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CHAPTER 5 - SPECIAL PROGRAMS, PUBLICATIONS, AND PROJECTS
Sec. 5.11. Policy and Procedures for Promoting Objectivity in Research by managing, Reducing, or eliminating Conflicts of Interest
- I. BACKGROUND
- This policy is established to comply with the regulations of the Public Health Service (PHS) and the National Science Foundation (NSF), and the responsibility of The University of Texas at Austin, to promote objectivity in research by requiring that an employee of The University who applies for grants or cooperative agreements from the federal government for research or other educational activities or otherwise submits a proposal for sponsored research funding from any entity insures that there is no reasonable expectation that the design, conduct, and reporting of the research will be biased by any Significant Financial Interest (see paragraph III., below) of an Investigator (see paragraph III., below) responsible for the research or other educational activity. Based upon the federal regulations and The University's objective to maintain a research environment that promotes faithful attention to high ethical standards, this policy relating to conflicts of interest is to be administered in conjunction with Texas laws setting forth standards of conduct, Texas Government Code, Chapter 572, and the Code of Ethics of The University of Texas System, Part One, Chapter III, Section 4, Regents' Rules and Regulations (see Attachment One to HOP Sec. 5.11).
- II. POLICY STATEMENT RELATING TO CONFLICTS OF INTEREST
- Prior to seeking institutional approvals for submission of sponsored research proposals, each faculty member, principal investigator, or other researcher responsible for the design, conduct, or reporting of the research or other educational activities proposed for funding (Investigator) shall submit to the Director of the Office of Sponsored Projects a financial disclosure statement using the form in Attachment Two to HOP Sec. 5.11 which lists all Significant Financial Interests of the Investigator, his or her spouse, and/or dependent children that reasonably would appear to be affected by the research or other educational activities proposed for funding. Each such financial disclosure statement must be updated during the period of the research grant or contract on an annual basis, or more often if any new reportable Significant Financial Interests are obtained. In addition, even if the researcher has no reportable Significant Financial Interests at the time a proposal is written/submitted and/or a grant or contract is awarded, he or she has the obligation to complete a financial disclosure statement if any reportable Significant Financial Interests are obtained subsequently.
- III. DEFINITIONS
- A. Significant Financial Interests: A 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) that reasonably would appear to be affected by the research proposed for funding. The term does not include:
- (1) salary, royalties, or other remuneration from The University of Texas at Austin;
- (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; or,
- (4) financial interests in business enterprises or entities if the value of such interests does not exceed $10,000 per annum of salary, fees, and other continuing payments, or does not represent more than a five percent (5%) ownership interest in any one enterprise or entity when aggregated for the Investigator and the Investigator's spouse and dependent children.
- B. Investigator: An Investigator is each faculty member, principal investigator, or other researcher responsible for the design, conduct, or reporting of the research or other educational activity proposed for funding. In some cases, even graduate students and postdoctoral fellows may be responsible for the design, conduct, or reporting of research such that the graduate student or postdoctoral fellow is considered to be an Investigator under this policy and may be required to complete a financial disclosure statement. The principal investigator on each grant or contract should insure that all researchers on the project are aware of and comply with this policy.
- IV. PROCEDURES
- A. It is the responsibility of each Investigator to submit, when applicable, an annual statement of Significant Financial Interests to the Director of the Office of Sponsored Projects. The Office of Sponsored Projects is responsible for receiving and reviewing all such statements and updates thereof. If the Investigator believes, after considering all his or her financial interests, that no Significant Financial Interests need to be reported, he or she shall so certify to the Director of the Office of Sponsored Projects when a research proposal is submitted for review and processing. Regardless of the minimum requirements contained in paragraph III, above, an Investigator may wish to disclose any other financial or related interest that could present an actual conflict of interest or be perceived to present a conflict of interest.
- B. The Committee on Objectivity in Research will take such actions as are necessary to insure that reported Significant Financial Interests will be managed, reduced, or eliminated. The Committee on Objectivity in Research is responsible to the Vice President for Research. The Committee is chaired by the associate Vice President for Research. Other committee members are the Director of the Office of Sponsored Projects, the Chair of the General Faculty Standing Committee on Research, the Associate Dean for Research in the College of Engineering, the Associate Dean for Research in the College of Natural Sciences, and the Vice Provost and Counsel to the President.
- At a minimum, the Committee will determine whether a Significant Financial Interest could affect the design, conduct, or reporting of the research activities funded or proposed for such funding, and determine what conditions or restrictions, if any, should be imposed to manage such interests. any conditions or restrictions to resolve or manage conflicts of interest must be determined and implemented before the expenditure of any funds awarded under a grant or contract. Examples of conditions or restrictions that may be imposed to manage actual or potential conflicts of interest include:
- (1) public disclosures of Significant Financial Interests;
- (2) monitoring of the research by independent reviewers;
- (3) modification of the research plan;
- (4) disqualification from participation in all or a portion of the research project in question;
- (5) divestiture of Significant Financial Interests; or,
- (6) severance of relationships that create actual or potential conflicts.
