Conflict of Interest

Principal investigator:

  • Files Annual Financial Disclosure (AFD) form with chair/director
  • Files Project based Conflict of Interest Form when necessary
  • Complies with Management, Monitoring and Implementation Plan ("plan") to manage any conflict of interest, if necessary

Other research personnel:

  • File Annual Financial Disclosure (AFD) form with chair/director
  • File Project based Conflict of Interest Form when necessary
  • Comply with Management, Monitoring and Implementation Plan ("plan") to manage any conflict of interest, if necessar

Department/center/project financial officer: N/A

Department chair/center director:

  • Determines which employees must file AFD form (is aware of which employees need to file form)
  • Distributes AFD forms annually to employees as necessary
  • Ensures that AFD forms are completed
  • Forwards forms to University Conflict of Interest officer
  • Participates in development of Conflict of Interest management plan as necessary
  • Provides process and oversight for implementation of Conflict of Interest management plan, as necessary
  • Assures that project is in compliance with state, federal, sponsor and University of Utah policies and regulations regarding conflict of interest
  • Promotes University compliance efforts and programs regarding conflict of interes

Deans office/designee:

  • Monitors conflict of interest management plans within college/school
  • Promotes University compliance efforts and programs regarding conflict of interes

Executive administration:

  • Promotes University compliance efforts and programs regarding conflict of interest
  • Appoint members of the Conflict of Interest committee
  • Review appeals of determinations made by the Designated Official or the Conflict of Interest Committee
  • Coordinate investigation of a violation
  • Determine resolution of violations, and penalties, where appropriate

Conflict of Interest committee:

  • The Designated Official and the Conflict of Interest Officer review annual disclosure forms and project conflict evaluation forms to make recommendations to the Conflict of Interest Committee regarding resolution of the potential conflicts
  • Considers potential conflicts of interest and determines if changes in the Principal Investigator, other research personnel or project design are necessary
  • Makes the determination to manage, reduce or eliminate the conflict, if necessary
  • Develops a management, monitoring and implementation plan in conjunction with the Principal Investigator and his/her chair/director
  • Forwards any reports of violations to the appropriate line Vice President with a recommendation for response

Environmental Health and Safety, Department: N/A

Governmental Accounting and Support Services: N/A

Institutional Animal Care and Use Committee / Animal Resource Center: N/A

Institutional Review Board:

  • Director serves on Conflict of Interest Committee
  • Receives reports of Conflict of Interest from Conflict of Interest Committee
  • Assures that appropriate disclosures are made to research subjects

Office of Internal Audit:

  • Provides information, analyses, and counsel to assist management in ethically, effectively, and efficiently fulfilling their management responsibilities
  • Examines, evaluates and reports on the adequacy and reliability of existing internal controls
  • Upon management request, reviews and evaluates specific grants and contracts to ensure that employees have adequately disclosed conflict of interest situations

Radiological Health, Department: N/A

Institutional Biosafety Committee : N/A

Office of Sponsored Projects:

  • Coordinates Conflict of Interest disclosures for projects as per University policy
  • The Director serves as the UU Designated Official (DO),
    • consults with Conflict of Interest Official on matters of Conflict of Interest
    • responsible for reviewing all financial disclosures and reporting any apparent conflicts to the Conflict of Interest Committee
    • serves on the Conflict of Interest Committee
    • Reports University actions regarding conflicts of interest to funding agencies
  • DO forwards reports of violations to Conflict of Interest committee and sponsoring agency (as necessary)

Technology Transfer Office:

  • Staff member serves as Designated Official
  • Interprets specific circumstances where researchers have dual relationships as creators of University of Utah intellectual property and involvements with corporations
  • Follows process for notification of potential issues
  • Office personnel serve on Conflict of Interest Committee