1. Safeguarding the Integrity of University Research and Creative Activities

   这项政策规定了旨在保障大学研究和创造性活动的完整性的程序，并避免因重大经济利益而产生的偏见或不当行为, 在此策略中定义, 大学研究人员. 从事研究和创造性活动的教师和管理人员有义务避免与这些活动相关的利益冲突. Significant financial interests that could give rise to conflicts of interest must be disclosed to the University. 研究办公室, 与院长协商, 主席和董事, will work with 研究ers to develop management plans to eliminate conflicts of interest. If it is determined that a management plan cannot be developed, 受影响的研究人员必须采取适当措施，消除产生冲突的重大经济利益.

2. 范围

   This policy applies to university employees who serve as Investigators on Sponsored Activity Projects.

3. Responsibility for the Administration of this Policy

   The Office of the Vice President for Research and Creative Activity ("VPRCA") will develop 利益冲突披露指引 and forms and procedures necessary for the administration of this policy. 院长, 主席和董事 will have joint responsibility with the Office of the VPRCA for the review and approval of 财务披露及筛选报表 and the development and enforcement of Conflict of Interest Management Plans.

4. 定义

   1. "Family" means an Investigator's spouse and dependent children.

   2. “财务利益冲突”是指可能直接和显著影响设计的重大财务利益, 行为, 或报告赞助活动.

   3. "Financial Interest" means anything of monetary value, whether or not the value is readily ascertainable.

   4. "Sponsored Activities" means 研究 and other programs funded by agencies of the federal, 州或地方政府, 或由私人盈利或非营利性实体.

   5. "Institutional Responsibilities" means the services for which an Investigator is compensated by the University. 给一名教员, 机构责任意味着教学, 研究, and service activities in his or her area of professional expertise. 对于管理人员来说，这意味着在工作范围内的活动，他们可以得到大学的补偿.

   6. "Investigator" means the project director or principal investigator and any other person, 不论头衔或职位, 谁负责设计, 行为, 或报告赞助活动. Investigator may include collaborators or consultants. 有意提交资助建议的人士应了解，在提交某些资助来源的建议时，必须有管理任何已确定的利益冲突的规定，因此，财务利益冲突的披露程序应在计划提交之前完成.

   7. “重大经济利益”是指研究者或其家庭的利益，合理地表现为与研究者的机构责任相关，并符合以下条件之一:

      1. 披露前12个月内从任何公开交易实体获得的报酬，以及截至披露之日该实体的任何股权价值, 当聚合, 超过5美元,000;

      2. 披露前12个月内从任何非上市交易实体收取的薪酬合计超过5美元,000;

      3. any equity interest in a non-publicly traded entity;

      4. 知识产权权益, if the Investigator receives income related to such rights and interests.

      "Significant Financial Interest" does not include:

      1. Salary, royalties, or other remuneration paid by the University;

      2. income from investment vehicles such as mutual funds and retirement accounts, as long as the Investigator does not directly control the investment decisions made in these vehicles;

      3. 研讨会收入, 讲座, 或由联邦政府赞助的教学活动, 州或地方政府机构, 高等教育机构:高等教育机构, 学术型教学医院, a medical center or 研究 institute that is affiliated with 高等教育机构:高等教育机构;

      4. income from service on advisory committees or review panels for a Federal, 州或地方政府机构, 高等教育机构:高等教育机构, 学术型教学医院, a medical center or 研究 institute that is affiliated with 高等教育机构:高等教育机构.

   8. Remuneration means salary and any payment for services not otherwise identified as salary (e.g.、咨询费、酬金、稿酬).

   9. 权益是指任何股票, 股票期权, 或者其他所有权利益, as determined through reference to public prices or other reasonable measures of fair market value.

5. 财务披露及筛选报表

   1. Each Investigator who is planning to participate in Sponsored Activities must submit a 财务披露筛选声明 于申请赞助活动经费时，向所属学系系主任或主任递交申请. If the Activity does not involve an application process, 该声明必须在大学和资助实体签订合同之前提交.

   2. Each Investigator who is participating in Sponsored Activities must submit an Annual 财务披露筛选声明 in accordance with the 利益冲突披露指引. 一年一度的 财务披露筛选声明 shall include updated information on any matters previously disclosed.

