D. Implementation of the Conflict of Interest Policy
Initial Campus Review
As detailed in Section D.1.b below, each campus and each University Services area shall appoint an individual (the “Conflict of Interest Officer”) who shall be responsible for:
distributing, collecting and reviewing the disclosure forms required by Section C of the Policy;
determining if conduct governed by Sections B.1 and B.2 of the Policy will be permitted, and if so, under what, if any, restrictions or limitations. Appropriate restrictions and limitations may include, without limitation, public disclosure of significant financial interests, monitoring of research by independent reviewers, modification of the research plan, divestiture of significant financial interests, severance of relationships that create actual or potential conflicts, and disqualification from participation in all or a portion of the research or other activity;
determining whether a Financial Conflict of Interest exists as specified in Appendices B and C to the Policy, if applicable;
determining whether alleged noncompliance or breach of the Policy has occurred;
transmitting appeals of his or her determinations under Section D.1.a(2) and (3) above to the appropriate individual referenced in Section D.2.c(1) of the Policy;
transmitting his or her determinations under Section D.1.a(4) above, and any appeal of such determinations, to the University Conflict of Interest Committee for action in accordance with Section D.2.c(2) of the Policy.
All determinations made under Sections D.1.a(2), D.1.a(3) and D.1.a(4) above shall be communicated to the affected party in the form of a written statement that sets forth the basis for the decision.
In the case of the Main Campus, the Medical Center and the Law Center, the Executive Vice President for the respective campus shall appoint the Conflict of Interest Officer referenced in D.1.a above. In the case of the University Services areas, the Senior Vice President and Chief Operating Officer shall appoint the Conflict of Interest Officer referenced in D.1.a above. Specific information regarding individual appointments for each campus and University Services area may be accessed at http://policies.georgetown.edu/conflictofinterest.
Conflict of Interest Officers shall submit their disclosure forms, and any request to engage in conduct covered by Section B.1 or Section B.2 of the Policy, to the Executive Vice President or Senior Vice President responsible for their appointment, who shall discharge the review functions referenced in D.1.a above with regard to the Conflict of Interest Officer.
University employees who are subject to the Code of Conduct for the Officers and Senior Administrators of Georgetown University (“Code of Conduct”) shall make initial, subsequent and annual disclosures as required by the Code of Conduct to the Secretary of the University, who holds an appointment from the University Board of Directors and is vested with the duty and authority of the conflict of interest officer under the Code of Conduct.
The University Conflict of Interest Committee
Composition The University Conflict of Interest Committee (the Committee) shall consist of seven (7) principal members, three (3) appointed from the ranks of the full-time fauclty, three (3) appointed from the ranks of campus non-faculty employees, and one (1) appointed by the Senior Vice President and Chief Operating Officer as detailed below.
The Faculty Senate shall select or elect the three (3) faculty members, one (1) from the Main Campus, one (1) from the Medical Center, and one (1) from the Law Center.
The Executive Vice Presidents of the three campuses shall each appoint one (1) non-faculty member from their respective campuses.
The Senior Vice President and Chief Operating Officer shall appoint one (1) individual from a University Services area.
The following personnel or their designees (designees must be appointed for a full term) shall also serve as advisors to the Committee in the prescribed circumstances:
the director of the sponsored programs office of the campus from which the issue originates when the matter at issue involves sponsored program support; the Vice President for Technology Commercialization of the Office of Technology Licensing when the matter at issue involved the transfer of intellectual property; the Conflict of Interest Officer who made the determination that has been appealed to the Committee.
Seven (7) alternate Committee members, to serve when principal members are unavailable in adequate number, shall also be appointed with the Faculty Senate selecting or electing one (1) faculty member from each of the three campuses, the Executive Vice Presidents appointing one (1) non-faculty member from their respective campuses and the Senior Vice President and Chief Operating Officer selecting one (1) individual from a University Services area.
The normal terms of service for members, whether principal or alternate, elected or appointed, is three years. Members, with the exception of the ex officio members, are not eligible to serve more than two terms consecutively. Terms commence on July 1 and expire on June 30, but a member may continue to participate in any case pending on the date his or her term expires. The University President shall appoint from the members of the Committee a Chair and Vice Chair to serve three years each.
