Current through Reg. 49, No. 38; September 20, 2024
(a) If an Oversight Committee Member or a
Program Integration Committee Member has a Conflict of Interest as described in
this chapter with respect to an entity or Grant Application that comes before
the individual for review or other action, the Member shall:
(1) Provide written notice of the Conflict of
Interest to the Chief Executive Officer and the presiding officer of the
Oversight Committee (or the next ranking member of the Oversight Committee if
the presiding officer has the Conflict of Interest). For purposes of this
requirement, an Oversight Committee member or Program Integration Committee
member who designates the Conflict of Interest on the secure website provided
to review the recommended Grant Awards is deemed to have provided written
notice;
(2) Disclose the Conflict
of Interest in an open meeting of the Oversight Committee; and
(3) Recuse himself or herself from
participation in the review, discussion, deliberation and vote on the entity or
Grant Application, including access to information regarding the matter to be
decided, unless a waiver has been granted pursuant to §
702.15
of this chapter (relating to Investigation of Unreported Conflicts of Interest
Affecting the Grant Review Process).
(b) If a Scientific Research and Prevention
Programs Committee Member has a Conflict of Interest as described in this
chapter with respect to a Grant Application that comes before the individual
for review or other action, the member shall:
(1) Provide written notice of the Conflict of
Interest to the Chief Executive Officer. For purposes of this requirement, a
Scientific Research and Prevention Program Committee Member who designates the
Conflict of Interest on the secure website provided to review the Grant
Applications is deemed to have provided written notice; and
(2) Recuse himself or herself from any
participation in the review, discussion, scoring, deliberation and vote on the
Grant Application, including access to information regarding the matter to be
decided unless a waiver has been granted pursuant to §
702.15
of this chapter.
(c)
Some Conflicts of Interest are such that the existence of a conflict with a
Grant Applicant applying for a Grant Mechanism raises the presumption that the
conflict may affect the individual's impartial review of other Grant
Applications pursuant to the same Grant Mechanism in the Grant Review Cycle.
The Institute has determined that the existence of one or more of the following
Conflicts of Interest for an Oversight Committee Member, Scientific Research
and Prevention Programs Committee Member, Program Integration Committee Member,
Institute employee, Independent Contractor or a Relative of an individual
subject to this rule shall require recusal of the individual from participating
in the review, discussion, scoring, deliberation and vote on all Grant
Applications competing for the same Grant Mechanism in the entire Grant Review
Cycle, unless a waiver has been granted pursuant to §
702.15
of this chapter:
(1) The individual subject
to this provision is an employee of a Grant Applicant;
(2) The individual subject to this provision
is actively seeking employment with a Grant Applicant. For the purposes of this
paragraph, "actively seeking employment" includes activities such as submission
of an employment application, resume, curriculum vitae, or similar document
and/or interviewing with one or more representatives from the organization with
no final action taken by the organization regarding consideration of such
employment;
(3) The individual
subject to this provision serves on the board of directors or as an elected or
appointed officer of a Grant Applicant or a foundation or similar organization
affiliated with the Grant Applicant; or
(4) The individual subject to this provision
owns or controls, directly or indirectly, an ownership interest in a Grant
Applicant or a foundation or similar organization affiliated with the Grant
Applicant. Interests subject to this provision include sharing in profits,
proceeds, or capital gains. Examples of ownership or control, include but are
not limited to owning shares, stock, or otherwise, and are not dependent on
whether voting rights are included.
(d) If an Institute Employee or independent
contractor involved in the Grant Review Process has a Conflict of Interest as
described in this chapter with respect to a Grant Application that comes before
the individual for review or other action, the Institute Employee or
independent contractor shall:
(1) Provide
written notice to the Chief Executive Officer of the Conflict of Interest;
and
(2) Recuse himself or herself
from participation in the review of the Grant Application and be prevented from
accessing information regarding the matter to be decided, unless a waiver has
been granted pursuant to §
702.15
of this chapter.
(e) The
Institute shall retain supporting documentation regarding the implementation of
its Conflict of Interest policy and actions taken to exclude a conflicted
Oversight Committee Member, Program Integration Committee Member, Scientific
Research and Prevention Programs Committee Member or Institute Employee from
participating in the review, discussion, deliberation and vote on the Grant
Application.
(1) The supporting documentation
retained by the Institute may be stored by the Institute's electronic Grant
Management System.
(2) For purposes
of this rule, "supporting documentation" may include Conflict of Interest
agreements, Conflict of Interest disclosure forms, action taken to address a
previously unreported Conflict of Interest after its existence is determined,
approved waivers, sign-out sheets, independent third party observation reports,
post-review certifications and Oversight Committee meeting minutes.
(3) All supporting documentation shall be
publicly available, except that information included in the supporting
documentation that is otherwise protected by Chapter 552, Texas Government Code
may be redacted.
(f)
Individuals subject to this chapter are encouraged to self-report. Any
individual who self-reports a potential Conflict of Interest or any impropriety
or self-dealing, and who fully complies with any recommendations of the General
Counsel and recusal from any discussion, voting, deliberation or access to
information regarding the matter, shall be considered by the Institute to be in
compliance with this chapter. The individual is still subject to the operation
of other laws, rules, requirements or prohibitions. Substantial compliance with
the procedures provided herein constitutes compliance.
(g) Intentional violations of this rule may
result in the removal of the individual from further participation in the
Institute's Grant Review Process.
