3.03 – Continuing Duty to Disclose Conflicts; Paths Toward Remedies

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Details

Scope: NMSU System

Source: ARP Chapter 3 | Ethics, Equity and Equal Opportunity

Rule Administrator:

Last Updated: 07/20/2010

Related

Cross-Reference:

ARP 3.11 - Conflicts of Interest/Commitment in Sponsored Activities

ARP 3.25 - Discrimination, Harassment and Sexual Misconduct on Campus

ARP 10.01 - Due Process



Revision History:

2017 Recompilation, formerly Rule 3.20.15
07/20/2010 Amendment ratified by Board of Regents

It is the responsibility of all persons covered by this Rule to report any real, apparent or potential conflict of interest or commitment to their supervisors. The primary means of doing this is through the completion of the Conflict of Interest Disclosure Form upon hire and on an annual basis, with disclosure updates submitted on the basis of changes in circumstance. Additional policies, as set forth in ARP 3.11, are applicable to conflicts arising from sponsored activities but are based upon the annual disclosure requirement.

 

PART 1: PROCEDURE


Each person covered by this Rule is required to complete, sign and submit a Conflict of Interest Disclosure form upon hire with any NMSU entity; as new conflicts arise during employment by NMSU; and on an annual basis as requested by the Office of Human Resource Services. Completed forms will be reviewed and approved by the applicable supervisor (and only require next level supervisor review as defined below). Disclosure forms submitted containing no conflicts require only one level of review and approval. Disclosure forms submitted containing one or more (real or perceived) conflicts of interest require two levels of review and approval. In addition, a plan to manage or eliminate the conflict(s) must be submitted. If a conflict of interest or commitment exists for which no management plan is possible, the supervisor is required to recommend a plan of action. Conflicts of interest and commitment that have been submitted may be reviewed by the Committee on Conflicts of Interest in Sponsored Activities as necessary. Maintenance of the form is the responsibility of the Office of Human Resource Services.

 

PART 2: REMEDIES FOR CONFLICTS


There are two basic conditions that influence the path taken to remedy a conflict of interest or commitment. These may be summed up in the questions: 1) did the conflict arise as part of a sponsored activity? and 2) who disclosed the conflict? These questions must be asked together, as a conflict may be self-disclosed or disclosed by others and may or may not arise as part of a sponsored activity.

  1. The first question that determines disposition of conflicts of interest and/or commitment is whether or not the conflict arises from a sponsored activity.
    1. The treatment of conflicts in non-sponsored activities will follow normal personnel procedures as outlined in ARP 3.25 Part 1 and ARP 10.01 – Due Process , drawing informally on the advice of the Committee on Conflicts of Interest in Sponsored Activities as desired.
    2. Resolution of conflicts arising from sponsored activities shall be governed by the procedures set forth in ARP 3.11.
  2. The second question is whether the individual(s) involved in the conflict made the disclosure prospectively or as part of a timely update, or whether someone else has brought the conflict to the university’s attention.
    1. In cases disclosed by the individual(s) having the conflict, the university will generally try to manage the conflict in a manner agreeable to the parties involved and in agreement with applicable university policies and state and federal laws. The person(s) identified as having the conflict may elect to manage the conflict by participating in measures that will guard the integrity of the situation. Such measures require the approval of the relevant dean, vice president or vice provost or (in the case of sponsored activities, the Committee on Conflicts of Interest in Sponsored Activities). The person(s) involved may choose or be told to withdraw from the activity or situation that creates the conflict. In some cases, the supervisor and appropriate dean, vice president or vice provost and, if applicable, the Committee on Conflicts of Interest in Sponsored Activities, shall approve the action taken.
    2. When someone other than the individual(s) involved in the conflict brings an existing conflict to the attention of the university, the university is under no obligation to try to remedy the conflict and may require that the individual(s) withdraw from the activity or situation creating the conflict. In addition, the individual(s) may be required to repay monies that have been obtained in a situation involving a conflict of interest or commitment. Other sanctions up to and including termination of an individual’s employment, may be imposed; subject to the appeals process outlined in ARP 3.25 Part 1 and ARP 10.01 – Due Process.