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KR Conflict of Interest (COI) User Guide for Officers

CONFLICT OF INTEREST (COI)


1 Intro to COI for Officers

2 Checking COI Disclosure Status for UCI Investigators Prior to Proposal Submission

3 How Disclosure Status of Non-UCI Investigators and Subrecipient Investigators is Determined

4 SBIR/STTR Phase I Special Exception for Proposals with NIH Prime Sponsor

5 Checking COI Status for PHS-funded Investigators on Continuing Awards

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Intro to COI for Officers

This COI User Guide provides an overview of how to check COI disclosure status for UCI investigators, as well as Non-UCI and subrecipient investigators, on PHS and NSF proposals.

Officers can check the COI disclosure and training status for UCI investigators in Proposal Development (PD), until the proposal is approved and submitted (finalized). After that, the most current COI disclosure and training status will be available from Cognos. (Use the “Personnel Conflict of Interest Status” link in Zot!Portal to generate a Cognos report.)

After the proposal is finalized, officers will use the Institutional Proposal (IP) document for updating personnel. For details about editing the IP doc, refer to System User Guide for Officers, Institutional Proposal > Edit the Institutional Proposal.

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Checking COI Disclosure Status for UCI Investigators Prior to Proposal Submission

Officers and the COI team will check the Annual Disclosure status from the Personnel panel in PD for PHS and NSF proposals. (For more information, refer to System User Guide for Officers > Proposal Development, Key Personnel.)

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How Disclosure Status of Non-UCI Investigators and Subrecipient Investigators is Determined

When there are Non-UCI Investigators and/or subrecipients, the following question(s) will have been answered, “Yes” by the initiator when the proposal is created in KR PD. (For more information, refer to System User Guide for Officers, Proposal Development > Questionnaire.)

The PI or Department Administrator provides completed forms 800SR and 900SR for Non-UCI and Subrecipient investigators. Forms for subrecipients are typically included in the subrecipient proposal packages. Forms for Non-UCI investigators may be attached in PD, under the Attachments tab*.

* Please note: Attachments in KR do not carry over from PD to Institutional Proposals (IP). This means that at JIT / Award, even though the IP will be used for updating information about the project, Officers will look in PD for the status of completed forms 800SR and 900SR.

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SBIR/STTR Phase I Special Exception for Proposals with NIH Prime Sponsor

The customization for removal of the disclosure requirement for SBIR/STTR Phase I Proposals with NIH Prime Sponsor was not implemented in KR. This means there is an extra consideration when checking for completion of Annual Disclosures by UCI investigators.

Navigate to the Questionnaire in PD, and check the questions under the General Questionnaire to see if the proposal is in response to an SBIR or STTR solicitation, and is for Phase I Funding. If yes for both conditions, annual disclosure is not required.

Please Note: This is the only time we recommend that an investigator’s incomplete or positive Annual Disclosure status in KR should be ignored.

If you see SBIR or STTR with no indication of Phase I funding on the General Questionnaire, then annual disclosure is required.  Officers should proceed as usual with requesting annual disclosure from the investigator. (For more information, refer to System User Guide for Officers, Proposal Development > Questionnaire)

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Checking COI Status for PHS-funded Investigators on Continuing Awards

COI disclosure and training status for the list of investigators on the project will be available from Cognos.

Click on the link in Zot!Portal <portal.uci.edu> for “Personnel Conflict of Interest Status” to access the search screen in Cognos. Enter the Institutional Proposal (IP) number in the first column.

Search results will include links to the email addresses for individual investigators.

For anyone with incomplete COI disclosure and/or training status, Officers have the option to click on the link to generate an editable email.

Please note:  The Cognos report does not include Non-UCI Investigators or Subrecipient investigators.

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Still have questions?

Please contact the ERA Team < era@research.uci.edu> for assistance.

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