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> Procedures > Conflicts of
Interest and Conflicts of Commitment
Procedure: Conflicts of Interest and Conflicts
of Commitment
APPLIES TO: All Faculty and Staff Members
ISSUED BY (DEPT): Office of the President and Office of the
Provost and Executive Vice President for Academic Affairs
SPG NUMBER: 201.65-1
DATE: 7/11/2005
| RESPONSIBILITY |
ACTION |
| Procedure A: For
developing implementation policies in the schools,
colleges, and administrative units |
| Executive Officers |
Ask the dean or director of each unit, or appropriate
cluster of units, within his or her purview to develop
school, college, or unit implementation policies, following
the guidelines provided below. |
| Schools, Colleges, and Administrative Units |
Develop conflict of interest/conflict of commitment
implementation policies that include the elements described
below and are consistent with SPG 201.65 and other
relevant University policies. The deans and directors
of the schools, colleges, and research units will consult
with faculty in this development process.
Many schools, colleges, and administrative units have existing
policies or procedures that meet at least some of the requirements
of SPG 201.65-1, although not necessarily in a single policy
or framework as suggested by the SPG. Therefore, schools,
colleges, and administrative units may revise existing
policies or develop new policies that would, where applicable,
incorporate existing unit procedures relevant to conflicts
of interest and commitment. |
| Schools, Colleges, and Administrative Units |
If the school, college or administrative unit develops additional internal procedures
for handling disputes or appeals regarding any action or decision taken with
respect to a faculty or staff member’s conflict of interest or conflict
of commitment, the additional procedures must coordinate with and may not substitute
for existing University policies for handling disputes. |
| Each School or College |
Submits the conflict interest/conflict of commitment
implementation policy to the governing faculty for
approval, following the applicable procedures of the
school or college. |
| Procedure B: For
reviewing and approving school, college, and administrative
unit policies and procedures |
| Dean or Director of the School, College,
or Administrative unit |
In accordance with established procedures, leads
a process for developing and adoptingschool, college,
or unit policy and procedures.
|
| Dean or Director of the School, College,
or Administrative unit |
In accordance with established procedures, leads
a process for seeking faculty approval.
|
| Dean or Director of the School, College,
or Administrative unit |
In accordance with established procedures, submits
the policy and procedures to the appropriate executive
officer. |
| Executive Officer |
Reviews the unit policy and requests any necessary
revisions. |
| Office of the Provost and Executive Vice
President for Academic Affairs |
Assists in the creation of a policy review group
that consists of:
A. At least three faculty members appointed
by the Provost and Executive Vice President for Academic
Affairs, at least two of whom will be selected from
a slate of at least five nominees submitted by the
Senate Advisory Committee on University Affairs (SACUA),
and
B. Representatives of the offices listed below
- Office of the Provost and Executive Vice President
for Academic Affairs
- Office of the Chancellor at UM–Dearborn
- Office of the Chancellor at UM–Flint
- Office of the Executive Vice President and Chief
Financial Officer
- Office of the Executive Vice President for Medical
Affairs
- Office of the Vice President for Research
- Office of the Vice President and General Counsel
- Office of University Audits
|
| Executive Officer |
To ensure the policy meets the minimum requirements
of the SPG, submits the unit policies to the policy
review group described in the step directly above. |
| Policy Review Group |
Recommends to the President that the unit policies
be accepted or, if necessary, revised before acceptance. |
| Policy Review Group |
Provides the Senate Assembly with periodic reports
on its activities. |
| President |
Final approval. |
| Procedure C: For
monitoring school, college, and administrative unit policies
and procedures |
| Office of University Audits |
Reviews the compliance of the schools, colleges,
and administrative units with their own policies, procedures,
and efforts to disseminate the policies and ensure
their consistent application. |
Procedure D: For
material modifications of implementation policies
It can be anticipated that from time to time the
need will arise to modify the implementation policies
and procedures of a school, college, or administrative
unit. When the modification is material, all
the review and approval processes set forth in Sections
A and B shall be applicable. Also see table below. |
| Schools, Colleges, and Administrative
Units |
If, in following the procedures for material modification of an implementation
policy, the school, college or administrative unit develops additional internal
procedures for handling disputes or appeals regarding any action or decision
taken with respect to a faculty or staff member’s conflict of interest
or conflict of commitment, the additional procedures must coordinate with and
may not substitute for existing University policies for handling disputes. |
| Dean or Director of the School, College,
or Administrative Unit |
In accordance with established procedures, leads a
process for identifying material modifications to the
school, college, or unit policy and procedures. |
| Dean or Director of the School, College,
or Administrative Unit |
In accordance with established procedures, leads a
process for seeking faculty approval of the material
modifications. |
| Dean or Director of the School, College,
or Administrative Unit |
In accordance with established procedures, submits
the policy and procedures with material modifications
to the appropriate executive officer. |
| Executive Officer |
Reviews the unit policy with material modifications
and requests any necessary revisions. |
| Executive Officer |
Submits the school, college, and unit policies with
material modifications to the policy review group described
in procedure B, step 5 above. |
| Policy Review Group |
Recommends to the President that the unit policy with
material modifications be accepted or, if necessary,
revised before acceptance. |
| Policy Review Group |
Provides the Senate Assembly with periodic reports
on its activities. |
| President |
Final approval. |
Other policies relevant to conflicts of interest
or conflicts of commitment
Elements the schools, colleges,
and administrative units should include in their implementation
policies:
1. The expectations and responsibilities that the school,
college, or administrative unit associates with professional
appointments and other job classifications within the unit.
