Non-Research Conflicts of Interest & Commitment and Avoiding Nepotism

Unit Heads are responsible for implementation of university policies 4.14 and 6.14 within their respective units. This includes:   

1. Collecting and retaining disclosures and reports of non-research-related external commitments and interests and circumstances that could create the potential for nepotism; and 
2. Managing such conflicts within the unit.  

Avoiding Conflicts of Interest and Commitment   

To fulfill their responsibilities, the Unit Head (or designee) should provide annual notice to unit staff members to make them aware of their continuing obligations under university policies 4.14 and 6.14. 

Further, the Unit Head (or designee) should develop unit-specific training for employees who are frequently involved in activities considered “at risk” areas for potential conflicts of interest and conflicts of commitment, such as job duties that involve:    

1. the procurement, exchange, or sale of goods, services, or other assets;  
2. the negotiation or formation of contracts or other commitments affecting the assets or interests of the university; 
3. the handling of confidential information and the rendition of professional advice to the university;  
4. holding a part-time appointment, where the potential for conflict may be significant and where the part-time employee to exercise special care in reporting and fulfilling their multiple obligations; or 
5. a specific set of situations relevant to that unit that could create the appearance of or would create an actual or apparent conflict of interest or commitment.   

For more information and resources, including how to identify various types of potential conflicts of interest and commitment, please refer to the resources webpage. 

Additionally, to comply with Policy 6.14 (Avoiding Nepotism), the Unit Head (or Unit Head’s designee) must require disclosure and manage any reported in-line conflicts consistent with the information below under “Managing Reporting-Line Conflicts (Including Avoiding Nepotism).”    

The Unit Head (or the Unit Head’s designee) is responsible for overall management of issues related to conflicts of interests and conflicts of commitment, including potential nepotism within their unit.   

 Apart from the annual attestation assigned to all employees through Workday, the Unit Head may establish additional methods for receiving written disclosures, to include determining the most appropriate and efficient reporting method based on factors such as full-time or part-time status, differing job categories/bands, supervisory authority, or other “at-risk” areas that may give rise to potential, actual, or apparent conflicts of interest or conflicts of commitment.   

HR has developed a standard disclosure form as a resource available for use by employees. At their discretion, however, the Unit Head may choose to make available to unit employees a supplemental disclosure form, survey or questionnaire suited to their unit’s needs and tailored to the specific activities that may represent potential, actual, or apparent conflicts of interest or commitment (not related to research) for that particular unit.   

For example, the Unit Head, however, may require that certain staff within the unit submit a unit-specific disclosure form or survey annually. Note: unit members may be subject to other conflict of interest reporting related to research under policy 1.7. 

The Unit Head (or Unit Head’s designee) or other designated evaluator or committee within the unit (“evaluator”) must evaluate all disclosed potential conflicts of interest or conflicts of commitment and potential for nepotism and, as needed, require relevant additional information or documentation from the disclosing employee. Resolving the conflict in any particular circumstance, may require the affected employee to cease the external interest (or other activity giving rise to the conflict). Employees may be subject to disciplinary action for failure to timely resolve actual and unmanageable conflicts of interests or commitment.   

The Unit Head (or Unit Head’s designee) is responsible for administering approved conflict management plans (CMP) within the unit.  Approved CMPs must be signed and dated and maintained in a manner consistent with the university’s retention policy (University Policy 4.7, Retention of University Records).  

The Unit Head shall require the affected employee to abide by any CMP and shall require disclosure of any change of circumstance that could affect the current conflict management plan. The Unit Head shall notify the affected employee that violation of university policies 4.14, 6.14, or the CMP may be cause for disciplinary action.  

Proper management may require disclosure to other members of the university community of the affected employee’s role in an external entity.   

The Unit Head must investigate cases of non-compliance with the CMP.  

In consultation with their local HR representative, the Unit Head is responsible for applying sanctions to such personnel who have demonstrated disregard for university policies 4.14, 6.14, or relevant CMP. Sanctions may be applied iteratively and may include dismissal from Cornell employment.    

HR has developed a standard conflict management plan template as a resource available for use by Unit Heads.  

• Download Conflict Management Plan

 Per Policy 6.14, family ties and personal affection are not permitted to influence judgments on the quality of work or decisions on hiring, promotion, termination or other terms or conditions of employment.   

In situations where an employee is in the direct line of authority over a family member, or someone with whom they are in a personal relationship, the university official to whom the more senior of the two reports will be the “responsible university official.”  

The “responsible university official” is required to ensure that employment decisions (as defined in policy 6.14) concerning the supervised family member, or individual in a personal relationship, are made objectively, in the university’s interests, and not influenced by personal or family interests of the family members.  

Employees may dispute the determination regarding the disclosure by means of existing applicable university policies and procedures for handling disputes within the unit.  

The Unit Head (or Unit Head’s designee) will retain documentation about disclosures made in connection with resolution of conflicts of interest and conflicts of commitment and, as applicable, the subsequent CMP, all of which must be held as secured personnel records, and subject to the same restrictions of confidentiality. University record retention policies will apply (University Policy 4.7, Retention of University Records).   

The Unit Head (or Unit Head’s designee) will provide annual notice to inform unit employees of their obligations under university policies 4.14 and 6.14, provide information on the unit’s disclosure reporting method(s), and offer available education and training opportunities. The Unit Head (or Unit Head’s designee) should develop unit-specific informational materials and training for staff who are frequently involved in activities considered “at risk” areas for potential conflicts of interest and commitment.    

In evaluating a disclosure, the Unit Head (or Unit Head’s designee) or another designated evaluator or committee within the unit (“evaluator”) will:  

1. Review the disclosure for any potential, actual, or apparent conflict of interest or commitment, as defined in university policies 4.14 or 6.14.  
2. If no potential conflict of interest or conflict of commitment or potential for nepotism exists, the evaluator may determine that no further action is needed beyond issuing a timely written response to the affected employee.    
3. If a potential conflict of interest or conflict of commitment or potential for nepotism exists, the evaluator will assess whether the real or apparent conflicts identified can be managed or, if unmanageable, terminated. If the designated evaluator determines that a potential, actual, or apparent conflict of interest or commitment exists but can be managed, reduced, mitigated, or eliminated, the Unit Head and supervisor will prepare a CMP that contains appropriate measures and protocols to manage or reduce the potential, actual or apparent conflict of interest or  commitment or potential for nepotism.
4. If the designated evaluator and Unit Head determine there is an actual conflict of interest or conflict of commitment that cannot be managed, then the Unit Head will promptly provide the affected employee with written direction on how to resolve the conflict within a certain timeframe and notify the unit’s local HR representative of the determination.   

 In situations where an employee is permitted to hold a direct line of authority over a family member, or someone with whom they are in a personal relationship, the university official to whom the more senior of the two reports (the “responsible university official)” must: 

1. Fully consider potential or current employment (reporting-line) conflicts brought to their attention. 
2. Discuss the conflict with the local human resources (HR) representative and the more senior of the two reports. 
3. Determine how the conflict and the consequential personnel decisions concerning the supervised family member, or individual in a personal relationship, will be managed, and document the agreed-upon plan (“conflict management plan” or “CMP”). 
4. Share the conflict management plan with both family members/individuals and all supervisors. 
5. Retain the conflict management plan in HR files (uploaded into Workday). 
6. Monitor consequential personnel decisions affecting the supervised family member, or individual in a personal relationship.  

For guidance on managing the occurrence and/or appearance of nepotism in reporting lines in the faculty context, please see Guidance on Policy 6.14, Avoiding Nepotism in the Faculty Context.