Duties of the Committee
set policies for conflict of interest consistent with this document;
conduct annual reviews of the past year’s decisions to allow conduct covered by Section B.1 and Section B.2;
establish specific requirements for the disclosure forms described in Section C of the Policy;
develop and publish procedures supplemental to those set forth in the Policy for implementing the disclosure and approval process; and
make final determinations in matters appealed to the Committee in accordance with Section D.2.c(1) or Section D.2.c(2) of the Policy.
Committee Case Disposition
Committee decisions regarding compliance with this Policy fall under two separate headings. Class I covers cases in which a person appeals a decision by the individual designated under Section D.1 of the Policy to disallow or restrict conduct covered by Section B.1 or B.2 of the Policy where such a decision has in turn been upheld by the relevant official described in Section D.2.c(1) below. Class II covers cases in which an allegation has been made that a person has violated the Policy and may therefore be subject to disciplinary measures.
Decisions in Class I cases are final and not subject to Faculty or other relevant grievance code procedures, but proposed or actual administrative actions pursuant to Class II decisions are subject to such procedures. All decisions of the Committee shall be in the form of a written statement setting forth the basis for the decision and shall be by majority vote of those voting, with a majority of the Committee constituting a quorum. Persons who are the subject of cases shall have the right to ask the chair of the Committee to replace any member for actual or apparent bias.
Class I Cases
Decisions of a Conflict of Interest Officer to disallow or restrict conduct covered by Section B.1 or B.2 of the Policy shall, upon request of the affected person, be reviewed by the Executive Vice President or Senior Vice President who appointed the responsible Conflict of Interest Officer. Decisions by these reviewers or by the University Secretary pursuant to Section D.1.b above to allow such conduct shall be final and not subject to appeal. Decisions by these reviewers or by the University Secretary pursuant to Section D.1.b to disallow or restrict such conduct may be appealed to the Committee. All decisions on review shall be provided to the affected party and shall be in the form of a written statement setting forth the basis for the decision. Pending review of a decision under this subsection, the responsible Conflict of Interest Officer or the Secretary may require such interim action, such as disallowing or restricting conduct under a federal award, as he or she deems necessary to comply with federal regulations or serve the best interests of the University.
The Committee will decide appeals in accordance with this Policy and with the policies established from time to time by the Committee. The Committee shall endeavor to develop a consistent body of decisions that can guide the Committee in future deliberations on similar cases. All decisions of the Committee shall be provided to the affected person and shall be in the form of a written statement setting forth the basis for the decision. Decisions of the Committee shall be transmitted by the Committee to the University President and shall be final unless overruled within thirty (30) days by the President. Any decision by the President to overrule a decision of the Committee shall be in the form of a written statement setting forth the basis for the President’s action.
Except as provided in the Policy, all information generated or used in the proceedings of the Committee shall be held in strictest confidence. The complete file of the proceedings shall be preserved on a confidential basis in the Office of the Secretary of the University. At the discretion of the Committee, decisions rendered in previous cases shall be available to persons who demonstrate a specific need, such as a need to prepare a case before the Executive Vice President or the Committee, or a need for guidance in determining whether or not to undertake or approve a proposed activity. The Committee shall redact all identifying characteristics when releasing previous decisions.
Class II Cases
When, consistent with Section D.1(a)(6) of this Policy, a Conflict of Interest Officer or the University Secretary transmits to the Committee for action his or her determination that an alleged infraction of the Policy has in fact occurred, or when such a determination is appealed to the Committee by the affected person, the Committee shall review the matter and make its own determination. The initial referral by the Conflict of Interest Officer will be promptly reported by the Committee to the person who has allegedly committed the infraction. The Committee shall receive any written or oral submission that the person may wish to provide within a reasonable time set by the Committee for such submissions, and he or she shall have the right to know the evidence against him or her on which the allegation of an infraction is based. If the Committee upholds the determination that an infraction has occurred, the Committee will make recommendations to the referring Conflict of Interest Officer with regard to further action. Such further action may include without limitation oral admonishment, written reprimand, reassignment, ineligibility for future grants, IRB approval or supervision of graduate students, demotion, suspension with or without pay, or separation. The recommendation made by the Committee to the Conflict of Interest Officer shall be in writing and a copy shall be provided to the affected person. Actions taken subsequently by any campus official on the basis of the Committee’s recommendation shall be subject to review under any relevant provision of an established University grievance procedure.
