This policy sets forth procedures
and guidelines to be followed in resolving actual
and potential grant applicants’ conflicts
of significant financial interests pertaining
to grants and sponsored research projects funded
by:
-
Commercial
sponsors.
-
Federal
agencies having specific conflicts of interest
requirements.
-
Purchase
orders and subcontracts issued or received
by Duquesne University for such projects.
This policy specifically addresses conflicts
of significant financial interests, situations
in which grant applicants may have the opportunity
to influence the University’s business
decisions in ways that could lead to personal
gain or give improper advantage to themselves,
co-applicants, or their spouses or dependents.
Such conflicts could affect the design, conduct
or reporting of research results. A financial
interest is defined as a monetary value, including,
but not limited to, salary or other payments
for services (e.g. consulting fees or honoraria);
equity interests (e.g. stocks, stock options,
or other ownership interests); and intellectual
property rights (e.g. patents, copyrights, royalties
from such rights).
When the University engages in or intends to
engage in a sponsored project with an external
organization, or has subcontracted or intends
to subcontract with an external organization
under a sponsored project, a significant conflict
of financial interest may occur when a grant
applicant’s affiliation with the external
organization meets any of the following criteria:
-
The grant
applicant is an officer, director, partner,
trustee, employee, advisory board member,
consultant or agent of the external organization
or corporation either funding a sponsored
project or providing goods and services under
a sponsored project on which the applicant
is participating in any capacity.
-
The grant
applicant is the actual beneficial owner of
more than five percent (5%) of the voting
stock or controlling interest in such organization
or corporation.
-
The grant
applicant has dealings with such organization
or corporation from which he/she derives income
of more than $10,000 per year, exclusive of
dividends and interest.
-
The grant
applicant or co-applicant has relationships
with such outside organization that might
influence the University’s dealings
in ways leading to personal gain or improper
advantage for the applicant or co-applicant’s
spouses or dependents.
-
The grant
applicant or co-applicant intends to use for
personal profit unpublished information emanating
from sponsored agreements or confidential
University sources, or intends to assist the
outside organization by giving it exclusive
access to such information, or intends to
provide consulting services for the outside
organization that impose obligations upon
the applicant or co-applicant that conflict
with the University’s patents and intellectual
property policies or the University’s
obligations under sponsored projects agreements.
-
The grant
applicant’s or co-applicants’
spouses or dependents (dependent children
or other relatives living at the same address
as the applicant or co-applicant) meet any
of the criteria stated in 1-5 above.
Each grant applicant and co-applicant participating
in a sponsored project covered by this policy
must disclose whether or not he/she has external
affiliations that may constitute a conflict
as described above. A Disclosure Form (Attachment
A) is to be completed and submitted to the Office
of Research at the same time the required Transmittal
Form is submitted for institutional approval.
The Disclosure Form must be updated on an annual
basis and whenever new financial interests are
secured. Negative disclosures will be filed
in the Office of Research, with no further review
required. Positive disclosure forms will be
reviewed by a Conflict Review Committee consisting
of the General Counsel, the Director of Sponsored
Research, and one faculty representative. The
review must be completed prior to the University’s
acceptance of the sponsored project or issuance
of purchase orders or subcontracts for the acquisition
of goods and services.
In reviewing positive disclosures, the Conflict
Review Committee will be guided by the following:
-
Assure adherence
to relevant state law and University policies
as contained in the Faculty Handbook, the
University Administrative Policy Manual, and
University University Executive Resolutions.
-
Consider
the nature and extent of the financial interests
in the relationship of the applicant, co-applicants
and their spouses or dependents and the external
organization.
-
Give special
consideration to the terms and condition of
sponsored project agreements that may mitigate
or complicate the given situation.
-
Consult
with and obtain additional information from
the applicant or co-applicant as either the
Conflict Review Committee or the applicant
or co-applicant may feel helpful in resolving
actual or potential conflicts.
-
Act in a
timely manner so as not to delay unduly the
conduct of a sponsored project.
-
Identify
possible actions the University might take
to ensure that conflicting financial interests
will be appropriately managed, reduced or
eliminated.
Based on the Conflict Review Committee’s
recommendation, the University may take one
of the following actions:
-
Accept the
sponsored project award.
-
Not accept
the sponsored project award.
-
Accept the
sponsored project award subject to suitable
modifications in the award document or in
the applicant’s, co-applicants’,
or their spouses’ or dependents’
affiliation with the external organization
involved. Such modifications might include:
-
Making public
disclosure of the financial interests.
-
Review of
data and research results by in-house independent
reviewers identified by the committee and
the applicant(s).
-
Modification
of the research plan.
-
Disqualification
from participation in a portion of the research.
-
Divestiture
of significant financial interests.
-
Severance
of relationships that create actual or potential
conflicts.
If the grant applicant or co-applicant(s) are
dissatisfied with the Conflict Review Committee’s
findings, the applicant may appeal to the President
of the University, or his/her designee, who
will consult with the applicant and the Conflict
Review Committee as deemed necessary and appropriate
to the particular circumstance. The decision
of the President upon appeal shall be final.
Violations of this policy, such as willful
concealment of financial interests, or failure
to comply with agreed upon modifications to
manage, reduce or eliminate financial interests,
may result in sanctions being imposed upon the
violating individual(s) in accordance with appropriate
University policy.
The Office of Research shall maintain records
pertaining to each disclosure. Access to such
records will be limited to the applicant(s),
the Conflict Review Committee, the President
(or his/her designee) and others who have a
legal right to review the records. Certain sponsors,
particularly federal agencies, may have requirements
that differ from this policy with regard to
the timing and frequency of disclosures and
other conflict considerations as well. In the
case of such discrepancies, the sponsors’
requirements will generally prevail.
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