SPG Number 4.15

UM SPG 201.65-1 "Conflicts of Interest and Conflicts of Commitment" requires the deans of the schools or colleges, and the directors of administrative units to articulate and disseminate implementation policies that apply to faculty and/or staff within those units. The implementation policy and procedures for the School for Environment and Sustainability (SEAS) are provided below. This policy and its procedures apply to all full-time staff, whether regular or temporary, and to all regular part-time staff in the unit. The University expects all staff to be familiar with the contents of UM SPG 201.65-1 and with the applicable set of unit implementation procedures.

A. Statement of Principles for SEAS’s Policy

The policy section of UM SPG 201.65-1 outlines a set of key principles relevant to conflicts of interest and conflicts of commitment, including the principles stated below.

All 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 of research, educational, professional, and fiscal conduct. Outside activities should not interfere with an individual’s University obligations. Staff must not use their official University positions or influence for further gain or advancement of themselves, parents, siblings, spouse or partner, children, dependent relatives, or other personal associates, at the expense of the University. In accordance with its mission, however, the University of Michigan allows and encourages staff to engage in outside activities and relationships that enhance the mission of the University. As a result, potential conflicts of interest and commitment are inevitable, but these potential conflicts are not necessarily problematic. Rather, the essential point is that faculty and staff must disclose these potential conflicts of interest so that they can be evaluated and, if necessary, managed or eliminated.

When implementing UM SPG 201.65-1, academic and administrative units must also consider both particular rules of conduct within the University, and rules that govern outside activities applicable to the staff of SEAS. These include:

  • Regents’ Bylaw 5.13, related to governmental elective/appointed service https://regents.umich.edu/uploads/bylawsrevised_02-12.pdf
  • UM SPG 201.12, related to misconduct and discipline;
  • UM SPG 201.23, related to hiring of relatives or those with a close personal relationship;
  • UM SPG 201.85, related to work performed for other University units.

The specific definitions for a potential conflict of interest and potential conflict of commitment in Section II.A of UM SPG 201.65-1 also apply to the procedures described below. Broadly defined, a potential conflict of interest encompasses external ties that may or may appear to improperly bias a staff member’s judgment in performing his or her University job responsibilities. A potential conflict of commitment, broadly defined, encompasses situations in which a staff member’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.

B. Disclosing, Evaluating, and Managing Potential Conflicts of Interest and Conflicts of Commitment

1. Disclosing potential conflicts of interest and conflicts of commitment

Whenever a potential conflict of interest or conflict of commitment exists for a staff member, he or she must promptly disclose it through the University M-Inform system (http://research-compliance.umich.edu/outside-interest-disclosure-process). (UM SPG 201.65-1, Section III.A.3.)

Examples of potential conflicts include but are not limited to:

  • Performing work for other University departments or units for additional pay;
  • Participating in decisions or deliberations where your own personal financial interests are or could be affected;
  • Participating in University decisions or deliberations where a family member is or could be affected, financially or otherwise (Note: As stated in UM SPG 201.65-1, family members include parents, siblings, a spouse or partner, children, and dependent relatives.);
  • Performing activities for non-University entities for pay;
  • Accepting gifts, entertainment, or other items of value from vendors or other third parties that do or have business with the University (also see section B2. Gifts);
  • Accepting an incentive or benefit to provide access to a staff member’s supervisor.
  • Utilizing a private club for school hosted activities or events.

2. Gifts

A potential conflict exists when a vendor, current or potential, gives a gift to a staff member. General University policy prohibits employees from accepting any gift of substantial value from vendors or from students (Regents’ Bylaw 2.16). Irrespective of a gift’s value, it is always a conflict of interest for an employee to accept a gift where the external person or organization intends to create a quid pro quo arrangement with the employee.

3. Evaluating disclosures of potential conflicts of interest or conflicts of commitment

The Chief Administrative Officer shall evaluate all disclosed potential conflicts of interest or conflicts of commitment. The Chief Administrative Officer may require staff members to provide additional information or documentation that may be relevant to evaluating the potential conflict of interest or conflict of commitment.

