Guideline for Faculty Members and Librarians Regarding Conflicts of Interest and Sexual, Intimate, or Familial Relationships

Introduction

This Guideline provides information for faculty members and librarians about their obligations regarding Conflicts of Interest and Perceived Conflicts of Interest when they have sexual, intimate, or familial relationships with colleagues and/or students.

This Guideline supplements the University’s Policy on Conflict of Interest – Academic Staff and Policy on Conflict of Interest – Librarians and provides additional information to assist faculty members, librarians, and academic administrators identify and resolve Conflicts of Interest and Perceived Conflicts of Interest in relation to sexual, intimate, or familial relationships. The Guideline also references the University’s Policy on Sexual Violence and Sexual Harassment.

As with the underlying Policies, this Guideline applies to University of Toronto faculty members, including adjunct faculty, status-only faculty, clinical faculty, visiting professors, and librarians. Staff members, including teaching assistants, are covered by the Policy on Conflicts of Interest—Administrative Staff and associated Guideline.

1. Conflicts of Interest

a. Definitions

Conflict of Interest:  As set out in the Policy on Conflict of Interest – Academic Staff and the Policy on Conflict of Interest – Librarians, a conflict of interest includes a potential or actual conflict between a faculty member or librarian’s personal or financial interest (or the interests of a Related Person or Related Business) and the faculty member or librarian’s responsibilities to the University.

Perceived Conflict of Interest: A reasonable perception of a conflict between a faculty member or librarian’s personal or financial interest (or the interests of a Related Person or Related Business) and the faculty member or librarian’s responsibilities to the University, even if the faculty member or librarian does not actually exercise influence or decision-making authority that would constitute a Conflict of Interest.

Related Business: Any business or organization in which a faculty member or librarian or Related Person:

  1. has a financial interest;
  2. acts as trustee, director, or officer; or
  3. occupies a position as an employee or agent of the business, or otherwise has responsibility for a segment of the operation or management of the business.

Related Person:  Any person with whom a faculty member or librarian is engaged (or has recently been engaged) in a sexual, intimate, or familial relationship that gives rise to a reasonable apprehension of bias or favouritism. For clarity, favouritism in the workplace between a faculty member or librarian and a Related Person (i.e., nepotism) will amount to a Conflict of Interest or a Perceived Conflict of Interest.

b. Conflicts of Interest and Perceived Conflicts of Interest Involving Colleagues

A faculty member or librarian is in a Conflict of Interest if they are involved in making a decision that may affect either their own personal or financial interests, or the interests of a colleague who is a Related Person, or if they exercise any influence—direct or indirect—in those decisions. A Perceived Conflict of Interest will also arise where there is a reasonable perception of their involvement in these decisions even if they do not exercise influence over the decision.  

Non-exhaustive examples of the types of decisions that may affect interests of a faculty/librarian colleague who is a Related Person include decisions regarding:

  • tenure, continuing status, permanent status, continuing appointments;
  • promotions;
  • Progress Through the Ranks (PTR);
  • peer review;
  • committee appointments;
  • awards;
  • academic administrative appointments; and
  • searches or search waivers or hiring.

Non-exhaustive examples of the types of decisions that may affect the interests of a staff colleague who is a Related Person include decisions regarding:

  • hiring, appointment or promotion;
  • supervision or evaluation; and
  • compensation, benefits or perquisites (“perks”).

For the sake of clarity, teaching assistants (TAs) are staff colleagues when interacting with faculty members or librarians in relation to their TA role. A Conflict of Interest will not arise simply because the faculty member or librarian and the Related Person both serve on the same committee, or where they are each contributing to discussions about third parties.

c. Conflicts of Interest and Perceived Conflicts of Interest Involving Students

A faculty member or librarian is in a Conflict of Interest if they are involved in making a decision that may affect either their own personal or financial interests or the interests of a student who is a Related Person, or if they exercise any influence — direct or indirect — in those decisions. A Perceived Conflict of Interest will also arise where there is a reasonable perception of their involvement in these decisions even if they do not exercise any influence over the decision.

A Conflict of Interest or Perceived Conflicts of Interest with students may not always be preventable or avoidable in circumstances where a familial relationship exists between the student and faculty member/librarian. In those instances, the Conflict of Interest or Perceived Conflict of Interest should be disclosed and will be addressed in accordance with section 3 below.

However, faculty members and librarians are prohibited from, and must avoid, engaging in sexual or intimate relationships with students that amount to a Conflict of Interest or Perceived Conflict of Interest. The failure to do so will result in discipline in accordance with section 7, below.

