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Effective: June 2007
Download copy of
policy (pdf)
I. General Principles
All decisions made in the course of their professional responsibilities by
members of the Board of Trustees, administrators, faculty, and other employees
of Dartmouth College (including the Professional Schools) are to be made solely
on the basis of a desire to promote the best interests of the College. A
potential conflict of interest occurs when an individual's personal or private
interests might lead an independent observer reasonably to question whether the
individual's professional actions or decisions are influenced by considerations
of significant personal interest, financial or otherwise.
College wide reporting requirements: In the
event that a Trustee, faculty member, administrator or other employee of the
College shall have a significant financial, personal or professional interest
that could potentially create a conflict of interest or theperception of one in
any transaction involving the College or being considered by the Board of
Trustees (including any committee of the Board) or College administrators and
faculty (including any committee or other group of administrators or faculty),
such person shall, as soon as he or she has knowledge of the transaction, take
the following actions:
- Disclosure. Disclose fully in writing the precise nature of his or
her interest in such transaction to those at the College involved with the
transaction, or to his or her Dean, Department Chairperson, Supervisor, or
other independent responsible authority; and
- Non-Participation. Refrain from participation (including acting
individually or as a member of a committee or other group) in the College's
consideration of the proposed transaction unless expressly permitted to do so
by a responsible authority of the College.
In addition to the College wide requirements there are specific reporting
requirements described herein for Trustees and Certain Administrators, and
Investigators engaged in externally-sponsored research. Please also note
Dartmouth College has a supplemental Conflict of Interest Policy including
specific disclosure requirements for investigators involved in human subject
research.
II. Definitions
For purposes of this policy:
"The College" shall mean all of Dartmouth College,
including its three professional schools and affiliated organizations
controlled by it (e.g. Dartmouth Educational Loan Corporation).
"Trustee" shall include any current Trustee and
any active Trustee Emeritus serving on any committee of the Board of
Trustees.
"Faculty member" shall include any person who has
a faculty appointment with the College.
"Investigator" shall mean a principal investigator
and any other person at the College who is responsible for the design, conduct,
or reporting of research funded by any external governmental or private
organization, or proposed for such funding.
"Externally sponsored activities" shall mean all
sponsored activity administered through the Office of Sponsored Projects or the
Technology Transfer Office.
“Research” means a systematic investigation
designed to develop or contribute to generalizable knowledge including
behavioral and social-sciences research. The term encompasses basic and applied
research and product development.”1
"Significant financial interest" shall mean any
direct or indirect interest with monetary value, including but not limited
to:
- salary, other payments for services (e.g., consulting fees or honoraria),
royalties or other payments that, when aggregated for the individual and the
individual's spouse and dependent children over the next twelve months, are
expected to exceed $10,000;
- equity interests (e.g. stocks, stock options or other ownership interests)
that, when aggregated for the individual and the individual's spouse and
dependent children, either exceeds $10,000 in value (as determined through
reference to public prices) or represents more than five percent (5%) ownership
interest in any single entity;
- intellectual property rights (e.g., patents, copyrights and royalties from
such rights).
The term "significant financial interest" does not include:
- salary, royalties, or other remuneration from the College;
- income from seminars, lectures, or teaching engagements sponsored by US
Federal, state, or local entities;
- income from service on advisory committees or review panels for public or
nonprofit entities.
III. Additional Required Disclosures
Trustees and Certain Administrators
The following persons shall also disclose in writing to the Office of
College Counsel on a continuing basis on disclosure forms provided by that
Office all significant financial interests in non-Dartmouth business
organizations and all affiliations as an officer, director, trustee, partner,
employee, consultant, or agent of any organization other than Dartmouth College
or the person's principal employer:
- the Trustees (including the President);
- the Provost, the Vice Presidents, the Treasurer, the Dean of the College,
the Deans of the Faculty of Arts and Sciences and the Professional Schools, and
their respective principal financial officers;
- department chairs;
- administrators in the Purchasing Department, and senior administrators in
the offices of the Vice Presidents and Sponsored Projects;
- such other employees, as the President shall designate as being employees,
from whom, because of their respective duties and responsibilities, the College
should receive a continuing disclosure of such outside relationships and
business affiliations.
