2a. Disclosing financial interests related to research
Jump to section:
- Whom do I contact?
- How do I know if I need to submit a financial interest disclosure form, and when should I submit it?
- How do I get started?
- What are the training obligations? Are educational resources available?
- How does the University determine if there is a conflict of interest related to research?
- What should I expect if the Conflict of Interest in Research Office determines that I have a conflict of interest? How do I get a management plan?
- Will the office monitor me after I receive a management plan?
- What are my continuing obligations concerning conflict of interest?
- What are other relevant policies, procedures, and resources?
1. Whom do I contact?
To disclose financial interests, contact the Conflict of Interest in Research Office, housed within the Human Subjects Office, part of the Office of the Vice President for Research.
319-384-4256
Staff Directory
Conflict of Interest in Research website
2. How do I know if I need to submit a financial interest disclosure form, and when should I submit it?
Anyone involved in research—externally sponsored nonhuman subjects research or any human subjects research (whether externally sponsored or not)—must file a financial interest disclosure form annually. “Involved in research” means you are listed as key personnel on a proposal routing form or an Institutional Review Board (IRB) application.
To be listed on a routing form or IRB application, you must have an annual certification on file even if you have no financial interests in non-university entities.
The disclosure period occurs during the first quarter of each calendar year. Researchers are responsible for keeping their disclosure information up to date throughout the year.
If you join the University of Iowa after the disclosure period, submit your disclosure form once you have a HawkID and password.
3. How do I get started?
Log in to the eCOI system with your HawkID and password. Step-by-step instructions for completing your disclosure are available in the eCOI Users Guide.
4. What are the training obligations? Are educational resources available?
Conflict of interest training is required for all researchers before initiating research and every four years thereafter. The training module is embedded in the financial interest disclosure form, allowing you to complete training and disclosure simultaneously by logging in to the eCOI system with your HawkID and password.
5. How does the university determine if there is a conflict of interest related to research?
When you submit a proposal to the Division of Sponsored Programs (DSP), you will be asked whether anyone listed in the personnel section has potential conflicts of interest related to the project. The Conflict of Interest in Research Office then reviews your proposal and financial interest disclosure form to determine whether your financial interests:
Meet thresholds specified by federal regulation and university policy.
Could directly and significantly affect the design, conduct, or reporting of the research.
If your financial interests meet these criteria, a financial conflict of interest—or the appearance of one—may exist.
6. What should I expect if the Conflict of Interest in Research Office determines that I have a conflict of interest? How do I get a management plan?
The Conflict of Interest in Research Committee, with faculty representation from a broad range of research disciplines, will review the materials related to your financial interest(s) and the proposed research. The committee will develop a recommended management plan and send it to the Vice President for Research. Then a written management plan will be sent to you for your review and signature. You may contact the Conflict of Interest in Research Office if you want to discuss your management plan.
7. Will the office monitor me after I receive a management plan?
The Conflict of Interest in Research Office may monitor whether you are following the terms of your management plan. All issued management plans are subject to monitoring. You must be able to document your compliance. For example, when you publish or present study results, retain any conflict-of-interest notices sent to journals, conference organizers, or others.
8. What are my continuing obligations concerning conflict of interest?
You are responsible for updating your disclosure form annually during the period of the research and within 30 days of identifying or acquiring a new financial interest.