As of February 28, 2002
Background and General Guidance
The Texas Environmental Research Consortium (TERC) is an initiative that involves HARC/GTRI in managing research funding and projects. This policy acknowledges that Science Advisory Committee (SAC) members are likely to be engaged in both proposals and projects that will be considered by the SAC in the course of its deliberations and activities. The policy provides procedures whereby SAC members will remove themselves from deliberations and decisions involving potential conflicts of interest.
This conflict of interest policy is designed (1) to help Science Advisory Committee (SAC) members identify situations that present potential conflicts of interest; and (2) to provide the Houston Advanced Research Center (HARC/GTRI) with a procedure which will allow a transaction to be treated as valid and binding even though a SAC member, officer or employee has or may have a conflict of interest or the appearance of a conflict of interest with respect to the transaction.
The Committee has agreed to the following guiding procedures and principles:
- Members of the Science Advisory Committee will acknowledge before or during any discussion about possible conflicts of interest on any issue being considered or discussed by the committee. This includes consulting activities, close working relationships with colleagues where a financial interest is at stake, committee/board relationships, and student/professor/advisor relationships.
- Entities that submit proposals will not be involved in any way in the review of those proposals. Committee members making proposals being considered for funding will not participate in discussions or review of materials regarding those proposals. Committee members will not be involved in writing scopes of work or requests for proposals for projects to be funded through TERC.
- Discussions of projects being considering for funding will be documented in meeting notes and written communications on projects.
- In the future, reviews of proposals will be conducted through blind reviews in which the source of the proposal is not evident. Qualifications of those submitting the proposals will be reviewed separately.
Policy on Conflicts of Interest and Disclosure of Certain Interests
As approved in February 2002
1. Conflict of Interest Defined
For purposes of this policy, the following circumstances shall be deemed to create potential Conflicts of Interest that need to be acknowledged in the conduct of business of the SAC:
- Outside Interests. An outside interest may include the following:
- A Contract or Transaction between HARC/GTRI and a SAC Member or Family Member.
- A Contract or Transaction between HARC/GTRI and an entity in which a SAC Member or Family Member has a Material Financial Interest or of which such person is a director, officer, agent, partner, associate, trustee, personal representative, receiver, guardian, custodian, conservator or other legal representative.
- Outside Activities. An outside activity may include situations such as the following in which a SAC Member is involved in activities in which he or she is competing directly with HARC/GTRI:
- A SAC Member competing with HARC/GTRI in the rendering of services or in any other Contract or Transaction with a third party.
- A SAC Member's having a Material Financial Interest in; or serving as a director, officer, employee, agent, partner, associate, trustee, personal representative, receiver, guardian, custodian, conservator or other legal representative of, or consultant to, an entity or individual that competes with HARC/GTRI in the provision of services or in any other Contract or Transaction with a third party.
- Gifts, Gratuities and Entertainment. In some instances, the acceptance of gifts, entertainment or other favors may constitute a conflict of interest. This includes acceptance from any individual or entity that:
- does or is seeking to do business with, or is a competitor of HARC/GTRI; or
- has received, is receiving or is seeking to receive a loan or grant, or to secure other financial commitments from HARC/GTRI; significant value or entertainment of nominal or insignificant value, which are not related to any particular transaction or activity of HARC/GTRI.
2. Definitions.
- A "Conflict of Interest" is any circumstance described in Part 1 of this Policy.
- A "SAC Member" is any person serving as a Science Advisory Committee member.
- A "Family Member" is a spouse, domestic partner, parent, spouse of a parent, child or spouse of a child, brother, sister, or spouse of a brother or sister, of a SAC Member.
- A "Material Financial Interest" in an entity is a financial interest of any kind, which, in view of all the circumstances, is substantial enough that it would, or reasonably could, affect a SAC Member's or Family Member's judgment with respect to transactions to which the entity is a party. This includes all forms of compensation.
- A "Contract or Transaction" is any agreement or relationship involving the sale or purchase of goods, services, or rights of any kind, the providing or receipt of a loan or grant, the establishment of any other type of pecuniary relationship, by HARC/GTRI. The making of a gift to HARC/GTRI is not a Contract or Transaction.
3. Procedures.
- Prior to Committee action on a Contract or Transaction involving a Conflict of Interest, a SAC Member having a Conflict of Interest and who is in attendance at the meeting shall disclose all facts material to the Conflict of Interest. Such disclosure shall be reflected in the minutes of the meeting.
- A SAC Member who plans not to attend a meeting at which he or she has reason to believe that the Committee will act on a matter in which the person has a Conflict of Interest shall disclose to the chair of the meeting all facts material to the Conflict of Interest. The chair shall report the disclosure at the meeting and the disclosure shall be reflected in the minutes of the meeting.
- A SAC Member who has a Conflict of Interest shall not participate in or be permitted to hear the Committee discussion of the matter except to disclose material facts and to respond to questions. Such person shall not attempt to exert his or her personal influence with respect to the matter, either at or outside the meeting.
- A SAC Member who has a Conflict of Interest with respect to a Contract or Transaction that will be voted on at a meeting shall not be counted in determining the presence of a quorum for purposes of the vote. The person having a conflict of interest may not vote on the Contract or Transaction and shall not be present in the meeting room when the vote is taken, unless the vote is by secret ballot. Such person's ineligibility to vote shall be reflected in the minutes of the meeting.
In the event it is not entirely clear that a Conflict of Interest exists, the SAC Member with the potential conflict shall disclose the circumstances to the Chair or the Chair's designee, who shall determine whether there exists a Conflict of Interest that is subject to this policy.
4. Confidentiality.
Each SAC Member shall not disclose confidential information acquired in connection with such status or information, the disclosure of which might be adverse to the interests of HARC/GTRI. Furthermore, a SAC Member shall not disclose or use information relating to the business of HARC/GTRI for the personal profit or advantage of the SAC Member or a Family Member.
5. Review of Policy.
- Each new SAC Member shall review a copy of this policy and acknowledge in writing that he or she has done so.
- Each SAC Member shall annually complete a disclosure form identifying any relationships, positions or circumstances, in which the SAC Member is involved that he or she believes could contribute to a Conflict of Interest arising. Such relationships, positions or circumstances might include service as a director of or consultant to a nonprofit organization, or ownership of a business that might provide goods or services to HARC/GTRI. Any such information regarding business interests of a SAC Member or a Family Member shall be treated as confidential and shall generally be made available only to HARC/GTRI, the SAC Chair and any Committee appointed to address Conflicts of Interest, except to the extent additional disclosure is necessary in connection with the implementation of this Policy.
- This policy shall be reviewed annually by each SAC Member. Any changes to the policy by HARC/GTRI shall be communicated immediately to all SAC Members.
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