Investigators Engaged in Externally-Sponsored
Research
As a recipient of externally funded sponsored activities, Dartmouth has an
obligation to assure that the principles of objectivity in research are upheld
to ensure that there is no reasonable risk that the design, conduct, or
reporting of research will be biased by any conflicting financial interests of
an Investigator. 1
Investigators engaged in externally sponsored activity must, in accordance
with Federal 2 and College policy, disclose to the Director of
Sponsored Projects (or designee) on disclosure forms provided by the Director
all significant financial interests (including those of their spouse and
dependent children) that would reasonably appear to affect or be affected by
the sponsored activity. Investigators may choose to disclose any other
financial or related interest that could present an actual or perceived
conflict of interest. Any such disclosure should provide sufficient detail to
permit an accurate and objective evaluation. Such disclosure form must be
completed and submitted before the contract or grant application is submitted,
and the disclosure must be reviewed to determine if further action is required
before the College's expends any awarded funds or issues a purchase order or
subcontracts for the acquisition of goods and services related to that
project.
Such disclosure forms must be updated at least annually or more frequently,
if new reportable information is obtained during the period of an award.
If the Director of Sponsored Projects (or designee) determines, after
reviewing the disclosure form and other available information, that financial
or other interests may affect the design, conduct or reporting of research
activities or teaching/mentoring activities, the Director shall consult with
the Vice Provost for Research (or designee). If this review confirms a
potential conflict the project may be referred to the subcommittee of the
Council on Sponsored Activities (CSA) referred to as the Conflict of Interest
Committee (COIC) comprised of senior faculty members from each of the four
faculties, the Dean of the respective faculty, and the Director of the
Sponsored Projects as a non-voting ex-officio member. Following review of the
matter, unless there is no further action needed, the COIC will recommend in
writing to the Investigator, Vice Provost for Research (or designee), and
respective Dean; one of the following actions:
- Accept the proposed sponsored project;
- Do not accept the proposed sponsored project;
- Accept the proposed sponsored project provided certain conditions or
restrictions are imposed so that the conflict will be managed, reduced or
eliminated.
Examples of possible conditions or restrictions are:
-
- monitoring of research by independent reviewers
- public disclosure of significant financial interests
- modification of the research plan
- disqualification from participation in the portion of the sponsored funded
research that would be affected by the significant financial interest
- divestiture of significant financial interest
- severance of relationships that create actual or potential conflicts
If the Investigator is dissatisfied with the COIC’s recommendations, the
Investigator may, within ten (10) calendar days of such recommendation,
appealto the Provost (designee) who will consult with the faculty member and
the COIC, as appropriate. After such review, the Provost (designee) will make
the final decision.
For HHS funded sponsored activities, the Office of Sponsored Projects will
notify the awarding component of any conflict information as outlined by the
awarding component 3
All records will be maintained for a period of no less than seven (7) years.
Upon written request of a sponsoring agency, disclosure documents and related
records pertaining to the specific sponsored project will be made
available.4
Collaborators/sub-recipients/subcontractors from other institutions involved
in externally-sponsored research of the College must either comply with this
policy or provide a certification from their institutions that they are in
compliance with Federal policies regarding disclosure of conflicts of interests
and that their portion of the project is in compliance with their institutional
policies.
IV. Compliance
All persons subject to this policy are expected to comply fully and promptly
with it. Instances of deliberate breach of policy, including failure to file or
knowingly filing incomplete, erroneous, or misleading disclosure forms,
violation of this policy, failure to comply with prescribed monitoring
procedures, will be reported to the appropriate senior officer and, in the case
of investigators also to the Vice Provost (designee).
All known violations, disputes and other issues arising out of the
application of this policy to employees shall be referred to the President for
appropriate action. Matters under this policy concerning Trustees shall be
reported to the Chairman of the Board of Trustees for appropriate action.
In the event of non-compliance by an Investigator, the Provost (designee)
will consult with the COIC regarding possible sanctions to be imposed on an
investigator that may include, but are not limited to:
- Formal admonition,
- A letter from the appropriate Dean to the person's file,
- Ineligibility for (i) grants, (ii) IRB approval, or (iii) supervision of
graduate students,
- Non-renewal of appointment,
- Dismissal.
The Provost (designee) will then recommend an appropriate sanction to the
President, who will make the final decision.
In addition, the College shall follow Federal regulations regarding the
notification of the sponsoring agency in the event an Investigator has failed
to comply with this policy. The sponsor may take its own action, as it deems
appropriate, including the suspension of funding for the Investigator until the
matter is resolved.
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