As needed, the Chief Administrative Officer will consult with appropriate central administrative offices (e.g., Office of the Provost and Executive Vice President for Academic Affairs, Office of Human Resources and Affirmative Action, Office of the Vice President for Research, Office of the Vice President and General Counsel). (See also section B4. Developing plans) As needed, they will also consult with the Dean and/or Associate Deans.

4. Developing plans to manage potential conflicts of interest and conflicts of commitment

When the Chief Administrative Officer has determined that a potential conflict of interest or conflict of commitment exists that must be managed or eliminated, he or she must develop, in consultation with the employee, a recommended plan for managing the potential conflict. The Chief Administrative Officer will then provide the plan to the employee’s supervisor, who has authority for approving it. The supervisor will provide the employee with a copy of the approved conflict management plan and will discuss any related ambiguities or issues that arise.

5. Involving other University individuals or offices, as required

  • Purchasing

When a potential conflict involves a purchase of goods or services, the Chief Administrative Officer must also disclose the conflict to the appropriate staff person in the University’s Office of Purchasing Services, and also to the unit staff member responsible for handling unit purchases. If the Chief Administrative Officer determines that a conflict exists that must be managed or eliminated, he or she will consult with these individuals in developing a plan to manage the conflict.

  • Research

When a potential conflict involves work performed for a research project, the Chief Administrative Officer must inform the head of the research project. If the Chief Administrative Officer determines that a conflict exists that must be managed or eliminated, it is his or her responsibility to ensure, in consultation with the head of the research project, that the conflict management plan does not conflict with requirements related to the research or to research funding.

C. Administering the Policy

1. Record-Keeping and Issues of Confidentiality and Privacy

When personal, financial, or associational documents are provided to the Chief Administrative Officer, the documents shall be securely stored with the relevant record of disclosure in the M-Inform system, accessible only by the Chief Administrative Officer and the Associate Dean for Research. If any other individual has a legitimate business reason to review the documentation, then either the Chief Administrative Officer or the unit supervisor may authorize copies and/or information be provided, as may be required for the stated business purpose. If the Chief Administrative Officer or the supervisor provides copies of information in the files to a staff member, he or she must also ask that staff member to maintain the same level of confidentiality for the copied information as applies to the original information or documents. It is the commitment of the School for Environment and Sustainability to destroy personal written records purged from our files by shredding or other appropriate means, at such a time when expectations for retaining personal documents have expired.

Documentation of the staff member’s disclosure and action taken shall be included within the M-Inform disclosure record. The documentation may be as simple as identifying the disclosure and, when no further action is required, including a notation to that effect on the disclosure description.

In some circumstances, the University is required to disclose potential conflicts to people within or outside the University. For example, if a conflict exists within the context of a federally sponsored project, the University is required both to disclose the existence of that conflict (without providing identifying information) to the federal government and to indicate whether it has managed the conflict. Also, the University may be legally required to disclose information in response to requests made under the Michigan Freedom of Information Act (FOIA) https://foia.vpcomm.umich.edu/. In addition to the people listed above, should any other individual have a legitimate educational or business reason to access the confidential records, whether in the context of a federally sponsored project, a FOIA request, or otherwise, the Chief Administrative Officer or the unit supervisor may authorize copies to be provided, or provide oral or written summaries of the information in the file. Where possible, the individual to whom the Chief Administrative Officer or unit supervisor authorizes disclosure shall be required to maintain at least the same level of confidentiality as applies to the original information.

Administrators of this policy will make every reasonable effort to preserve confidentiality and protect the privacy of all parties in the course of investigating a potential conflict of interest or commitment and, if applicable, in developing a plan to manage the conflict. (See Regents’ Bylaw 14.07 Privacy and Access to Information and UM SPG 201.46 Personnel Records – Collection, Retention and Release.)

Any faculty or staff member who becomes aware of an individual who has provided or may have provided unwarranted access to confidential documentation or information, as defined in this policy, should inform the Dean. To follow up, the Dean will investigate the allegation and, where appropriate, take personnel action.