- C. The Director of the Office of Sponsored Projects will maintain all records received and created pursuant to this policy as well as all records of actions taken with respect to each Significant Financial Interest at least three years beyond the termination or completion of the research grant or contract, or until resolution of any action by the granting or contracting agency/entity involving the records, whichever is longer.
- D. In the event that PHS-supported or NSF-supported research at The University is carried out through a subcontractor or collaborator, The University shall require that the subcontractor or collaborator certify that its Investigator(s) working on the research project is in compliance with a policy on objectivity in research that meets requirements of the PHS and NSF regulations.
- V. ENFORCEMENT
- The University of Texas at Austin anticipates that its Investigators will comply fully and promptly with this policy. Instances of deliberate breach, including failure to submit required statements or updates thereof; failure to provide additional information requested by the Director of the Office of Sponsored Projects or the Committee on Objectivity in Research; knowingly filing an incomplete, erroneous, or misleading statement; knowingly violating applicable laws, and the Regents' Rules and Regulations. Such action could result in a formal reprimand, nonrenewal of appointment, termination of appointment for good cause, or any other enforcement action mandated by the federal granting agency, as applicable. The department chair (or organized research unit director) and dean, as well as the Committee on Objectivity in Research, shall be advisory to the Vice President for Research who shall make recommendations for any disciplinary or enforcement actions. An Investigator who is the subject of a disciplinary action may appeal such action in accordance with established University grievance procedures.
- B. If the failure of an Investigator to comply with policy has biased the design, conduct, or reporting of research, The University will take corrective action and promptly notify the federal granting agency, if applicable, of the incident and the corrective action taken.
Attachment One to HOP Sec. 5.11
REGENTS' RULES, PART ONE, CHAPTER III, SECTION 4
- Sec. 4. Ethics Policy.--
- --Officers, faculty, and employees of the U.T. System may not have a direct or indirect interest, financial or otherwise, of any nature that is in conflict with the proper discharge of the officer's or employee's duties. Officers, faculty, and employees shall timely furnish such written disclosures as may be required by state and federal authorities of by System requirement. all officers, faculty, and employees shall adhere to the laws, rules, regulations and policies of applicable governmental and institutional authorities and the following standards of conduct. The failure to do so may be grounds for disciplinary action, up to and including termination of employment.
- 4.1 No employee shall accept or solicit any gift, favor, or service that might reasonably tend to influence the employee in the discharge of his or her official duties or that the employee knows or should know is being offered with the intent to influence his or her official conduct.
- 4.2 No employee shall intentionally or knowingly solicit, accept, or agree to accept any benefit for having exercised his or her official powers or performed his or her official duties in favor of another.
- 4.3 No employee shall accept employment or engage in any business or professional activity which the employee might reasonably expect would require or induce the employee to disclose confidential information acquired by reason of his or her official position.
- 4.4 No employee shall disclose confidential information gained by reason of his or her official position or otherwise use such information for his or her personal gain or benefit.
- 4.5 No employee shall transact any business in his or her official capacity with any business entity of which the employee is an officer, agent, or member, or in which the employee owns a substantial interest.
- 4.6 No employee shall make personal investments which could reasonably be expected to create a substantial conflict between the employee's private interest and the public interest.
- 4.7 No employee shall accept other employment or compensation which could reasonably be expected to impair the employee's independence of judgment in the performance of the employee's public duties.
- 4.8 Sexual Harassment and Misconduct: The educational and working environments of the System and its component institutions should be free from inappropriate conduct of a sexual nature. Sexual misconduct and sexual harassment are unprofessional and unacceptable....
TEXAS GOVERNMENT CODE
- Sec. 572.051. Standards of Conduct
- A state officer or employee should not:
- (1) accept or solicit any gift, favor, or service that might reasonably tend to influence the officer or employee in the discharge of official duties or that the officer or employee knows or should know is being offered with the intent to influence the officer's or employee's official conduct;
- (2) accept other employment or engage in a business or professional activity that the officer or employee might reasonably expect would require or induce the officer or employee to disclose confidential information acquired by reason of the official position;
- (3) accept other employment or compensation that could reasonably be expected to impair the officer's or employee's independence of judgment in the performance of the officer's or employee's official duties;
- (4) make personal investments that could reasonably be expected to create a substantial conflict between the officer's or employee's private interest and the public interest; or
- (5) intentionally or knowingly solicit, accept, or agree to accept any benefit for having exercised the officer's or employee's official powers or performed the officer's or employee's official duties in favor of another.
