PROCEDURES REQUIRED FOR NSF/PHS
SPONSORED ACTIVITY
1. General
Effective October 1, 1995 all proposals
being submitted to the National Science Foundation (NSF) or the
Public Health Service (PHS) by UMBC and all current grants from
NSF and PHS are required to include a certification by the UMBC
authorizing official that UMBC has implemented and is enforcing
a written policy on conflicts of interest. In addition to existing
University of Maryland System and UMBC policies on Professional
Commitment of Faculty, Outside Consultancy and Conflict of Interest,
the following requirements apply to actual or potential conflicts
of interest arising from activities sponsored by NSF and PHS.
These federal agencies have promulgated regulations which require:
(1) investigators to disclose certain
financial interests;
(2) institutional review of those
disclosures;
(3) designation of a person(s) to
review the disclosures and resolve actual or potential conflicts
revealed;
(4) arrangements for informing (a)
the NSF of conflicts that are not resolved to the satisfaction
of UMBC, and (b) the PHS of all conflicts reported, resolved or
not; and
(5) record retention procedures.
Subcontractors and collaborators must
either comply with UMBC's policy or provide assurances to UMBC
that they comply with their own policies that meet the PHS and/or
NSF requirements as applicable.
II. Definitions
A. "Investigator(s)", means
the Principal Investigator and any other person employed by or
working under the auspices of UNMC who has independent responsibility
for the design, conduct, or reporting of research or educational
activities funded or proposed for funding by NSF or PHS (this
may include persons working under the PI) . These individuals
are those who have independent responsibility for accomplishing
project objectives. For purposes of the requirements relating
to financial interests, "investigator" includes the
investigator's spouse and dependent children.
B. "Significant Financial Interest"
means anything of monetary value, including but not limited to
salary or other payments for services (e.g., consulting fees or
honoraria); equity interests (e.g. stocks, stock options or other
ownership interests); and intellectual property rights (e.g.,
patents, copyrights and royalties from such rights). The term
does not include:
(1) salary, royalties or other remuneration
from the UMBC;
(2) income from seminars, lectures,
or teaching engagements sponsored by public or nonprofit entities;
(3) income from service on advisory
committees or review panels for public or nonprofit entities;
(4) an equity interest that when aggregated
for the investigator and the investigator's spouse and dependent
children, meets both of the following tests: (a) does not exceed
$10,000 in value as determined through reference to public prices
or other reasonable measures of fair market value, and (b) does
not represent more than a 5% ownership interest in any single
entity; or
(5) salary, royalties, or other payments
that, when aggregated for the investigator and the investigator's
spouse and dependent children, are not expected to exceed $10,000
during the next twelve month period.
C. "Conflict of interest"
means, for the purpose of these regulations:
(2) any significant financial interests
of the investigator (including those of the investigator's spouse
and dependent children):
the research and educational activities funded or proposed for funding by NSF; or
(ii) in entities whose financial interests
would reasonably appear to be directly and significantly affected
by such activities.
D. "Research" means a systematic
investigation 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 and product development. As used in these Procedures,
the term includes any such activity for which research funding
is available from a component of the PHS through a grant or cooperative
agreement, whether authorized under the PHS Act or other statutory
authority, and any such activity for which research funding is
available from the NSF.
III. Disclosure Requirements
A. An investigator seeking PHS or
NSF funding who has no real or potential conflict of interest
to disclose must so indicate by checking the appropriate statement
and signing the Proposal Routing and Approval Form which accompanies
the proposal.
B. An investigator seeking PHS or
NSF funding who has a real or potential conflict of interest to
disclose must so indicate on the Proposal Routing and Approval
Form and complete the "Investigator Financial Disclosure
Statement for PHS/NSF Proposals" (Appendix 1). This form
and any supporting documentation (such as the Conflict Exemption
Disclosure Form) must be submitted with or, preferably, in advance
of the proposal.
C. All disclosures must be updated
during the period of the award on an annual basis or as new reportable
significant financial interests are obtained by completing and
routing the Update/Annual Certification Form for PHS/NSF Sponsored
Activities (Appendix 2). Each investigator with a current PHS
or NSF grant must complete this form.
D. Financial disclosures related to
activities proposed to NSF or PHS for funding must be routed within
UMBC in accordance with the procedures set forth below prior to
submission of the proposal to NSF or PHS.
IV. Institutional Review Process
A. The investigator's academic supervisor
(generally the department chair) is responsible for conducting
the initial review of financial disclosures submitted by investigator(s)
within that supervisor's academic unit. The supervisor, subject
to UMBC's review and final decision, will determine what mechanisms
are appropriate for managing, reducing, or eliminating real or
potential conflicts of interest. Examples of conditions or restrictions
that might be imposed include:
B.(1) Disclosure of conflicts and
the resolution or plan for resolution shall be forwarded from
the academic supervisor, through any intermediate supervisors
as required, to the academic dean. Following action by the dean,
the disclosure and resolution or plan for resolution shall be
forwarded to UMBC's senior research officer, the Associate Vice
President for Research and Dean of Graduate Studies ("Research
Officer" or "RO") for review and approval.
