Conflict Management Roles and Processes
This content delves into various roles in conflict management, the importance of recognizing conflict situations, understanding conflict management plans, and mechanisms for managing conflicts of interest. It also explores where conflicts may arise in the lifecycle of a project, emphasizing the need for proactive conflict management strategies.
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CREATING CONFLICT MANAGEMENT PLANS LINDA LEE DROZT R E G U L A T O R Y R E S E A R C H C O O R D I N A T O R , O F F I C E O F T H E V I C E C H A N C E L L O R F O R R E S E A R C H MELANIE LOOTS E X E C U T I V E A S S O C I A T E V I C E C H A N C E L L O R F O R R E S E A R C H , O F F I C E O F T H E V I C E C H A N C E L L O R F O R R E S E A R C H
CAN CANDYLAND HELP WITH CONFLICT MANAGEMENT? Navigate the Navigate the Peppermint Forest Peppermint Forest Climb the Gumdrop Climb the Gumdrop Mountains Mountains Identify the Molasses Identify the Molasses Swamp Swamp
OBJECTIVES Understand various roles in conflict management Understand various roles in conflict management Recognition of situations where a Conflict Management Plan is Recognition of situations where a Conflict Management Plan is needed needed Learn about the components of a Conflict Management Plan Learn about the components of a Conflict Management Plan Learn about mechanisms that can be used to manage Learn about mechanisms that can be used to manage apparent conflicts of interest and included in the Conflict apparent conflicts of interest and included in the Conflict Management Plan Management Plan
WHERE WE ARE IN THE LIFECYCLE Disclosure Disclosure processes may processes may identify identify Conflicts of Conflicts of Interest Interest at any point any point in the LIFECYCLE LIFECYCLE Ideally, conflicts are identified prior to Proposal Submission through RNUA or agency-specific disclosure processes at in the Conflicts must be managed prior to Award Acceptance
VARIOUS ROLES IN CONFLICT MANAGEMENT Everyone Everyone Be familiar with the Policy Be familiar with the Policy Faculty and Staff Faculty and Staff annual disclosure of outside activities, other required disclosures, annual disclosure of outside activities, other required disclosures, update when new interests or activities arise update when new interests or activities arise Unit Executive Officer Unit Executive Officer review and approve disclosures of outside activities, approve plans review and approve disclosures of outside activities, approve plans for conflict management, ongoing oversight for conflict management, ongoing oversight Departmental business and HR staff Departmental business and HR staff support the UEO review process and development of support the UEO review process and development of Conflict Management Plans Conflict Management Plans Dean Dean second level of review and approval for disclosures, Conflict Management Plan second level of review and approval for disclosures, Conflict Management Plan Director of Graduate Studies Director of Graduate Studies oversee issues with student involvement oversee issues with student involvement Pre Pre- -Award Grants and Contracts Award Grants and Contracts ensure disclosure and COI management is in place prior ensure disclosure and COI management is in place prior to award to award
DEFINITION OF CONFLICT OF INTEREST A conflict of interest exists when an academic staff member is in a position to advance his/her own interest or that of others to the University s detriment A conflict of commitment arises when the external activities of an academic staff member are so demanding of time or attention that they interfere with the individual s responsibilities to the University
CONFLICT OF INTEREST MANAGEMENT The Unit Executive Officer works with the academic The Unit Executive Officer works with the academic staff member to identify and evaluate potential staff member to identify and evaluate potential conflicts and to manage or eliminate them. conflicts and to manage or eliminate them. Identification of conflicts is facilitated by prompt Identification of conflicts is facilitated by prompt disclosure, by the annual Report of Non disclosure, by the annual Report of Non- -University Activities, by other disclosure processes mandated by Activities, by other disclosure processes mandated by federal regulations, and by helpful colleagues who federal regulations, and by helpful colleagues who contact the UEO or the COI Office. contact the UEO or the COI Office. University
POTENTIAL CONFLICTS OF INTEREST NEEDING MANAGEMENT Company in which University employee has an interest Company in which University employee has an interest Licenses University IP (requires COI plan requires COI plan) Sponsors research, technical testing or other activity at the University (requires COI plan University contracts with a business in which a University employee has significant interest University contracts with a business in which a University employee has significant interest A Professor s start A Professor s start- -up company employs University students or other University employees up company employs University students or other University employees Teaching or other employment at another university Teaching or other employment at another university (generally not permitted) University resources University resources are used to support research for a company in which the employee has a are used to support research for a company in which the employee has a financial interest financial interest Spending Spending more than 1 day per week on outside activities (relative to appointment) more than 1 day per week on outside activities (relative to appointment) Immediate family members Immediate family members are paid on a sponsored project are paid on a sponsored project Students involved in faculty consulting activity Students involved in faculty consulting activity requires COI plan) (generally not permitted)
WHEN IS A COI MANAGEMENT PLAN NOT NEEDED? When the level of outside activity is low and none of the above conditions When the level of outside activity is low and none of the above conditions apply, conflicts of interest and commitment may be managed by disclosure apply, conflicts of interest and commitment may be managed by disclosure and approval of the disclosure, or by creating an MOU between the and approval of the disclosure, or by creating an MOU between the employee and the UEO. employee and the UEO. Employee has private consulting business Employee has private consulting business Employee farms and has farm income Employee farms and has farm income Employee has significant financial interest in a company that contracts Employee has significant financial interest in a company that contracts with the University, but with no connection to his/her University with the University, but with no connection to his/her University responsibilities (e.g., Kraft stock ownership, IBM stock ownership) responsibilities (e.g., Kraft stock ownership, IBM stock ownership)
IS THE POTENTIAL CONFLICT OF INTEREST MANAGEABLE? Is the activity in the best interest of the University? Is the activity in the best interest of the University? Is the activity compatible with the individual s University responsibilities? Is the activity compatible with the individual s University responsibilities? Is it possible to prevent detriment to the University s interest? Is it possible to prevent detriment to the University s interest? Can the activity be kept separate from the individual s University Can the activity be kept separate from the individual s University responsibilities? (can you keep it on the Ice Cream Floats?) responsibilities? (can you keep it on the Ice Cream Floats?) Can the conflict be managed with mechanisms that are relatively Can the conflict be managed with mechanisms that are relatively straightforward to implement? straightforward to implement? Any concern with the employee s current performance? Any concern with the employee s current performance? Public perception or any other concerns? Public perception or any other concerns?
ITS OK TO SAY NO 1. 1. Remember DARE? Remember DARE? 2. 2. The UEO has the responsibility to The UEO has the responsibility to deny s/he believes that it is not manageable. s/he believes that it is not manageable. 3. 3. If the UEO feels the activity is not manageable, there is no need to If the UEO feels the activity is not manageable, there is no need to develop a Conflict Management Plan. develop a Conflict Management Plan. 4. 4. Thus, the UEO needs to be consulted early in the process. Thus, the UEO needs to be consulted early in the process. 5. 5. The employee may appeal to the next level (see COI Policy). The employee may appeal to the next level (see COI Policy). deny permission for an outside activity if permission for an outside activity if