Non-exhaustive examples of the types of actions that may affect the interests of a student who is a Related Person include actions regarding:

  • supervision/mentorship;
  • grading of work;
  • providing a reference letter;
  • serving on a selection committee;
  • funding decisions;
  • awards decisions; and
  • admission decisions.

2. Power Dynamics

Power dynamics are inherent to institutions of higher learning, particularly with respect to interactions between faculty members or librarians and students, administrative staff, and peers. These power dynamics may impact the ability of a party with inherently less power to decline advances from a party with greater power. The absence of voluntary consent for a sexual or intimate act will result in the act amounting to Sexual Violence as defined in the University’s Policy on Sexual Violence and Sexual Harassment.

3. Responsibility to report and address Conflicts of Interest and Perceived Conflicts of Interest

Faculty members and librarians who are or may be in a Conflict of Interest or Perceived Conflict of Interest must disclose sexual, intimate, or familial relationships with students and must disclose sexual, intimate, and familial relationships with colleagues to the person to whom the faculty member or librarian reports.  

As indicated above, faculty members and librarians are prohibited from, and must avoid, engaging in a sexual or intimate relationship with students that amount to a Conflict of Interest or Perceived Conflict of Interest.

It is the responsibility of the person to whom the faculty member or librarian reports (e.g., a Division Head, Chair, Director, or supervisor) to determine whether a Conflict of Interest or Perceived Conflict of Interest is present, and if so, to address the Conflict of Interest or Perceived Conflict of Interest, in consultation with their Dean’s Office, the Office of the Vice-Provost, Faculty & Academic Life, the Division of People Strategy, Equity & Culture, or the Office of the University Chief Librarian, as relevant depending on the individuals involved. Any Conflict of Interest or Perceived Conflict of Interest should be addressed in a manner which supports those in the less powerful position.  

When a faculty member or librarian discloses a Conflict of Interest or Perceived Conflict of Interest to the person to whom they report, that person should document the disclosure and the steps they took to address the matter.  

4. Addressing undisclosed Conflicts of Interest and Perceived Conflicts of Interest

Where a Division Head, Chair, Director, or supervisor receives information indicating that a faculty member or librarian may have an undisclosed Conflict of Interest or Perceived Conflict of Interest, it is the responsibility of the Division Head, Chair, Director, or supervisor to determine whether a Conflict of Interest or Perceived Conflict of Interest is present, and if so, to address the Conflict of Interest or Perceived Conflict of Interest, in consultation with their Dean’s Office, the Office of the Vice-Provost, Faculty & Academic Life, the Division of People Strategy, Equity & Culture, or the Office of the University Chief Librarian, as relevant depending on the individuals involved. The Division Head, Chair, Director, or supervisor should document the details about the Conflict of Interest or Perceived Conflict of Interest and the steps they took to address the matter.

Prior to making a determination of whether a Conflict of Interest or Perceived Conflict of Interest is present, the Division Head, Chair, Director, or supervisor shall provide the faculty member or librarian involved with an opportunity to respond in writing and/or in a meeting called for that purpose.

5. Addressing Complaints of Sexual Harassment

Any person who brings a complaint of Sexual Harassment or Sexual Violence to the attention of a Division Head, Chair, Director or supervisor should be referred by them to the University’s Sexual Violence Prevention & Support Centre. A Division Head, Chair, Director, or supervisor should consult with the Sexual Violence Prevention & Support Centre before taking any action with regards to a Disclosure or Report pursuant to the Policy on Sexual Violence and Sexual Harassment.

6. Reprisals

The University will not tolerate reprisals or retaliation against anyone who reports a violation of the Conflict of Interest policies or of this Guideline.

7. Violations and Grievances

A faculty member or librarian who fails to abide by this Guideline may be subject to discipline. Reasons for discipline could include, but are not limited to, failure to disclose a Conflict of Interest or Perceived Conflict of Interest, and engaging in a sexual or intimate relationship with a student that amounts to a Conflict of Interest or Perceived Conflict of Interest

Faculty Members appointed pursuant to the Policy and Procedures on Academic Appointments or the Policy and Procedures on Employment Conditions of Part-time Faculty, and Librarians appointed pursuant to the Policies for Librarians, are entitled to grieve the application of this Guideline to them—including the imposition of any discipline—in accordance with Article 7 of the Memorandum of Agreement between the University of Toronto Faculty Association and the Governing Council of the University of Toronto.

Full-time and part-time clinical faculty members may grieve the application of this Guideline to them—including the imposition of any discipline—in accordance with section 5.3 of the Procedures Manual for the Policy for Clinical (MD) Faculty.