The University Senate of
Michigan Technological University
Proposal 38-11
(Voting
Units: Academic)
“Conflict of Interest Policy Changes”
Chapter 3.
Faculty Rights and Responsibilities
Section 3.1 General Policy
3.1.1
Conflict of Interest/Effort
The federal government is in the process of updating its regulations related to conflict of interest policies and practices related to university activities. These changes are expected to be significant, and will particularly impact public disclosure of conflicts and significant financial interest of individuals. The Vice President for Research and the Office of Research Integrity and Compliance have worked with the Senate Research Policy Committee to revise the Conflict of Interest Policy. The revision provides a policy that is consistent with both current and anticipated regulations, and removes much of the procedural detail that was incorporated into the current policy. Once the final federal regulations are issued, the procedures will be modified for implementation.
Preamble
Conflicts
can be divided into two basic categories. The first covers what many people
traditionally associate with the term conflict of interest--opportunities for
inappropriate personal gain during the pursuit of official duties. These gains
may be financial, but other forms of benefit (power, political advantage, etc.)
might also be involved. Another form of conflict has been labeled conflict of
commitment, and refers to the choices individuals make about their professional
priorities, especially the allocation of their time to the different
institutions and organizations they serve as professionals. Conflicts of
commitment may emerge when outside professional activities take priority over
other professional responsibilities of members of the MTU Michigan Technological University
community to the University.
With
respect to paid members of the MTU Michigan Technological University community, the term "conflict
of interest" as used herein is intended to include "conflicts of
commitment." With respect to volunteers such as members of the Board of
Control, the Tech Fund and Alumni Boards, only those conflicts of a pecuniary
nature are encompassed by the term "conflict of interest."
Statement of General Principles
Upon
becoming a member of the MTU Michigan Technological University community, which includes members of
the Board of Control and other volunteer boards, every individual makes a
commitment to the University. Those who accept full-time University appointments
or employment are expected to accord the University their primary professional
loyalty. Every paid member of the community is expected to arrange their
personal interests and activities so as not to conflict with their commitment
to the University.
This
does not mean that members of the MTU Michigan Technological University community should avoid
involvement in outside activities both public and private. To the contrary,
such involvement often serves the University as a whole and the greater public
interest. A state-funded, public university such as Michigan Tech is expected
to be broadly engaged in meeting the needs of society for its improvement and
enrichment, including the application of new knowledge and improved
technologies. Therefore, Michigan Tech strongly encourages outside professional
activity by faculty, staff, and administrators, for such efforts usually
complement the other responsibilities of members of the Michigan Tech
community. Nothing in this policy should be interpreted as discouraging such
efforts.
Nonetheless,
the efforts of members of the MTU Michigan Technological University community to balance their
commitments of time to the University and to outside professional interests
must result in their primary professional commitment of time being made to the
University. Similarly, avoidance of conflict of interest requires that
individuals not realize gain, financial or otherwise, from the inappropriate
use of University property, funds, equipment, or prestige. Also, individuals
should not realize gain from outside professional interests that would
improperly influence the conduct of their University duties.
Disclosure Required
Conflicts
of interest are inherent in the requirements and expectations placed on members
of academic communities such as Michigan Technological University.
Because
conflicts are unavoidable in many instances, this conflict of interest policy
is designed to assist members of the MTU Michigan Technological University community to recognize
and deal with those real and perceived conflicts that arise. The most basic and
important procedure for achieving both a balance of commitment and preventing
or enabling the University to manage conflicts of interest with financial
implications is full and open disclosure of significant interests and potential
conflicts between an individual's public and official obligations and
responsibilities on the one hand, and outside professional goals and interests
on the other.
Recognizing and disclosing
the existence of conflicts of interest and commitment must be, primarily, the
responsibility of individual members of the Michigan Tech community. Recognizing and disclosing the existence of conflicts of interest and commitment must be, primarily, the responsibility of individual members of the Michigan Tech community. Individuals have to be guided by a sense of
professional responsibility, which must include the recognition that they have
a public trust as employees of a public university and must be sensitive to
potential conflicts. A standard that should be applied in thinking about
conflicts of interest is how matters will appear to an outside third party. In
this respect, actions by individuals should protect the integrity of Michigan
Tech.
To that end, periodic and transactional disclosure of significant financial
interests (as defined by federal regulations) by individual members of the Michigan Tech community allows the
objective determination of whether a financial conflict of interest exists in
any given situation.
Members of the University
community engaged in research and scholarly activities have an additional need
to maintain objectivity and to insure that their personal interests do not
introduce bias inappropriate bias is not introduced into their scholarship. Agencies providing support for
research and scholarly activities may have conflict of interest disclosure and
training requirements, and it is the intent of the University to be in
compliance with those external requirements.
Disclosure allows the
University to identify and address conflicts of interest. Michigan
Technological University has a responsibility to help individuals resolve, or
at least minimize, conflicts of interest. Administrators have a special
responsibility of creating both an environment and the conditions that
encourage full disclosure and the mitigation of conflicts.
Categorization of
Conflicts of Interest
Conflicts of interest at
Michigan Tech are divided into five categories of increasing seriousness:
o
attending professional meetings;
o
writing books, articles, and research reports; or
creating works of art;
o
giving lectures, symposia, speeches, colloquia at
other universities;
o
conducting site visits and program evaluations at
other universities;
o
refereeing manuscripts for journals and
publishers.
Mitigation of Conflicts
No
individual having a direct or indirect financial interest in the outcome of any
decision to be made on behalf of the University, or having a close relative with a direct or
indirect financial interest in the outcome of any decision to be made on behalf
of the University will participate in making that decision, except to the
extent the individual's advice or opinion is requested by others charged with
the responsibility for making such a decision.
Efforts
to resolve and ameliorate conflict of interest shall be handled at the lowest
appropriate administrative level. In most instances, members of the MTU Michigan Tech community
will not need authorization or approval from their immediate supervisors before
engaging in outside professional activities. Certain cases, however, may
require detailed scrutiny and greater care in handling to protect the rights of
all parties. Activities
which fall under Categories III, IV, and V may require review at the University
level.
The
University President Provost shall designate a Conflict of Interest
Coordinator. This individual shall act in accord with this conflict of interest
policy as well as guidelines established by external granting agencies.
Additionally, a University level review committee may be established on a
case-by-case basis to examine the circumstances and provide direction aimed at
insuring the amelioration of inappropriate conflicts of interest.
Annual Report
On an annual basis, the
Conflict of Interest Coordinator will prepare a report to the Board of Control
of the University, the President, Executive Vice President and Provost, Chief
Financial Officer and Members of the Conflict of Interest Committee which will
include a summary of reportable conflict of interest activities during the
previous year.
A copy of this report will
be made available to the University community in the University library.
Violations of University Policy
Michigan
Tech has the authority to take action against individuals who violate conflict
of interest policy. Sanctions, which may include termination, are to be
graduated to reflect the seriousness of the violation. In enforcing this policy
it should be recognized that conflicts are not always blatant; they are not
always easily defined in terms of obvious or absolute rights and wrongs.
Distinctions must be made between neglect, honest oversights, or ignorance of
procedures on the one hand and willful violations on the other,
especially deliberate failures to disclose interests or relationships
that create conflicts of interest. (Board of Control Policy 3.13)
See
Appendix
B, "Interim Conflict of Interest
Procedures" for more information.
Adopted by Senate: 6 April 2011
Approved by Administration with Friendly Amendments (in purple): 19 April 2011
Senate Adopted Friendly Amendments: 20 April 2011