Compliance Requirements
Employees and sponsored researchers covered under Teachers College’s Conflict of Interest (COI) policies are responsible for full compliance with the requirments outline within the policies.
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.
Procedures for Non-Completion of Required Disclosures or Disclosure Updates
- An email reminder with a short deadline (within 3- 5 days) prompting the employee to submit a disclosure form.
- A formal written notice documenting the violation will be issued if the employee does not adhere to the email reminder. The employee will be given 24 hours to complete their disclosure form.
- 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 conditioned upon submission of the disclosure form.
- After 30 days, final written notice of termination will be issued.
Procedures for Non-Adherence to Management Plan
If a determination has been made by the Conflict of Interest Committee that an employee is not complying with a Management Plan the Committee will specify a reasonable period of time for the employee to take the actions required to become compliant and submit proof of compliance with the Management Plan and any applicable Mitigation Action Plan. If this is not done:
Note: See Procedures for Noncompliance with Management Plan
- An email reminder with a short deadline (within 3- 5 days) prompting the employee to submit a proof of compliance.
- A formal written notice documenting the violation will be issued if the employee does not adhere to the email reminder. The employee will be given 24 hours to submit proof of compliance.
- 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 time the employee must suspend work on all College research projects. The employee will be permitted to return to work and resume research, conditioned upon approval by the Conflict of Interest Review Committee.
- After 30 days, final written notice of termination will be issued.
Procedures for Noncompliance with Management Plan
Upon notification of an allegation of non-compliance with the Conflict of Interest (COI) Policy, either due to failure to adhere to the management plan or deviation from it without approval, the Conflict of Interest Review Committee will begin an assessment of the allegation, and make a determination within fifteen (15) business days regarding the employee's compliance status.
The employee will be notified within five (5) business days of the alleged violation. If the employee wishes to contest the allegation, they must within five (5) business days of the notification, provide:
- 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 if non-compliance has occurred, the following factors will be considered by the COI Committee:
- Statements by persons reporting the noncompliance.
- If the conflict involves or affects sponsored research and projects, outreach to the investigator's principal investigator (PI) or department head, to determine to what extent, if any, bias is found in the design, conduct, or reporting of research during the time period of non-compliance.
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.
Note: See Appeals Process.
If the review identifies bias resulting from non-compliance, the Committee will develop a mitigation report. This report will:
- Detail how the scholastic, work, or sponsored activity was compromised by the non-compliance.
- Outline 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.
Note: See Discipline Model if the employee fails to comply with the Committee’s determinations or directions.
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.