Collected Rules and Regulations

Research

Chapter 420: Allegations of Research Dishonesty

420.030 Conflict with the Interests of Federal Grant Agencies

Executive Guideline 32, 9-18-95.

1. Purpose -- This Executive Guideline is intended to comply with the requirement of the National Science Foundation (NSF) and the Public Health Service of the Department of Health and Human Services (PHS), that grantee institutions maintain an appropriate written and enforced policy on conflict of interest consistent with provisions in the NSF Grant Policy Manual and 42 CFR Part 50 and 45 CFR Part 94.
    
2. Definitions -- For the purposes of this Executive Guideline, the following terms have the meanings stated:
   1. The term "investigator" means the principal investigator, co-principal investigators, and any other person at the University of Missouri who is responsible for the design, conduct, or reporting of research or educational activities funded or proposed for funding by NSF or PHS.
   2. The term '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 University;
      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. an equity interest that when aggregated is both not more than $10,000 and is not more than 5 percent ownership interest in any single entity; or
      5. salary, royalties or other payments that when aggregated for the next twelve months, is expected to be not more than $10,000.
       
3. Investigator's Duty -- Each investigator shall disclose to the Reviewer(s) all significant financial interests of the investigator (including those of the investigator's spouse and dependent children):
   1. that would reasonably appear to be directly and significantly affected by the NSF- or PHS-funded research or educational activities; or
   2. in entities whose financial interests would reasonably appear to be directly and significantly affected by such activities.
   3. This information must be disclosed:
      1. at the time the proposal is submitted;
      2. on an annual basis during the project period; and
      3. immediately as new significant interests are obtained.
             For PHS proposals and awards, subgrantees, contractors and collaborators shall have the same duty to disclose as investigators. Investigators shall have the responsibility to submit the relevant financial disclosure of subgrantees, contractors or collaborators.
       
4. Institutional Review -- The Chancellor of each campus shall designate one or more persons (Reviewer) to review financial disclosures, determine whether an actual or potential conflict with the interests of NSF or PHS exists, and determine what conditions or restrictions, if any, should be imposed by the University to manage, reduce or eliminate such conflict of interest and resolve actual or potential problems revealed.
   1. For the purpose of this Executive Guideline, an actual or potential conflict of interest exists when the Reviewer reasonably determines that a significant financial interest could directly and significantly affect the design, conduct, or reporting of the research or educational activities funded or proposed for funding by NSF or PHS.
   2. Examples of conditions or restrictions that might be imposed to manage, reduce or eliminate actual or potential conflicts of interest include, but are not limited to:
      1. public disclosure of significant financial interests;
      2. monitoring of research by independent reviewers;
      3. modification of the research plan;
      4. disqualification from participation in the portion of the NSF-funded research that would be affected by the significant financial interests;
      5. divestiture of significant financial interests; or
      6. severance of relationships that create actual or potential conflicts.
   3. If the Reviewer determines that imposing conditions or restrictions would be either ineffective or inequitable, and that the potential negative impacts that may arise from a significant financial interest are outweighed by interests of scientific progress, technology transfer, or the public health and welfare, then the Reviewer may allow the research to go forward without imposing such conditions or restrictions.
   4. If the University is unable to satisfactorily manage an actual or potential conflict of interest, the Reviewer shall keep the NSF or PHS appropriately informed.
   5. PHS shall be informed of all conflicts and mechanisms for managing them.
       
5. Enforcement
   1. Allegations of undisclosed conflicts with the interests of NSF or PHS or of failures to comply with conditions or restrictions imposed to manage, reduce or eliminate such conflicts shall be investigated by the University.
   2. Conduct by an employee that violates this policy shall constitute a breach of the employment contract and may lead to disciplinary action up to and including termination.
   3. Conduct by subgrantees, contractors or collaborators that violates this policy shall constitute a breach of contract and may lead to appropriate action, up to and including termination of the contractual agreement.
       
6. Records -- The University will retain records of investigator financial disclosures and of actions taken to manage conflicts of interest for until (for NSF) three years after the later of the termination or completion of the award to which they relate or the resolution of any government action involving those records; or (for PHS) for three years after final payment or, where applicable, for the other time periods specified in 48 CFR Part 4, subpart 4.7.