CONFLICT MANAGEMENT STEPS THE PEPPERMINT FORREST 1. 1. Full disclosure in writing by the employee (using RNUA form is recommended) Full disclosure in writing by the employee (using RNUA form is recommended) 2. 2. Approval of the activity by the UEO Approval of the activity by the UEO 3. 3. Conversation among the UEO, COI office staff, unit administrator(s), the employee(s) Conversation among the UEO, COI office staff, unit administrator(s), the employee(s) 4. 4. Conversation with the Directors of Undergraduate and/or Graduate Studies if students Conversation with the Directors of Undergraduate and/or Graduate Studies if students are potentially involved are potentially involved 5. 5. Possible consultation with Possible consultation with A. A. Office of Sponsored Programs Office of Sponsored Programs B. B. Office of Technology Management Office of Technology Management C. C. University Legal Counsel University Legal Counsel D. D. CEO or other management from the outside entity can be helpful CEO or other management from the outside entity can be helpful E. E. Other units or departments as needed Other units or departments as needed Dean, Provost, Research Institute Dean, Provost, Research Institute
STEPS IN CREATING A CONFLICT MANAGEMENT PLAN, CONT. 6. 6. Employee provides background Employee provides background A. Status of the company or other activity B. Status of any licensing arrangements with the University C. Business aims of the company or goals of other activity D. Expected time commitment E. Anticipated involvement of students or other University employees F. Anticipated desire to use University resources, possible technical testing or facilities use agreement G. Anticipated sponsored activity between the University and the company H. Relationship between the employee s university responsibilities and the outside activity I. Any current or potential future sponsored funding from the Public Health Service J. Any concerns the employee may have
CLIMB THE GUMDROP MOUNTAINS - DRAFT A PLAN Business staff in the unit draft the Conflict Management Plan, Business staff in the unit draft the Conflict Management Plan, with the assistance of the COI Office. with the assistance of the COI Office. A template is available A template is available A questionnaire to collect information on the activity is in A questionnaire to collect information on the activity is in preparation preparation
SECTIONS OF A TYPICAL CONFLICT MANAGEMENT PLAN 1. 1. Background Background 2. 2. Management of Employee Conflict of Commitment Management of Employee Conflict of Commitment 3. 3. Managing Conflicts of Interest Concerning Involvement of Other University Personnel Managing Conflicts of Interest Concerning Involvement of Other University Personnel 4. 4. Relationship between the Outside Activity and the Employee s University Responsibilities Relationship between the Outside Activity and the Employee s University Responsibilities 5. 5. Management of Conflicts of Interest Concerning Use of University Resources or Intellectual Management of Conflicts of Interest Concerning Use of University Resources or Intellectual Property Property 6. 6. Management of Conflicts of Interest Relating to Human Subjects Research (when applicable) Management of Conflicts of Interest Relating to Human Subjects Research (when applicable) 7. 7. Review cycle and Reporting Review cycle and Reporting 8. 8. Attachments Attachments 9. 9. Signatures of Approval (Employee, UEO(s), Dean(s), Institute Director (if applicable), members of Signatures of Approval (Employee, UEO(s), Dean(s), Institute Director (if applicable), members of the Management Oversight Committee, OVCR) the Management Oversight Committee, OVCR)
MANAGEMENT MECHANISMS THAT MAY BE INCLUDED IN PLAN 1. 1. Disclosure Disclosure 2. 2. Monitoring Monitoring 3. 3. Oversight committees or review panels Oversight committees or review panels consider frequency of meetings 4. 4. Disclosure in publications and presentation Disclosure in publications and presentation 5. 5. Pre Pre- -review of publications and presentations review of publications and presentations 6. 6. Recusal from decisions Recusal from decisions 7. 7. Divesting financial interests Divesting financial interests 8. 8. Leave of absence or reduction in appointment Leave of absence or reduction in appointment Or you can be creative . Or you can be creative . consider frequency of meetings
MORE MANAGEMENT MECHANISMS Special attention to students and employees involved in the outside activity Special attention to students and employees involved in the outside activity communication with OVCR to ensure that they have a contact outside the unit in case of communication with OVCR to ensure that they have a contact outside the unit in case of problems or concerns problems or concerns If students are involved in the outside activity and also enrolled in a course taught by the If students are involved in the outside activity and also enrolled in a course taught by the employee, special oversight of grading should be implemented employee, special oversight of grading should be implemented Other university staff should not be involved in scheduling meetings, making copies, Other university staff should not be