Conflict of Interest
Policy & Disclosure Process
Member Overview
Purpose
● Overview of the Conflict of Interest Policy
● Requirements for Disclosure
● Steps in the Disclosure Process
Policy
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IRS Requirement:
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Policy with guidelines and principles for reporting
and managing actual, potential and perceived
Conflicts of Interest
Policy approved September, 2009
Assists faculty, staff and students in
maintaining the highest level of integrity in all
University endeavors
Members
In a position to influence or commit University resources
Faculty
Staff
Members
Post-Doctoral
Scholars
Students
Definition
An actual Conflict of Interest arises in a situation where
financial or other personal or professional considerations
compromise an individual’s:
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Objectivity
Professional Judgment
Professional Integrity
Ability to perform responsibilities to the University
Issues
Gray areas:
Potential or Perceived Conflicts of Interest
Could appear to others to be a Conflict of Interest
Individual, Individual’s family or close relation
University commitment to address proactively
Eliminate anyone’s integrity from being questioned
Faculty Example
Scenario #1
A faculty member involved in
sponsored research has a
significant financial interest
in an entity who stands to
gain from the outcome of the
sponsored project
● Objectivity
● Professional Integrity
Staff Example
Scenario #2
A staff member is to take
part in the evaluation and
selection of a supplier from
a number of bidders. One
of the bidding companies is
operated by the person’s
family member.
● Objectivity
● Professional Judgment
Office of General Counsel
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Facilitates the Conflict of Interest Disclosure and
Management Process
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Maintains an electronic disclosure system
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Serves as a resource for the University community
Disclosure Process Overview
Individual
Completes
Disclosure
On-line
Oversight by
Responsible
Parties
University
Conflicts
Committee
Reviews
Designated
Reviewer
Evaluates
Disclosure
Reviewer
Creates
Management
Plan
Disclosure
Oversight
Disclosure
UCC
Member
Disclosure
Requirements
Access to Electronic Disclosure
Annual E-mail
Notification - 15
days to complete
Link Directly in E-mail or:
www.conflictpolicy.disclosure.nd.edu
Update
Disclosure within 15 days
www.conflictpolicy.disclosure.nd.edu
Review
Plan
To an existing actual, perceived or potential Conflict of Interest
When a new interest or activity is identified that may create an actual,
perceived or potential Conflict of Interest
Disclosure
Oversight
Disclosure
UCC
Review
Plan
Update Disclosure examples:
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Acquiring a new financial interest in a third party entity
Proposing new research where the Cayuse system identifies a need
for an update
Serving in a new capacity at the University where the individual’s
interest and activities now may pose a Conflict of Interest
Disclosure
Oversight
Disclosure
Log-in screen:
UCC
Review
Plan
Disclosure
Oversight
Disclosure
UCC
Review
Plan
Disclosure
Oversight
Disclosure
UCC
Review
Plan
Disclosure
Oversight
Disclosure
UCC
Review
Plan
Disclosure
Oversight
Disclosure
UCC
Review
Plan
Disclosure
Oversight
Disclosure
UCC
Review
Plan
Disclosure
Oversight
Disclosure
UCC
Review
Plan
Disclosure
Oversight
Disclosure
UCC
Review
Plan
Disclosure
Oversight
Reviewer Evaluation
UCC
Review
Plan
Reviewer Responsible for:
● Ensuring full and accurate information
● Identifying any actual, potential or perceived conflicts of interest
● Recommending a plan to the UCC to manage any conflicts
When a Disclosure is from a Faculty Member, the Reviewer may elect to
forward the Faculty Member’s disclosure to the Faculty Conflict
Committee (FCC) for review. For additional information on the FCC, refer
to the COI policy at http://policy.nd.edu
Disclosure
Oversight
Reviewer Evaluation
Member
Reviewer
System
Disclosure
Questionnaire
UCC
• 15 days
All Negative
Responses
• 15 days
Disclosure
Process
Complete
Review
Plan
Disclosure
Oversight
Reviewer Evaluation
Member
Disclosure
Questionnaire
Reviewer
UCC
Review
Plan
• Up to15 days
to complete
Any
Affirmative
Responses
Reviewer and Member
University Conflicts Committee
• Up to15 days
to complete
Management
Plan
• Typically
1 week
Response
• Up to 30
days
Disclosure
Oversight
Management Plan
UCC
Manage, Reduce, Eliminate
Scenario #1
Management Plan
A faculty member involved in
sponsored research has a
significant financial interest
in an entity who stands to
gain from the outcome of the
sponsored project
The faculty member has
parameters in the involvement
of the research, additional
oversight by faculty without a
financial interest, or other
steps to eliminate the conflict.
Review
Plan
Disclosure
Oversight
Management Plan
UCC
Manage, Reduce, Eliminate
Scenario #2
Management Plan
A staff member is to take
part in the evaluation and
selection of a supplier from a
number of bidders. One of
the bidding companies is
operated by the staff
member’s family member
The staff member does not
take part in the selection and
evaluation process that
involves her family’s company
Review
Plan
Disclosure
Oversight
Management Plan
UCC
Review
Plan
Disclosure
Oversight
Management Plan
UCC
Review
Plan
Disclosure
Oversight
Management Plan
UCC
Review
Plan
Disclosure
Oversight
UCC Review
UCC
Review
Plan
UCC will determine whether an
actual, perceived or potential
Conflict of Interest exists
Executive VP;
Provost; VP
for Research;
VP & General
Counsel
UCC will approve, amend or veto
the proposed Management Plan
within 30 days
University
Conflicts
Committee
Oversees
Training,
Education
and Policy
Modifications
Request for reconsideration
within 15 calendar days
Ensures
Proper
Management
of all COI’s
Subsequent decision of UCC is
final
Disclosure
Oversight
Oversight
UCC
Reviewer
Oversight
Manager
Member
Management
Plan
12 months
Review
Plan
Integrity
Disclosure Process
No paper form
Individual
Completes
Disclosure
On-line
E-mail notice annually
Oversight by
Responsible
Parties
Designated
Reviewer
Evaluates
Disclosure
Updates on-line
Quick review
Timely follow-up
University
Conflicts
Committee
Reviews
Reviewer
Creates
Management
Plan
Communication
Additional Resources
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Please contact:
Office of the General Counsel
631-6411 or policy@nd.edu
●
Select
in top right corner or visit: http://conflictpolicy.nd.edu
1 - Power point slides with narrative comments
2 - Navigation Guide
3 - Disclosure Guide
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Any technical questions regarding the disclosure system may be directed to the
OIT Help Desk at 631-8111
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Visit http://policy.nd.edu/ to view the University Conflict of Interest Policy in its
entirety