to be significant, must manage it.

When sponsored research or technology transfer is involved, a faculty member must disclose potential COIs and COCs to the appropriate conflict of interest committee.

Use of U-M Resources Except as authorized, faculty & staff may

make only incidental use of University resources for purposes unrelated to missions of the U-M.

Includes but not limited to facilities, personnel, students, equipment, and confidential information.

Other Topics in SPG Responsibilities of

Executive Officers Schools, colleges, and administrative units

Faculty or staff violations of SPG, including Does not disclose potential COI/COC Does not abide by plan to manage conflict

Disputes & appeals

NOTE! The slides below provide a SAMPLE set

of content topics in a unit implementation policy (based on the template policy that was created). The list of content items from your unit implementation policy may differ from the suggested list.

Contents of unit policy *Introduction *Disclosing, evaluating, and managing

Potential COIs and COCs *Developing plans to manage potential

COIs and COCs *Involving other U-M individuals or offices *Administering the unit policy

Content, continued *Record-keeping and issues of

confidentiality and privacy *Resolving disputes *Education and training *Violations *Unit policy review and revision *Other governing policies

Other related policies Types of policies: State of Michigan, Regents Bylaws, and other U-M

SPGs. Topics include but not limited to:

Gifts COI in sponsored projects/technology transfer Ownership for patents, copyrights, computer software, or property

rights Outside employment Governmental activities Special stipends Appointments of relatives or others with close personal or external

business relationships (nepotism)

NOTE! The slides below provide a set of

generic situations where COIs and COCs may arise. Select only those situations that apply to your unit or to your audience, and add additional examples, as appropriate. Then identify one or more unit-relevant examples of each generic type, which may vary depending on your audience.

NOTE (continued) For ideas about examples of conflicts of

interest and conflicts of commitment, see the COI/COC tutorials for faculty and staff and also the document “Scenarios and Questions: A Training Tool," available on the Provost’s Office’s website (see Conflicts of Interest and Conflicts of Commitment under Programs or Faculty Information)

Examples of COI/COCs in unit #Competing financial interests

Yours, your family’s or close associates Relationship with U-M vendors Ownership or investment in outside business

#Other U-M employment #Employment outside U-M #Honoraria #Hiring & supervising

Unit examples, continued #Use of U-M resources #Gifts and perks #Political activities

NOTE! The list of unit policy topics provided

below is only a sample, based on the template policies that were created. The list of topics in your unit implementation policy may differ from the list provided. Modify the list, as appropriate, for your unit implementation policy.

Unit procedures--topics *Disclosing potential COI/COCs *Evaluating disclosures *Involving other U-M offices *Managing potential COI/COCs *Keeping and managing COI/COC records *Confidentiality *Freedom of Information Act (FOIA) requests *Resolving disputes *Handling policy violations

NOTE! You must customize most of the

remaining slides to match your unit’s implementation policy. Items you need to customize are marked with an asterisk (*) and items that require unit-specific examples are marked with the pound or number sign (#).

Disclosing potential COI/COCs

As potential COIs and COCs arise *To whom faculty and staff should disclose *Actions that faculty & staff must take

Annual disclosure [*if required by unit] *To whom faculty & staff should disclose *Actions that faculty & staff must take

Evaluating disclosures

*What faculty & staff can expect to happen after they’ve disclosed a potential COI or COC--action steps

Managing disclosures *What faculty & staff should expect--action

steps

Unit record keeping *What information will be retained *Where records will be kept *How confidentiality will be assured *Purging records, as appropriate *Requests under Michigan’s Freedom of

Information Act (FOIA) *What to do if you have concerns

Violations #General type of actions that the unit would be

likely to view as a violation of the unit policy *Steps that would be taken if a violation has been

alleged *If staff or faculty member is found to have

violated the policy, process by which the unit will decide on disciplinary action, if any

Disputes and appeals *Steps a staff member could take to dispute

a finding or decision *Steps a faculty member could take to

dispute a finding or decision *Steps for filing a second level appeal, if

applicable

What you should do within the next week *Describe the actions the unit expects staff and faculty to

do initially to become knowledgeable about policies & procedures, for example: *Review SPG 201.85-1 and the unit policy *Complete staff or faculty tutorial *Print, sign, and give the completed tutorial

certificate to your supervisor or to the COI/COC manager

Other steps you need to take *Describe additional steps that the unit

requires staff and faculty to do, e.g., *Consider your work/life circumstances,

identify any potential COI/COCs, and disclose them to (the appropriate person)

*Attend additional unit training session(s) *Complete annual disclosure, if applicable--

specify schedule

Third party potential conflicts *What are my obligations or options if I observe a

potential COI or COC that involves a third party (and not me)?

*Describe options, for example: *Depending on circumstances:

Talk with employee Talk with your supervisor Talk with COI/COC manager

Third party, continued But keep in mind… If a potential conflict exists, the U-M

employee may be unaware of U-M policies. He/she may have disclosed the potential

conflict already. A management plan may be in place. If so, the details are confidential.

Collective bargaining agreements [*If applicable]If my employment is covered under a

collective bargaining agreement, do the COI/COC policies apply to me?

Yes. The provisions of the COI/COC policy apply to all faculty and staff.

But some provisions of the collective bargaining agreement may come into play, such as issues of representation and discipline.

To whom should I direct questions? It depends on the circumstances. Your supervisor and

union representative may be helpful.

When in doubt…

Ask…

and, where applicable,

…disclose!

Q&A Questions Comments

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