ࡱ> tvsc -bjbj 4LMbMbZ%% ...8fT,.Bat("000ddd```````$ble `ddddd`004`dF00`d`jY7]0 [2`a0Ba[vxfdxfd7]7]xf1^|ddddddd``dddBaddddxfddddddddd B : Procedures for Complying with the Financial Conflict of Interest (FCOI) Requirements of the National Science Foundation (NSF) PART A: Notification At the time an NSF proposal is routed in the PTAP system, an email notice will be distributed to Principal Investigators (PIs) and co-investigators that will inform each PI and co-investigator on the project concerning the LUC policy on  HYPERLINK "http://www.luc.edu/ors/conflictsinterestpolicy.shtml" Conflicts of Interest in Externally Funded Projects and their responsibilities regarding disclosure of significant financial interests (SFI) as defined in Part C of these procedures. The notice will state that the PI should contact the ORS Director if there are any key personnel on the NSF-funded project who are not listed as co-investigators. The notice will also state that any changes in SFI previously reported must be updated as they occur during the life of the project. PART B: Institutional Official The Provost is the institutional official designated to review disclosures of significant financial interests (SFI), as described in Part C of these procedures. PART C: SFI Disclosure and FCOI Determination Principal Investigators (PIs), co-investigators, or key personnelhereinafter called investigatorswho are responsible for the design, conduct, and/or reporting of research or educational activities funded or proposed for funding by NSF are required to disclose, on behalf of themselves, their spouses, and their dependent children, first, whether they have any Significant Financial Interest that would reasonably appear to be affected by such activities, or any Significant Financial Interest in any entity whose financial interests would reasonably appear to be affected by such activities, and, second, if so, what those interests are. For PIs and co-investigators, these questions will be answered in confidence via a secure FCOI website [accessed via the PTAP system]. For other key personnel on the project, the ORS Director will manage the process via emails, as described below. Significant Financial Interest (SFI) The term significant financial interest (SFI) means anything of monetary value, including, but not limited to, salary or other payments for services (e.g., consulting fees or honoraria); equity interest (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: salary, royalties or other remuneration from LUC; income from seminars, lectures, or teaching engagements sponsored by public or non-profit entities; income from service on advisory committees or review panels for public or nonprofit entities; an equity interest that, when aggregated for the investigator and the investigators spouse and dependent children, meets both of the following tests: does not exceed $10,000 in value as determined through reference to public prices or other reasonable measures of fair market value, and does not represent more than a 5% ownership interest in any single entity; or salary, royalties or other payments that, when aggregated for the investigator and the investigators spouse and dependent children, are not expected to exceed $10,000 during the succeeding twelve months. FCOI Website for PIs and Co-Investigators (NSF) The FCOI (NSF) website [accessed through the PTAP system] will need to be accessed by PIs and co-investigators on all proposed projects where the SFI checkbox in section G of the PTAP Proposal Setup screen indicates an NSF-funded project. The website is in the form of a questionnaire and optional disclosure form to be completed by the relevant individual(s) at the time of proposal submission and updated whenever there is a change in previously reported SFI. The questionnaire asks Do you or your spouse or your dependent children have any SFI as defined in the questionnaire that may be affected by the outcome of the proposed project, or SFI in business entities whose financial interests may be affected by the outcome of the proposed project? If the investigator answers Yes (s)he will be asked to complete an on-line Significant Financial Interests Disclosure Form (NSF). The results of the questionnaire and the disclosure form (when required) will be stored in the PTAP system. Procedure for Other Key Personnel (NSF) PIs will inform the ORS Director of other key personnel on their projects. The ORS Director will first send an email with an attached Other Key Personnel SFI Questionnaire (NSF) to each key personnel. Returned questionnaires with a No response will be filed in the grant folder. If a returned questionnaire has a Yes response, the ORS Director will promptly send an Other Key Personnel SFI Disclosure (NSF) form for the key personnel to complete and return. Significant  HYPERLINK "https://ww2.uthouston.edu/dotAsset/3171444.doc" Financial Interests Disclosure Form (NSF) Completed questionnaires with a No response will be reviewed by the ORS Director. Completed questionnaires with a Yes response and completed disclosure forms will be reviewed by the Provost. After reviewing the information disclosed, the Provost will make the following determination: Whether either (a) the SFI could be affected by the proposed project, or (b) the SFI is in an entity whose financial interest could be affected by the project. The Provost may consult with the investigator in making this determination. If the determination is Yes for either (a) or (b), a potential financial conflict of interest (FCOI) will be deemed to exist. The ORS Director will need to coordinate the development and implementation of an FCOI Management Plan (see Part D) prior to the expenditure of any funds under the proposed project. PART D: Managing FCOI The ORS Director will coordinate the development of any FCOI management plan that may be required under these procedures. Such coordination will involve at least consultation with the Provost and the individual found to have the potential FCOI. Management plans will address, at a minimum, the following: Role and principal duties of the conflicted investigator in the research project; Conditions of the management plan; How the management plan is designed to safeguard objectivity in the research project; Confirmation of the investigators agreement to the management plan; and How the management plan will be monitored to ensure investigator compliance. Examples of conditions or restrictions that might be imposed to manage a potential FCOI include, but are not limited to: (i) Public disclosure of financial conflicts of interest (e.g., when presenting or publishing the results of the NSF-funded project); (ii) For research projects involving human subjects research, disclosure of financial conflicts of interest directly to participants; (iii) Appointment of an independent monitor capable of taking measures to protect the design, conduct, and reporting of the project and/or project results against bias resulting from the potential FCOI; (iv) Modification of the plan of the research or educational activities; (v) Change of personnel or personnel responsibilities, or disqualification of personnel from participation in all or a portion of the project; (vi) Reduction or elimination of the financial interest (e.g., sale of an equity interest); or (vii) Severance of relationships that create financial conflicts. Whenever LUC implements an FCOI management plan, LUC will monitor investigator compliance with the management plan on an ongoing basis until the completion of the project. PART E: Maintaining Records ORS will maintain records relating to all investigator disclosures of financial interests and LUCs review of, and response to, such disclosures (whether or not a disclosure resulted in LUCs determination of a potential FCOI), and all actions under these procedures, for at least three years from the date the final expenditure report is submitted to the sponsoring agency. PART F: Enforcement Mechanisms LUC anticipates that investigators will comply fully and promptly with the FCOI policy and these procedures. Examples of non-compliance include, but are not limited to: failure to submit required disclosures or updates; failure to provide additional information requested by ORS or by the Provost; knowingly filing an incomplete, erroneous or misleading SFI Disclosure; failing to comply with conflict of interest management plans; or knowingly violating applicable laws or regulations. Non-compliance may result in disciplinary action and/or sanctions. Examples of possible sanctions include formal reprimand; non-renewal of appointment; termination of appointment for good cause; and/or any other enforcement action mandated by the sponsoring agency. The Provost is responsible for investigating instances of non-compliance and making recommendations regarding possible sanctions to the provost. In making these investigations, he/she may consult with the applicable department chair, dean, or other appropriate individuals. If the failure to comply has resulted in a bias of the design, conduct or reporting of the NSF-funded project, the Provost will take appropriate corrective actions and promptly notify NSF of corrective actions to be taken. An investigator who is the subject of a disciplinary action may appeal such action in accordance with established university faculty or staff grievance and/or disciplinary procedures, as applicable.     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