Compliance Requirements
Compliance includes disclosing outside relationships, activities and interests, and following management plans that are put in place to manage and/or monitor actual or potential conflicts. Signatories on management plans, namely Area Designees and Reviewers, play a vital role in monitoring employees' compliance with the College’s policies and with management plans. Ultimately, persistent and intentional violations or non-compliance of our conflict policies or management plans may result in discipline, up to and including termination.
Consequences of Non-Compliance
Persistent and intentional violations or non-compliance with COI policies or management plans may lead to disciplinary action, including termination of employment.
Non-Completion of Required Disclosures or Disclosure Updates
The following steps will be taken if an employee fails to complete required disclosures or updates:
- Email Reminder: An email reminder with a short deadline (3-5 days) will be sent to the employee to submit the disclosure form.
- Formal Written Notice: If the employee does not respond to the email reminder, a formal written notice documenting the violation will be issued. The employee will have 24 hours to complete the disclosure form.
- Final Written Warning & Unpaid Suspension: If the employee does not respond to the formal written notice, a final written warning with notice of unpaid suspension will be issued. The employee will be permitted to return to work only after submitting the disclosure form.
- Termination Notice: After 30 days, a final written notice of termination will be issued.
Non-Adherence to Management Plan
If the Conflict of Interest Committee determines that an employee is not complying with a management plan, the Committee will specify a reasonable period for the employee to become compliant and submit proof of compliance. If the employee fails to do so:
- Email Reminder: An email reminder with a short deadline (3-5 days) will be sent to the employee to submit proof of compliance.
- Formal Written Notice: If the employee does not adhere to the email reminder, a formal written notice documenting the violation will be issued. The employee will have 24 hours to submit proof of compliance.
- Final Written Warning & Unpaid Suspension: If the employee does not respond to the formal written notice, a final written warning with notice of unpaid suspension will be issued. At this point, the employee must suspend work on all College research projects. The employee will be permitted to return to work and resume research only upon approval by the Conflict of Interest Review Committee.
- Termination Notice: After 30 days, a final written notice of termination will be issued.
Non-Compliance with Management Plan
Upon notification of an alleged non-compliance with the COI Policy (failure to adhere to or unauthorized deviation from a management plan), the Conflict of Interest Review Committee will assess the allegation and determine the employee's compliance status within fifteen (15) business days.
- The employee will be notified of the alleged violation within five (5) business days.
- If the employee wishes to contest the allegation, they must provide, within five (5) business days of notification:
- An updated disclosure statement (explaining if the conflict no longer exists).
- A written explanation with any supporting documents.
- If applicable, a proposal to modify the Management Plan.
To determine non-compliance, the COI Committee will consider:
- Statements from individuals reporting the non-compliance.
- If the conflict involves sponsored research and projects, outreach to the investigator's Principal Investigator (PI) or department head to determine if bias is found in the design, conduct, or reporting of research during the non-compliance period.
The Conflict of Interest Review Committee will make a final determination of non-compliance. If non-compliance is found, the Committee or its designee will collaborate with the employee and their area designee to address the issue and develop case-specific action steps. Employees may appeal the non-compliance determination to the relevant policy owners.
If the review identifies bias resulting from non-compliance, the Committee will develop a mitigation report that:
- Details how the scholastic, work, or sponsored activity was compromised by the non-compliance.
- Outlines a Mitigation Action Plan to eliminate or mitigate the bias.
If the Mitigation Action Plan cannot adequately address the issue, temporary suspension or termination of the affected research or contracted projects may be necessary to maintain the integrity of the work.
COI Appeals Process
In the event an employee disagrees or disapproves of the management plan or decision made by the COI Review Committee, the employee may file an appeal to the applicable policy owner, by following the steps below:
- The employee must provide written email notification of their intention to appeal the committee’s decision to the relevant policy owner within two (2) business days of receipt of the management plan or committee decision.
- Within five (5) business days of the receipt of the management plan or committee decision, the employee must provide a detailed response outlining their reason for the appeal, and provide any supporting information or documents to the policy owner.
- The policy owner will review the management plan or committee decision, and the appeal from the employee and make a decision within five (5) business days.
Note: The appeal decision made by the policy owner is final.