2. The procedures that faculty members
and staff members in the academic unit or administrative
unit must follow to disclose potential or actual conflicts
of interest and conflicts of commitment that arise. The
procedures should include:
a. Reference to Standard Practice Guide 201.65-1 Conflicts
of Interest and Conflicts of Commitment
b. The requirement that all faculty members
and staff members must fully disclose such matters
promptly as they arise or are identified.
Schools, colleges, and administrative
units may choose to use a disclosure form suited to the
mission of the school, college, or administrative unit
and the specific activities that may represent a conflict
of interest or conflict of commitment in the school,
college, or administrative unit. Such
a form needs to be approved as part of the review process
described in section B below.
In any case, the school, college, or
unit procedures should provide examples of possible
COI or COC to reflect the areas in which disclosure may
be required in the school, college, or administrative unit,
and identify the office (or individual) to whom or to
which faculty and staff member should disclose potential
or actual conflicts of interest or conflicts of commitment.
c. A set of situations relevant to activities
in the school, college, or unit that could create a
COI or a COC or the appearance of a COI or a COC. A list
of such situations that the Medical School included in
its policy at one time
is provided below as an example of the desirable level
of specificity.
- Benefit by an investigator from the financial outcome
of their research
- Referrals to a business in which the faculty/staff
member or a member of his or her immediate family has
an interest
- Interest in a business that competes with the UM
- Publishing or presentation of research
without disclosure of the investigator’s
related financial interest
- Allowing University responsibilities to influence or
benefit a company in which the investigator or a
member of his or her immediate family has an interest
- Participation in technology development in a company
where the investigator or a member of his or her
immediate family has an interest
- Executive participation in a start-up biomedical company
d. Identification of the individual(s)
who will evaluate potential COIs and COCs and a description
of the evaluator’s
roles, responsibilities, and a list of University resources
for consultation and support in carrying out the evaluator
role.
e. A statement that a faculty or staff member must also
provide additional information concerning disclosed or undisclosed
matters as may be requested by the designated COI and COC
evaluator in the academic or administrative unit for the
purpose of evaluating actual or potential conflicts of commitment
or interest and that all such disclosures must be made promptly.
3. Procedures by which the school,
college, or administrative unit implementation policies
will interface with the separate disclosure requirements
of key offices with which the unit commonly interacts (e.g.
Purchasing Services and the Office of the Vice President
for Research).
4. Procedures that the dean, director,
or head of the unit will follow in evaluating disclosures
and managing conflicts of interest and conflicts of commitment,
so that unit practice is fair and consistent.
5. The procedures that the dean, director, or head of the
academic or administrative unit will follow when responding
to alleged violations of this policy.
6. The standards and procedures that govern faculty and
staff actions with regard to soliciting and accepting gifts.
7. The procedures a school or college
will follow when a faculty or staff member expresses concerns
about the scope or details of a plan to eliminate or manage
a conflict of interest or conflict of commitment (see SPG
201.65-1, Section III.C.6 and Section V), which may be
a standing faculty committee activity and/or existing dispute
procedures.
8. A description of the school, college,
academic or administrative unit program to educate all
faculty and staff, on an ongoing basis, about conflict
of interest and conflict of commitment.
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