2024-001 Allowable Costs
Research and Development Cluster:
National Institutes of Health:
Institutional Career Development Costs (ALN 93.350, grant number 5 UL1 TR001866)
Corrective Action Plan:
In April 2024, University management became aware that a full-time employee of the Universi...
2024-001 Allowable Costs
Research and Development Cluster:
National Institutes of Health:
Institutional Career Development Costs (ALN 93.350, grant number 5 UL1 TR001866)
Corrective Action Plan:
In April 2024, University management became aware that a full-time employee of the University was concurrently employed at Duke-NUS Medical School in Singapore since early 2021. This former employee did not disclose his affiliation at Duke-NUS Medical School on his conflicts of interest forms that the University requires all researchers to complete annually. This former employee’s salary was covered by several National Institutes of Health (NIH) grants.
An investigation was conducted by external legal counsel, during and after which the University took several actions. First, the employee’s employment ended. Second, the University stopped drawing the NIH grant funds for this employee’s salary soon after becoming aware of the situation. Third, the University conducted a financial conflict of interest review for the period 2019 through 2024 to determine if any conflicts beyond his employment at Duke-NUS Medical School existed. No further conflicts were identified. Fourth, the University informed NIH of the matter and recommended that the University repay half of the amount of this employee’s salary, fringe benefits and indirect cost recovery charges during the time period from January 2021 through May 21, 2024, which amounts to $299,805.
After discovering the issue, we promptly initiated an investigation. Our findings confirmed that this employee was employed by our institution, and our institution including his supervisor was unaware that he was concurrently employed at Duke-NUS Medical School. As a result of these findings, we have taken decisive steps, as follows:
1. End of Employment: The employee’s employment was ended.
2. Investigation and Reporting: We investigated the matter and reported the findings to and have cooperated with NIH.
3. Enhanced Oversight: In response to this incident, we are enhancing our hiring practices and conducting more thorough background checks, especially for positions working on government grant awards.
4. Training and Education: We are implementing mandatory training sessions for all staff on ethical practices, compliance with Uniform Guidance, and the importance of reporting any suspicious activities.
5. Compliance Review: We are conducting a comprehensive review of our compliance with Uniform Guidance to identify any areas for improvement and ensure that our policies are robust and effectively communicated to all employees.
6. Conflict of Interest Disclosure Training and Education: At least annually and at the time of the just in time period (and if there is no just in time period, at the time of award), the University will continue to require University investigators through its certification and recertification process, to attest to the accuracy of their financial conflicts of interest in research disclosure forms pursuant to applicable, long-standing University policies.
Contact Person:
As to: #1, 3, 4, 5 above: Michael P. Vitale, CPA – Controller
Email: vitalem@rockefeller.edu
Phone: 212-327-8704
As to: #2 and 6 above: Deborah Y. Yeoh
Email: yeohd@rockefeller.edu
Phone: 212-327-8071
Anticipated Completion Date:
June 30, 2025