Attachment Two to HOP Sec. 5.11
THE UNIVERSITY OF TEXAS AT AUSTIN
FINANCIAL DISCLOSURE AND CONFLICT OF INTEREST REPORT
POLICY ON PROMOTING OBJECTIVITY IN RESEARCH
INSTRUCTIONS: This report must be completed either in ink or typewritten. Attach pages of this size if additional space is needed on any response and identify each response by the part to which it relates. When required to identify an individual or business entity, indicate the address of the principal office of the individual or entity.
NAME OF INVESTIGATOR: ________________________________________________________ Campus Address: ______________________________________________________________ ______________________________________________________________________________ Home Address: ________________________________________________________________ ______________________________________________________________________________ Position Held: _______________________________________________________________ Grant/Contract Sponsoring Entity:_____________________________________________ Period of Proposed Work: _____________________________________________________ This report must include information related to the employee and to his or her spouse and dependent children. An employee's child, adopted child, or stepchild is a "dependent child" if the employee provides over 50 percent of the child's support during the calendar year. SPOUSE: ______________________________________________________________________ Home Address: ________________________________________________________________ ______________________________________________________________________________ Name and Address of Employer: ________________________________________________ ______________________________________________________________________________ Position Held: _______________________________________________________________ If Self-Employed: Name and Address of Business:_________________________________________________ ______________________________________________________________________________ Nature of Occupation:_________________________________________________________ DEPENDENT CHILD 1: ___________________________________________________________ Home Address: ________________________________________________________________ ______________________________________________________________________________ Name and Address of Employer: ________________________________________________ ______________________________________________________________________________ Position Held: _______________________________________________________________ If Self-Employed: Name and Address of Business:_________________________________________________ ______________________________________________________________________________ Nature of Occupation:_________________________________________________________ DEPENDENT CHILD 2: ___________________________________________________________ Home Address: ________________________________________________________________ ______________________________________________________________________________ Name and Address of Employer: ________________________________________________ ______________________________________________________________________________ Position Held: _______________________________________________________________ If Self-Employed: Name and Address of Business:_________________________________________________ ______________________________________________________________________________ Nature of Occupation:_________________________________________________________ DEPENDENT CHILD 3: ___________________________________________________________ Home Address: ________________________________________________________________ ______________________________________________________________________________ Name and Address of Employer: ________________________________________________ ______________________________________________________________________________ Position Held: _______________________________________________________________ If Self-Employed: Name and Address of Business:_________________________________________________ ______________________________________________________________________________ Nature of Occupation:_________________________________________________________ Please indicate for items 1, 2, 3, and 4 whether the information pertains to the U.T. employee (UTE) filing the Report or the UTE's spouse (S), dependent child 1 (DC1), dependent child 2 (DC2), etc. For all Significant Financial Interests, as defined in paragraph III, HOP, Sec. 5.11: 1. List the names of all corporations (both for-profit and not-for-profit) or other entities for which you, your spouse, or dependent child serve as an officer or as a member of the governing board in the capacity of a director, advisory director, or trustee. Level of Office or Position Individual Name of Corporation Compensation Held ---------- ------------------- ------------- --------------------- 2. List the names of any partnership, limited partnership, proprietorship, or other unincorporated business entity of which either you, your spouse, or dependent child is a partner, joint venturer, or owner. Level of Office or Position Individual Name of Business Entity Compensation Held ---------- ------------------------ ------------- ------------------- 3. Other than as listed in Item 1, have you, your spouse, or dependent child been employed or received compensation (or other monetary benefit) from any business entity or individual other than U.T. during the last calendar year? (Yes ___ No ___ ). If yes, please provide the name of the employer and compensation received. Level of Office or Position Individual Name of Business Entity Compensation Held ---------- ------------------------ ------------- ------------------- 4. List all businesses or other entities in which you and/or your spouse and/or dependent child are a) the owner(s) of more than a 5% interest, whether voting or nonvoting; b) entitled to more than a 5% interest of the profits, proceeds, or capital grains; c) receiving more than 5% of your total income; d) the recipient of more than $10,000 per year; or e) the owner or beneficiary of any intellectual property rights licensed to, owned, or managed by the entity. ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ 5. Do any of the entities described in questions (1) through (4) have any business relationship, to the best of your knowledge, with the U.T. System or a component institution? (Yes ___ No ___ ). If yes, provide a description of the relationship. ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ 6. How could any of these financial interests reported be affected by the research or other educational activity proposed for funding? ______________________________________________________________________________ _____________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ I do solemnly swear that to the best of my knowledge and belief the foregoing information is true and correct. ______________________ _________________________ Signature Date Sworn to and subscribed by ______________________________, this the ____________ day of __________________________, 19__, to certify which, witness my hand and seal of office. ______________________________ Signature of Officer (Notary) Administering Oath