involved in scheduling meetings, making copies, processing orders, answering phone calls, etc. regarding the outside activity processing orders, answering phone calls, etc. regarding the outside activity If family members are involved in sponsored projects, ensure that this is in compliance If family members are involved in sponsored projects, ensure that this is in compliance with the with the Policy on Employment of Relatives Policy on Employment of Relatives and that appropriate oversight is in place and that appropriate oversight is in place Travel associated with the outside activity should be clearly separated from travel Travel associated with the outside activity should be clearly separated from travel associated with University responsibilities associated with University responsibilities
FINAL STEPS WATCH OUT FOR THE MOLASSES SWAMP* 7. 7. Management Oversight Committee and UEO meet with the employee and review the plan Management Oversight Committee and UEO meet with the employee and review the plan 8. 8. *Obtain signatures of approval *Obtain signatures of approval electronic signatures are OK electronic signatures are OK 9. 9. OVCR signs off last OVCR signs off last 10. 10.OVCR distributes copies of the plan to OVCR distributes copies of the plan to A. All signatories B. OSP C. OTM D. Purchasing E. Others as needed 11. 11. Revise the Plan when significant changes in activity occur Revise the Plan when significant changes in activity occur
COMPLEX RELATIONSHIPS Outside activities are often beneficial, and we work hard on conflict Outside activities are often beneficial, and we work hard on conflict management, but remember management, but remember if the Conflict Management Plan is too if the Conflict Management Plan is too complex, it may not be feasible complex, it may not be feasible the plan has to be followed, not just written the plan has to be followed, not just written down. down.
MULTIPLE EMPLOYEES FROM ONE UNIT INVOLVED IN ACTIVITY UEO determines whether to have a single Conflict Management UEO determines whether to have a single Conflict Management Plan for the activity OR a plan for each individual Plan for the activity OR a plan for each individual Separate plans for faculty and academic professionals may be Separate plans for faculty and academic professionals may be advisable advisable Company business should be conducted Company business should be conducted outside Plan may specify that discussions be scheduled offsite Other university staff should not be involved in scheduling meetings, making copies, answering phone calls, etc. outside the workplace the workplace
MULTIPLE EMPLOYEES FROM DIFFERENT UNITS Consult the UEOs to determine The best home unit for the Conflict Management Plan One Conflict Management Plan for the activity, or one plan per employee? A common committee for all participants, or separate committees? Separate plans for faculty and academic professionals may be advisable Expectations are generally different Management mechanisms may differ Keep all UEOs and institute directors informed
WHEN THE EMPLOYEE HEADS AN INSTITUTE OR LABORATORY? If the employee is the head of a research institute reporting to If the employee is the head of a research institute reporting to a Dean, Vice Chancellor, or Provost, then the conflict a Dean, Vice Chancellor, or Provost, then the conflict management should be developed in consultation with the management should be developed in consultation with the Dean, VC, or Provost. Dean, VC, or Provost. Generally we would expect that the oversight committee would Generally we would expect that the oversight committee would report to the Dean, VC or Provost report to the Dean, VC or Provost The UEO(s) of the home unit(s) of the employee should approve The UEO(s) of the home unit(s) of the employee should approve the plan and be consulted as the plan is developed, informed the plan and be consulted as the plan is developed, informed of management oversight discussions, etc. of management oversight discussions, etc.
WHAT IF THE UEO IS CONFLICTED? The Conflict Management Plan may be The Conflict Management Plan may be Administered by the College Assigned by the College to another Unit to administer
WHAT IF THE DEAN IS CONFLICTED? Provost will work with the COI Office to develop a conflict management Provost will work with the COI Office to develop a conflict management strategy that does not involve the Dean. strategy that does not involve the Dean. For example, a management oversight committee could be composed of a For example, a management oversight committee could be composed of a number of other Deans and/or very senior faculty. number of other Deans and/or very senior faculty.
