Quick Guide for Unit Heads: Processing & Managing Non-Research Conflicts & Nepotism Disclosures

Process

Unit Heads (or designees) should develop and implement unit-level processes that support the following workflow, as applicable:

1. Distribute an annual communication, notifying unit staff of their obligations under policies 4.14 and 6.14.
2. Determine the appropriate additional disclosure/reporting methods for unit staff, as applicable to job functions.
3. Develop internal communications requesting self-reporting to include dissemination and ongoing access to reporting forms or other disclosure methods.
4. Track completion status of disclosure requests.
5. Route completed disclosures – whether completed centrally or locally – to appropriate evaluator(s) if applicable.
6. Formulate, approve, and monitor any conflict management plans.
7. Securely store disclosed information and reporting forms and conflict management plans, including confidential information.
8. Coordinate with the local HR representative to address any conflicts that cannot be managed.

Steps

Consider the following steps in evaluating and managing actual, apparent, or potential conflicts of interest or commitment:

1. Review the submitted disclosures and refer to Policy 4.14 and Policy 6.14, as applicable.
   • Ascertain the nature of the conflict or potential nepotism, keeping in mind the principles contained in policies 4.14 and 6.14.
   • For potential conflicts of commitment, consider whether the employee’s external relationships, activities, or commitments may burden, compete, or interfere with that employee’s primary obligations and commitments to the university, even if the external activity is valuable or contributes to professional development.
   • Refer to Resources for examples of conflicts of interest and commitment and nepotism that may occur in the workplace: Resources webpage
2. Discuss the reported information with the disclosing individuals and obtain any additional information regarding the circumstances of the potential conflict of interest or commitment or potential nepotism.
3. Make an assessment of the situation and surrounding circumstances based on Policy 4.14 and Policy 6.14 principles. Determine whether an actual, apparent, or potential conflict of interest or commitment or potential for nepotism exists and the possible actions to be taken to reduce or eliminate, or otherwise minimize the conflict risk.
   • In determining whether the conflict can be managed, consider whether the external interest or activity is prohibited by university policy and thus, cannot be managed (e.g., unethical business referral, unauthorized use of the Cornell name or logo, unauthorized use of confidential information, unauthorized contracts)
   • If the conflict is manageable, proceed with developing a conflict management plan.
   • If the external interest or activity has already occurred, consult with the local HR representative to determine whether disciplinary action or remediation is needed.
4. Develop and implement the Conflict Management Plan. Make a record of the action plan and maintain appropriate confidentiality of the disclosed information. Retain the plan in the employee’s personnel record.
   • Make sure the plan is complete by including all covered persons and affected units/departments, adequately describing the conflict, including financial and supervisory circumstances, establishing an appropriate enforcement period, and implementing the action steps to manage to mitigate or eliminate the conflict and potential risk or harm to the university.
   • Refer to the Resources website for the Conflict Management Plan template and checklist.
5. Monitor implementation of the Conflict Management Plan periodically and in response to any changes in circumstances. Update and revise the plan accordingly.
6. Discuss any disciplinary issues or concerns with the appropriate local Human Resources representative in the event of non-compliance.