2. Resolving Disputes

When a staff member disputes any action or decision related to a potential conflict of interest or conflict of commitment, the staff member should first ask that the action or decision be reviewed by his or her supervisor.

If, following the above review, the staff member remains unsatisfied with the action or decision, the staff member may initiate existing University policies and procedures for handling disputes, and where applicable, collective bargaining agreement grievance procedures.

3. Conducting Education and Training

Upon hiring into or transfer into the unit, every staff member shall be provided with the SEAS COI/COC implementation policy. In addition, staff will be asked to review the policy at their spring performance evaluation meeting, and sign the performance evaluation form attesting that they have received the policy and understand its requirements. Annually, staff will be notified through the M-Inform system to complete the M-Inform disclosure process. The Chief Administrative Officer will monitor for incomplete disclosures and use the M-Inform system to send reminders to complete the process. 

4. Violations

Any violation of UM SPG 201.65-1 or this implementation policy may be a cause for disciplinary action. In the first instance, the employee’s supervisor shall evaluate the violation and take appropriate action in accordance with existing University policies and procedures. Consultation with the employee’s Human Resources representative may be appropriate. The outcome of the supervisor’s review and any actions taken shall be documented and included within the M-Inform system by the Chief Administrative Officer. If appropriate, all relevant documentation may also be included within the employee’s personnel file maintained as provided under UM SPG 201.46.

5. Policy Review and Revision

The Chief Administrative Officer shall regularly review all potential conflict disclosures and actions taken with the Dean to ensure a consistent approach to potential conflicts within the unit. The Dean shall similarly regularly consult and review potential conflict management issues with the applicable executive officer for the unit. If the Dean determines that any of the changes he or she would like to adopt will materially change the policy, the Dean will follow the procedures used to adopt the original policy https://hr.umich.edu/working-u-m/my-employment/uhr-procedures/20165-1-conflicts-interest-conflicts-commitment. In particular, the Dean will submit any materially revised policy to the Provost for further review and approval, and then to the President for formal adoption. A current version of SEAS’s policy should be on file with the Provost at all times.

D. Other Governing Policies

This policy implements UM SPG 201.65-1, Conflicts of Interest and Conflicts of Commitment, incorporates UM SPG 201.65-1 in its entirety, and includes all elements required under that UM SPG. Implementation of UM SPG 201.65-1 within SEAS requires compliance with other University policies and procedures, including all Regents’ Bylaws and UM SPGs, as well as with any relevant external rules of professional conduct and applicable law. Relevant policies, procedures, rules, and law include, but are not limited to, the following:

  • Regents’ Bylaw 2.16, regarding gifts to University employees https://regents.umich.edu/uploads/bylawsrevised_02-12.pdf;
  • Regents’ Bylaw 5.13, regarding governmental elected or appointed service https://regents.umich.edu/uploads/bylawsrevised_02-12.pdf;
  • Regents’ Bylaw 5.14, regarding leaves of absence https://regents.umich.edu/uploads/bylawsrevised_02-12.pdf;
  • UM SPG 201.12, regarding misconduct and discipline;
  • UM SPG 201.23, regarding appointment of individuals with close personal or external business relationships;
  • UM SPG 201.65, regarding employment outside the University;
  • UM SPG 201.85, regarding special stipends for work performed for other University units, the payment of honoraria, and the payment of travel expenses;
  • UM SPG 500.01, 601.03-2, and 601.11, to the extent that they address appropriate use of University resources, such as the libraries, office space, computers, secretarial and administrative support staff, and supplies;
  • Office of Vice President for Research (OVPR) Policy on Conflict of Interest in Sponsored Research and Technology Transfer Agreements https://research-compliance.umich.edu/conflict-interest-coi;
  • Michigan Compiled Laws § 15.321 et seq., regarding contracts of public employees with their employers.
  • Where applicable, the current collective bargaining agreement for the staff member.

Applies to; Staff

Last Updated Date: Wed, 09/07/2022 - 12:00

Next Review Date: Wed, 01/27/2027 - 12:00

Point of Contact: Jeff Keeler

Contact Email: [email protected]