| (a) An Oversight Committee Member, a Program Integration
Committee Member, a Scientific Research and Prevention Programs Committee
Member, or an Institute Employee who becomes aware of a potential
Conflict of Interest described by §702.11 of this chapter (relating
to Conflicts of Interest Requiring Recusal) that has not been reported
shall immediately notify the Chief Executive Officer of the potential
Conflict of Interest. If the potential Conflict of Interest is held
by the Chief Executive Officer, then the report shall be made directly
to the presiding officer of the Oversight Committee. Upon notification,
the Chief Executive Officer must notify the presiding officer of the
Oversight Committee and the General Counsel of the unreported conflict.
(b) A Grant Applicant seeking an investigation regarding
whether an individual subject to this chapter failed to report a Conflict
of Interest described by §702.11 of this chapter shall file a
written request with the Institute's Chief Executive Officer. The
Grant Applicant shall:
(1) Provide all facts regarding the alleged Conflict
of Interest known to the Grant Applicant requesting the investigation;
and
(2) Submit the request for investigation not later
than the 30th day after the Chief Executive Officer presents final
funding recommendations for the affected Grant Review Cycle to the
Oversight Committee. Nothing herein prohibits the Chief Executive
Officer from initiating an investigation if the Grant Applicant fails
to submit the request by the deadline set herein, so long as the Grant
Applicant shows good cause for failing to meet the deadline.
(c) On notification of an alleged Conflict of Interest
under subsection (a) or (b) of this section, the General Counsel shall:
(1) Investigate the matter; and
(2) Provide an opinion to the Chief Executive Officer
and presiding officer of the Oversight Committee. If the alleged conflict
is held by the presiding officer, then the opinion shall be provided
to the next ranking member of the Oversight Committee who has no conflict.
The opinion shall include:
(A) A statement of the facts giving rise to the alleged
conflict;
(B) A determination of whether a Conflict of Interest,
another impropriety, or self-dealing exists; and
(C) If the opinion finds that a Conflict of Interest
or another impropriety or self-dealing exists, then recommendations
for any appropriate course of action.
(d) After receiving the General Counsel's opinion and
consulting with the presiding officer (or, if appropriate, the next
highest ranking Oversight Committee Member), the Chief Executive Officer
shall take immediate actions regarding the recusal of the individual
from any discussion of or access to information regarding the matter
at issue. If the alleged Conflict of Interest is held by the Chief
Executive Officer, the presiding officer of Oversight Committee shall
take actions regarding recusal.
(e) A determination regarding the existence of a Conflict
of Interest involving an individual subject to this chapter shall
be made by the Chief Executive Officer, or by the presiding officer
of the Oversight Committee if the alleged Conflict of Interest is
held by the Chief Executive Officer, and reported to the Oversight
Committee. The determination will be considered final unless three
or more Oversight Committee Members request that the issue be added
to the agenda of the Oversight Committee. The determination must include
actions to be taken, if any, to address the Conflict of Interest,
impropriety, or self-dealing, including:
(1) Reconsideration of the Grant Application; or
(2) Referral of the Grant Application to a different
Scientific Research and Prevention Programs Committee for review.
(f) The Chief Executive Officer or, if applicable,
the presiding officer of the Oversight Committee must provide written
notice of the final determination to the person requesting the investigation,
including a description of further actions to be taken, if any.
(g) Unless specifically stated in the final determination,
the validity of an action taken with regard to a Grant Application
is not affected by the fact that an individual that failed to report
a Conflict of Interest participated in the action.
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