POL-U20.17 Disclosing Conflict of Interest for Sponsored Programs and Technology Transfer Transactions

The University requires its Investigators to disclose any financial interests and any other obligations, engagements, or commitments that reasonably appear to be related to their responsibilities toward a sponsored project, whether the source of funding for the project is external to the University or from University funds, or technology transfer transaction in which they hold a significant financial interest. Investigators are required to make full and timely disclosures to the University of COIs within thirty (30) days of acquiring new or increased COI, within thirty (30) days of joining an ongoing sponsored project, as required by the sponsor, or at least annually.

The Vice Provost for Research is the Institutional Official for research and sponsored projects. The IO, or their delegates, may:

1. Obtain and review disclosures under this policy;
2. Develop and implement conflict management strategies and documentation to reduce or eliminate identified conflicts of interest;
3. Conduct any required late or retrospective reviews, including issuance of reports of findings and conclusions and development and implementation of conflict and mitigation plans;
4. Communicate with federal and other sponsors on matters pertaining to this policy;
5. Make recommendations to the University with respect to matters covered under this policy; and
6. Disallow for good cause, a proposed research project or technology transfer transaction or suspend an ongoing research project or pending technology transfer transaction to prevent any probable or continued violations to this policy, or to prevent any inadvertent violations of sponsor policy, state or federal law or regulations.

Using the sponsor’s criteria, University policies, state law, the Faculty Handbook, and other university documentation as the committee deems appropriate, the Conflict of Interest Review Committee:

1. Will act in a timely manner.
2. May obtain additional information from the Investigator or from others the committee considers would be helpful in understanding or resolving actual or potential COIs.
3. Will determine the University may take one of the following actions:
   1. Submit and/or accept the sponsored project award.
   2. Not accept the externally sponsored project award.
   3. Accept the sponsored project subject to following a suitable COI mitigation plan from the COI Review Committee.
   4. If no sponsor COI criteria or guidance exists, the committee will consider the nature and extent of the conflict and applicable state ethics law.
   5. If a potential COI is disclosed after a sponsored project is already underway, the committee will review the COI and determine appropriate COI mitigation.

An investigator may appeal the COI Review Committee’s decision to the Provost, who may consult with the Investigator, the Committee, or others as they deem necessary and appropriate. The decision of the Provost shall be final.

Violations of this policy, such as willful concealment of conflicts, may result in discipline including but not limited to loss of sponsored project funding and institutional privileges. The COI Review Committee will notify Internal Audit and Ethics Officer and review allegations of violations, and the Institutional Official (IO) will make recommendations to the Provost. The decision of the Provost with regards to the imposition of sanctions shall be final pursuant to Section 19 of the UFWWU Collective Bargaining Agreement (CBA). 

The IO, or their delegate, shall require all Investigators participating in the sponsored project at subrecipient organizations to be subject to conflict of interest rules and procedures no less stringent than this policy, as required by sponsor, state or federal regulations.

Records pertaining to each financial disclosure will be maintained by the Office of the Vice Provost for Research. Access to such records will be limited to the Investigator, Conflict of Interest Review Committee, Provost, and others who have a legal right to review the records.