B.(2) Should a potential conflict
which was unrecognized through the proposal routing processes
be discovered (e.g. a potential conflict is recognized by the
OSPA ), the office that discovers the conflict will contact the
RO. The RO will contact the investigator for additional information
regarding the potential conflict. The RO will then take whatever
action is deemed appropriate.
C. If the RO finds that a disclosure
of real or potential conflict of interest is unresolved or unrecognized
after the initial reviews, or if the Research Officer finds that
a recommended plan for resolution is inconsistent with UMBC guidelines
and experience; the Research Officer may take immediate action
to resolve the matter or delay resolution pending further review.
The RO may also forward the matter to UMBC's Conflict of Interest
Committee for consideration. The committee will consist of. the
RO, the Dean of the College of Engineering, the Dean of Arts and
Sciences, the Associate Vice President for academic Affairs and
the University Counsel. The committee will examine the matter
and make its recommendations to the Research Officer, who will
make a decision on the case. The decision of the RO will be final.
D. Proposals will not be forwarded
to NSF or PHS by UMBC until the conflict of interest review process
has reached the level of the RO. The RO will include an Acknowledgment
of Potential Conflict Disclosure in the proposal file prior to
release of the proposal for submission to the NSF or PHS. A proposal
may be forwarded to NSF or PHS by UMBC before the review process
is completed, however, no ftmds can be spent for the project until
the process is completed. For all PHS grant proposals for which
a potential conflict has been disclosed, the OSPA will prepare
a letter of notification for signature by the RO which informs
the PHS of the disclosed potential. Letters of conflict notification
are not required by the NSF.
E. If a proposal has been forwarded
on the expectation that an approved plan for resolution of conflict
of interest will be implemented, the identified conflict of interest
must be satisfactorily managed, reduced or eliminated prior to
the UMBC's expenditure of any funds under the award for the project
affected. If the conflict cannot be satisfactorily resolved,
UMBC reserves the right to withdraw the grant proposal or refuse
the award.
F. For on-going projects, conflicts under an award that are disclosed subsequent to
UMBC's initial report to NSF or PHS
must be resolved, at least on an interim basis, within sixty (60)
days after identification to UMBC of the potential conflict.
V. Reporting Procedures and Record
Retention
A. In the case of PHS proposals, notice
must be given to the agency by UMBC for all conflicts of interest.
The RO is responsible for providing the appropriate written notice
to the PHS through a letter prepared by the OSPA. Conflicts which
cannot be satisfactorily resolved must be disclosed to NSF or
PHS, as appropriate. In the circumstance where a conflict could
not be resolved, the RO will directly report the case to the awarding
agency.
B. The RO will maintain records of
all financial disclosures and of all actions taken to resolve
actual or potential conflicts of interest for at least three (3)
years after termination or completion of the sponsored project
or after resolution of any government action involving those records,
whichever is longer.
C. As required by federal agency regulations,
information regarding all PHS/NSF grant related conflicts of interest
identified to or by UMBC will be made available to the Federal
government upon request.
VI. Compliance
Failure to comply with this policy
and the underlying Federal regulations may result in the termination
of the sponsored activity and/or restrictions on the individual
with respect to proposal submissions as well as other appropriate
sanctions auhtorized and available under University of Maryland
System and UMBC policies and procedures, the Maryland Public Ethics
Law, and federal laws and regulations.
VII. Confidentiality
Information submitted by faculty with
respect to conflicts of interest shall be treated as personal
information under the Maryland Access to Public Records Law, and
shall be disclosed by UMBC only as permitted by State law or otherwise
required by law or court order. This limitation shall not apply
to information which must be disclosed to manage a potential or
actual conflict of interest.
Name:
Dept:
Proposal Title:
Sponsor: NSF-or PHS-
Proposal No.:
Submission of this form is required before a proposal can be signed and submitted to NSF
or PHS by UMBC
Administrative review and resolution and/or notification to NSF and PHS must occur prior
to UMBC's expenditure of any funds
under the award.
NSF and PHS regulations require that
an investigator disclose his or her significant financial interests
and those of the investigator's spouse and dependent children
that (i) would reasonably appear to be affected by, or reasonably
might affect, the research or educational activities proposed
for funding by NSF and PHS; or (ii) that are held in entities
whose financial interests would reasonably appear to be affected
by such activities.
Significant Financial Interest is
defined in the "Supplement to the UMBC Procedures on Conflict
of Interest for Faculty Interest in Sponsored Research and Economic
Development@.
