Conflict of Interest Policy for Federal Awards | Moses Weitzman Health System

Moses/Weitzman Health System, Inc. Conflict of Interest Policy for Federal Awards

Purpose

The purpose of this policy is to establish and enforce a conflict of interest policy for Moses/Weitzman Health System and its affiliates (“MWHS”) that meets applicable PHS awarding agency requirements, including but not limited to policies and procedures on preventing fraud and abuse, and the requirements of 42 CFR part 50, subpart F, and 2 CFR part 200.

Policy

Senior/Key Personnel throughout the MWHS and its affiliates have important fiduciary responsibilities in the work they perform. In support of these significant obligations, it is essential that Senior/Key Personnel perform their duties in a manner that is fair and objective and that avoids any conflict, or any appearance of conflict, between their personal interests and those of MWHS. No MWHS Senior/Key Personnel shall participate in MWHS’s selection, award, or administration of any contract or grant, paid in whole or in part with Federal funds, when a real or apparent Conflict of Interest is involved. A copy of this policy is available on the MWHS website at MWHS1.com.

Conflict of Commitment

This policy is not intended to limit reasonable participation in professional and community activities that benefit and reflect positively on the MWHS, by mutual agreement of the employee and his or her supervisor. Paid outside activities that primarily benefit or give advantage to the employee are to be performed on the employee’s personal time. In some circumstances, accrued vacation or personal time may be used to cover such absences.

Paid personal consulting activities or other outside pursuits are not to occur on MWHS company time. It is not permissible to use MWHS resources in the course of outside consulting or other pursuits. These resources may include, but are not limited, office equipment, supplies, and support staff. Such activities must not divert an employee’s attention from his or her MWHS company duties or consume so much time or creative energy that they interfere, or appear to interfere, with an employee’s responsibilities to the MWHS.

Definitions

Manage: means taking action to address a conflict of interest, which can include reducing or eliminating the conflict of interest, to ensure, to the extent possible, that the design, conduct, and reporting of research will be free from bias.

Institutional Responsibilities: means Senior/Key Personnel’s professional responsibilities on behalf of MWHS, and as defined by MWHS in its policy on financial conflicts of interest, which may include: activities such as research, research consultation, teaching, professional practice, institutional committee memberships, and service on panels such as Institutional Review Boards or Data and Safety Monitoring Boards.

Interest: Senior/Key Personnel have an “Interest” if they have, directly, or indirectly through a family member or business partner:

are involved in the selection, award, or administration of any contract or grant, paid in whole or in part with Federal funds, when there is a business relationship (e.g., an actual or forthcoming compensation arrangement whether by contract or employment) with: (1) an entity with which MWHS has entered (or is negotiating to enter) a transaction or arrangement; or (2) an entity that is a competitor or potential competitor of MWHS;
a financial relationship (e.g., a controlling or material ownership, or investment interest, employment relationship or other relationship that a reasonable person would deem significant) with or a tangible personal benefit from: (1) an entity with which MWHS has entered (or is negotiating to enter) a transaction or arrangement; or (2) an entity that is a competitor or potential competitor of MWHS;
a fiduciary relationship (e.g., Board member or trustee) with: (1) an entity with which MWHS has entered (or is negotiating to enter) a transaction or arrangement; (2) an entity that is a competitor or potential competitor of MWHS; or
a personal relationship with an individual who has a business, financial or fiduciary relationship as defined above. A personal relationship means a relationship based on family, business partnership, friendship or romance.

Any interest in a company through publicly-traded stocks, bonds or mutual funds available to the general public shall not constitute an Interest, provided the ownership or investment interest is less than one percent of the company’s shares.

Conflict of Interest: (COI) arises when Senior/Key Personnel or their family members or business associates (family members include spouse, partner, and dependents) interests competes with or has the potential to compete with the best interests of MWH. A COI is presumed to exist if Senior/Key Personnel with an interest is involved in any way in the transaction or arrangement in which they have such an Interest.

PHS: means the Public Health Service of the U.S. Department of Health and Human Services, and any components of the PHS to which the authority involved may be delegated.

Research: means a systematic investigation, study or experiment designed to develop or contribute to generalizable knowledge relating broadly to public health, including behavioral and social sciences research. The term encompasses basic and applied research (e.g., a published article, book or bookchapter) and product development (e.g., a diagnostic test or drug). The term includes any such activity for which research funding is available from a PHS Awarding Component through a grant or cooperative agreement, whether authorized under the PHS Act or other statutory authority, such as a research grant, career development award, center grant, individual fellowship award, infrastructure award, institutional training grant, program project or research resources award.

Senior/Key Personnel: means the Project Director and/or Principal Investigator and any other person identified as senior or key personnel by the Institution in the PHS grant application, progress report, or any other report submitted to the funder by the Institution.

A conflict of interest exists when individual commitment to the MWHS may be compromised by personal benefit. Senior/Key Personnel are expected to avoid situations or activities that could interfere with their unencumbered exercise of judgement in the best interest of the MWHS.

In addition, it is considered inappropriate for Senior/Key Personnel to make use of MWHS property or other resources, including time, to advance personal interests or activities during the course of their employment at MWHS.

Relationships with third parties

Senior/Key Personnel should pay special attention to ensuring they maintain the proper relationship between themselves and third parties with whom they come in contact in the course of performing their duties for MWHS. These parties may include, but are not limited to, vendors of goods and services. Personal gain resulting from a relationship with a third party must be avoided. Such activity provides no useful business purpose and can create conflicts of interest.

Disclosure and resolution

Senior/Key Personnel shall complete a Disclosure form annually. It is the responsibility of every Senior/Key Personnel to report to their supervisor, local human resource officer, General Counsel and/or Grants office any activity that might result in a conflict of interest or conflict of commitment before participating in that activity. The Senior/Key Personnel shall refrain from participation in the activity until it is determined whether a conflict of interest or commitment does exist and the matter is Managed. Managing the conflict may include, for example, ceasing the activity, a change in job duties or a change in hours of salary. All disclosures and management of any conflicts of interest shall be documented.

Failure to disclose possible conflicts of interest or commitment or refusal to cease activities that are determined to be in conflict with MWHS’s best interests may be grounds for disciplinary action and may lead to termination.

Review and management process

1.) Senior/Key Personnel shall complete A Conflict of Interest/Financial interest Disclosure Statement annually and when any interest arises that my result in a conflict.
2.) The Conflict of Interest/Financial interest Disclosure Statement form will be submitted to the Executive Assistant via email at [email protected].
3.) The Conflict of Interest/Financial interest Disclosure Statement form will be reviewed by the General Counsel within 5 days of submission.
4.) Any Conflict of Interest/Financial interest Disclosure Statements that identifies a potential COI will be reviewed by the General Counsel or an ad hoc committee comprised of, at a minimum, members of Grants Compliance, the Office of Research Integrity, and the Chief Financial Officer or their designee within 30 calendar days of the submission of the report.
5.) Management of Conflicts. For transactions where a Conflict of Interest has been disclosed or otherwise found to exist, the names of the persons who were present for discussions and votes relating to the transaction or arrangement, and the names of the persons who recused themselves; the content of the discussion, including any alternatives to the proposed transaction or arrangement or MWHS’s best interest; and a record of any votes taken in connection therewith.
6.) The results of the review will be documented and filed in secure file on the MWHS X Drive. Any interest determined to be a COI will be reported to the CEO.

Reporting

Conflicts of Interest related to or having an impact on any PHS funded award shall be reported to the appropriate agency in accordance with MWHS policy and agency requirements.

Training

Annual COI training for all Senior/Key Personnel is required.

Contact Information

Office of Research Administration: For questions or additional information regarding this policy, please contact the MWHS Office of Research Administration at [email protected] or [email protected].

Effective Date: 2.15.25 Revised: 2.15.25 Approved By: Margaret Flinter, Sr. Vice President and Clinical Director, Moses Weitzman Health System Policy No.: GRANTS100