| (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
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