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

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.    

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:

1. In accordance with established procedures, leads a process for developing and adopting school, college, or unit policy and procedures.
2. In accordance with established procedures, leads a process for seeking faculty approval.
3. 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:

• 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
• 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:

1. Recommends to the President that the unit policies be accepted or, if necessary, revised before acceptance.
2. 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 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:

1. In accordance with established procedures, leads a process for identifying material modifications to the school, college, or unit policy and procedures.
2. In accordance with established procedures, leads a process for seeking faculty approval of the material modifications.
3. In accordance with established procedures, submits the policy and procedures with material modifications to the appropriate executive officer.

Executive Officer:

1. Reviews the unit policy with material modifications and requests any necessary revisions.
2. 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:

1. Recommends to the President that the unit policy with material modifications be accepted or, if necessary, revised before acceptance.
2. 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:
   1. Reference to Standard Practice Guide 201.65-1 Conflicts of Interest and Conflicts of Commitment
   2. 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.  
   3. 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.
      1. Benefit by an investigator from the financial outcome of their research
      2. Referrals to a business in which the faculty/staff member or a member of his or her immediate family has an interest
      3. Interest in a business that competes with the UM
      4. Publishing or presentation of research without disclosure of the investigator's related financial interest
      5. 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
      6. Participation in technology development in a company where the investigator or a member of his or her immediate family has an interest
      7. Executive participation in a start-up biomedical company
   4. 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.
   5. 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.