   3. Each Investigator who is participating in Sponsored Activities must submit an updated 财务披露筛选声明 within 30 days after discovering or acquiring a new Significant Financial Interest.

   4. A 财务披露筛选声明 应报告以下信息:

      1. Significant Financial Interests, as defined in item IV (C)(7)以上;

   5. Any reimbursed or sponsored travel related to an Investigator's Institutional Responsibilities. This disclosure requirement does not apply to any travel that is reimbursed or sponsored by a Federal, 州或地方政府机构, 高等教育机构:高等教育机构, 学术型教学医院, a medical center or a 研究 institute that is affiliated with 高等教育机构:高等教育机构.

6. Review of 财务披露及筛选报表

   1. 调查人员应提交 财务披露及筛选报表 to their department chairs or 董事 and then to their deans for review and approval. 主席或董事和院长将审查声明，以确定是否存在与研究员机构责任相关的重大经济利益，以及是否构成潜在的利益冲突.

   2. 院长将向VPRCA办公室报告任何确定的潜在财务利益冲突，并与调查员协商后共同制定利益冲突管理计划.

   3. 椅子, 主任和院长将负责监督利益冲突管理计划的遵守情况，并向VPRCA办公室报告任何违规行为.

   4. Prior to the establishment of a Sponsored Activity expenditure account, the 财务披露及筛选报表 参与研究的调查人员必须经过审查和批准，任何必要的利益冲突管理计划必须到位.

   5. 在赞助活动项目开始后披露或发现的重大财务利益必须进行审查和批准，任何必要的利益冲突管理计划必须在60天内到位.

   6. 如果研究者未能披露被确定为经济利益冲突的重大经济利益, if the University fails to review or manage a Financial Conflict of Interest, or if an Investigator fails to comply with a Conflict of Interest Management Plan, 大学将在发现后120天内完成对研究者研究的回顾性审查，以确定设计中是否存在偏倚, 进行或报告研究. VPRCA办公室将保留回顾性审查的记录，并根据联邦法规向资助机构提交任何必要的报告.

   7. The Office of the VPRCA will develop guidelines and training to assist chairs, 董事, and deans in performing their responsibilities under this provision.

7. 调查人员培训

   在参与赞助活动之前，调查人员必须按照利益冲突披露指南完成培训计划，此后至少每四年完成一次. 当学校对本政策进行重大修订，或者发现调查员不遵守本政策或利益冲突管理计划时，培训计划也必须完成.

8. Disclosure and Reporting of Financial Conflicts of Interest

   1. In compliance with Federal regulations and consistent with the Ohio Public Records Law, 大学将确保通过公众可访问的网站公开披露有关任何财务利益冲突和相关利益冲突管理计划的信息，或在收到请求后五天内向任何请求者作出书面答复.

   2. 根据联邦相关法规的要求，大学将向联邦资助机构报告所有与这些机构资助的研究相关的财务利益冲突和相关的利益冲突管理计划.

9. 联邦资助研究的次级接受者

   大学将要求联邦资助研究的次级接受者证明他们采用了符合促进研究客观性的联邦法规的财务利益冲突政策.

评论家

Proposed revisions of this policy should be reviewed by:

1. 院长

2. 主席及董事

3. 总法律顾问

4. 教师参议院

5. 行政参议院

表格、参考资料和历史

1. 形式

   The following forms are specific to this policy:

   1. The 财务披露筛选声明 is available from the Office of Research Compliance, 或研究和赞助项目办公室, 或者从 http://www.OHIO.edu/research/compliance/Conflict-Forms.

2. 参考文献

   下列事项与本政策有关:

   1. The 利益冲突披露指引 are available online, linked through http://www.OHIO.edu/research/compliance/.

   2. 42 CFR 50.603, 42 CFR 50.604和42 CFR 50.605是在线的，链接自 Title 42, Chapter V, Subchapter D, Part 50, Subpart F.

3. 历史

   Draft versions of this policy that were circulated for review, 他们的封面备忘录, 他们的形式, and 评论家' comments on them are available on the 有密码保护的评论网站.

   Prior versions of this policy were approved on April 30, 2003, and October 1, 1995.