Based upon the definition contained
in the Policy and in accord with the attached Disclosure Form,
if any, I make the following representation:
1 . No conflict
or appearance of conflict exists (no disclosure form required).
2. A conflict exists
or may exist. Please identify any significant financial interests
that would reasonably appear to constitute a conflict of interest
with respect to the conduct or reporting of the proposed research
(Attach Disclosure Form if necessary).
3. An appearance
of conflict exists or may exist. Please identify below anything
which in your opinion would not compromise your objectivity in
the conduct or reporting of the proposed research but might
have the appearance of doing so (Attach Disclosure Form if
necessary).
I certify that the above information (including any attached disclosure forms) is complete and true to the best of my knowledge and that I have read the University's policies related to investigator financial disclosures as described in the BOR Policy 11-3.30, UMBC Conflict of Interest Policy and the Supplement to the UMBC Procedures on Conflict of interest for Faculty Interest in Sponsored Research and Economic Development. I supply this information for review by UMBC and do not authorize release of any of it for any use other than compliance with the university's policies and related State and federal laws and regulations, and as required by law or court order.
Name and Signature
Date:
The academic unit head is responsible for conducting the initial review of this disclosure and making findings.
Based on the activity reported, to
the best of my knowledge and in my judgment:
1. No real
or potential conflict of interest exists;
2. A real or potential conflict of interest exists. The conflict and steps taken to manage, reduce, or eliminate the real or potential conflict are described below: (Attach additional sheets if necessary.)
3. A real or potential conflict of interest exists which has not
been resolved. This conflict and the situation preventing the
development of a resolution plan is described in detail below:
(Attach additional sheets if necessary.)
Signatures:
Department Chair
Date:
I do do not
concur in the chair's recommendation. Attach explanatory
statement if disagreeing with recommendation of chair or with
chair's reasoning.
Dean
Date:
Name:
Dept:
Proposal Title:
Sponsor: NSF PHS Grant Number
FAS or SAI#
NSF and PHS regulations require that
an investigator disclose his or her significant financial interests
and those of the investigator's spouse and dependent children
that (i) would reasonably appear to be affected by, or reasonably
might affect, the research or educational activities proposed
for funding by NSF and PHS; or (ii) that are held in entities
whose financial interests would reasonably appear to be affected
by such activities.
The initial annual certification covers
the period from the award date through June 30. Thereafter NSF
and PHS require annual certifications. This annual certification
will cover the period of July I through June 30 of each year.
This form must be submitted through the department chair and
dean and received by the RO by October I of each year.
"Significant Financial Interest"
is defined in Supplement to the UMBC Procedures on Conflict
of Interest for Faculty Interest in Sponsored Research and Economic
Development. Please review the definition to ensure complete
compliance with Federal disclosure requirements.
Based upon the definition contained in the Policy Supplement and any additional disclosure
forms attached, I make the
following representation:
No changes have occurred in the information disclosed since award
or in the past 12 months, whichever is less, which would affect
my research or educational activities supported by NSF or PHS.
Changes have occurred in the information disclosed since award
or in the past 12 months, whichever is less, which might affect
my research or educational activities supported by NSF or PHS.
If checked, please fill out and attach the Conflict Exemption
Disclosure Form, taking particular care to disclose:
1. Any significant financial interests that might constitute a conflict of interest in the conduct or reporting of the research proposed.
2. Anything in your opinion
that would not compromise your objectivity in the conduct or reporting
of the research but might have the appearance of doing so.
3. If you are the principal
investigator of this project, please list any new "investigators",
as defined in the UMBC Conflict of Interest Policy and its Supplement
who were not identified on the original UMBC proposal routing
form and Conflict Disclosure Forms.
I certify that the above information
is complete and true to the best of my knowledge and that I have
read the University's policies related to investigator financial
disclosures as described in the BOR Policy II-3.30 and UMBC Conflict
of Interest Policy and its Supplement. I supply this information
for review by UMBC and do not authorize release of any of it for
any use other than compliance with the University's policies and
related State and federal laws and regulations, and as required
by law or court order.
Name and Signature
Date:
Administrative Review
The academic unit head is responsible for conducting the initial review of this disclosure and making findings.
Based on the activity reported,
to the best of my knowledge and in my judgment:
1. No real or potential conflict of interest exists;
2. A real or potential conflict of interest exists. The conflict
and steps taken to manage, reduce, or eliminate the real or potential
conflict are described below: (Attach additional sheets if necessary.)
3. A real or potential conflict of interest exists which has not
been resolved. This conflict and the situation preventing the
development of a resolution plan is described in detail below:
(Attach additional sheets if necessary.)
Signatures:
Department Chair
Date:
I do do not
concur in the Chair's recommendation. Attach explanatory
statement if disagreeing with the recommendation of the chair
or with chair's reasoning.
Dean
Date: