Rice University

Conflict of Interest

Frequently Asked Questions

  • COI Disclosures: Annual and Interim

    1. Who needs to complete a disclosure?
    2. What do I need to report in the disclosure?
    3. How and to whom do I submit my disclosure?
    4. When is the deadline to submit my disclosure?
    5. What happens after I submit my disclosure?
    6. I do not have any sponsored research at Rice. Do I need to submit a COI disclosure?
    7. What happens if I do not submit a disclosure?
    8. How do I update my COI disclosure?
    9. I have been asked to give a paid presentation and participate in a review of a non-profit research institution. Do I need to report the income I receive from these activities?
    10. The status of my Outside Interests and Activities has not changed since I submitted a disclosure last year. Do I still need to submit a disclosure for the current year?
    11. I am on leave from the University/on sabbatical/out of the country. Do I still need to submit a disclosure?
  • Definitions and General Concepts

    1. What is a Conflict of Interest (COI)?
    2. What are Institutional Responsibilities?
    3. What are Outside Activities?
    4. What are Outside Interests?
    5. What is a Significant Financial Interest (SFI)?
    6. What are some examples of Outside Interests or Activities that appear reasonably related to a Scholar's Institutional Responsibilities?
    7. What are some examples of Outside Interests and Activities that might need to be eliminated?
    8. What are some examples of situations that create COIs resulting from a SFI?
    9. What are some examples of situations that create COIs but are probably manageable with a management and monitoring plan?
    10. Which Outside Interests need to be reported to the University?
    11. Which Outside Interests do not need to be disclosed to the University?
    12. What is role of the Faculty Committee on Conflicts (FCC)?
    13. Who are considered Faculty Members, Faculty Fellows, and Investigators (a.k.a. Scholars)?
    14. Who is considered a Family Member?
    15. What University policies apply to COI?
  • Management and Monitoring

    1. Will the content of my COI disclosures be kept confidential?
    2. What happens if I report an Outside Interest or Activity?
    3. What is a management and monitoring plan?
    4. What is the role of my Dean's office in the identification and resolution of COI?
    5. What is the role of the Office of Sponsored Projects and Research Compliance (SPARC) in the identification of any disclosed Conflicts of Interest?
  • Proposal and Award Disclosures

    1. What are my obligations at the proposal submission stage:
    2. Will the Office of Sponsored Projects and Research Compliance (SPARC) still process my proposal if I report Outside Interests and Activities?
    3. Are subcontractors required to complete a disclosure?
    4. Are disclosures required for an individual with no effort and/or requested salary?
    5. Do the disclosure requirements extend to graduate students working on sponsored research?
    6. When does a disclosure or certification have to be provided for a person hired to fill a “to be named” personnel slot?
    7. Is a disclosure required for a post-doc receiving a fellowship like the NRSA?
    8. Does this policy apply to training grants? Do I need to provide the forms for all of the mentors even if they do not have any specified effort on the grant?
    9. Will the same procedures be followed for all sponsored research?
    10. Do these requirements extend to pre-award or advance spending fund?
    11. Do Scholars (Investigators) at other institutions need to use our COI forms or can they use their own proposal specific COI disclosure form?
    12. Can a fund be set up if a COI is identified?
    13. What are the responsibilities of a PI for reporting new or significantly changed Outside Interests and Activities during the period of the project?
  • Requirements for Public Health Service (including NIH) Investigators

    1. I have funding from the PHS (NIH). Is there anything special I need to know?
    2. What kinds of sponsored travel and travel reimbursements do I have to report?
    3. What kind of COI training am I required to complete?
    4. What are the PHS reporting requirements should an actual or potential COI be identified?
    5. Under what circumstances will Rice disclose information about my COIs to the public?
    6. What kind of information will Rice disclose for these requests?