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PHS COI Policy Update

Learn about the revisions to the PHS regulations on financial conflict of interest implementation plans, including disclosure thresholds, types of interests to disclose, timing of disclosures, and review procedures. Understand the definition of institutional responsibilities and the importance of compliance with the updated regulations.

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PHS COI Policy Update

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  1. PHS COI Policy Update Grace Park, COIOC Administrator Office of Research June 2012

  2. Objectives Highlight Revisions to the PHS Regulations on Financial Conflict of Interest Implementation Plans Contact Information Questions

  3. Background In 1995, the Public Health Service (PHS) published regulations to promote objectivity in research The final rule revising the 1995 PHS regulations were issued on August 25, 2011 Implementation deadline is August 24, 2012

  4. PHS COI Revisions

  5. Definition of Significant Financial Interest (SFI) - Threshold 1995 Regulations Must disclose if aggregate payments or equity interests are greater than $10,000 2011 Regulations Must disclose if aggregate payments or equity interests are greater than $5,000 Any equity in non-publicly traded entities Any travel payments and/or reimbursements

  6. Travel Investigators must disclose any reimbursed or sponsored travel Purpose of the trip Identity of sponsor/organizer Destination Duration

  7. Exclusions 1995 Regulations Income from seminars, lectures, or teaching, and service on advisory committees or review panels, for public or nonprofit entities 2011 Regulations Income from seminars, lectures, or teaching engagements sponsored by and service on advisory or review panels for a federal, state, or local government agency, an institution of higher education as defined at 20 U.S.C. 1001(a), an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education

  8. What Must Be Disclosed 1995 Regulations Only Significant Financial Interests (SFI) the Investigator deems related to PHS-funded research 2011 Regulations All SFIs related to Investigator’s institutional responsibilities

  9. Definition of Institutional Responsibilities “Institutional Responsibilities” is defined as teaching/education, research, outreach, clinical service, and University and public service on behalf of the UC which are in the course and scope of the Investigator’s UC employment.

  10. Determination of Relatedness 1995 Regulations Investigator bore the responsibility for determining the relatedness of a SFI to the PHS funded research as part of the disclosure process 2011 Regulations The Institution has the responsibility for determining whether an Investigator’s SFI is related to the PHS funded research

  11. Timing of the Disclosures 1995 Regulations • Disclosures of SFI were submitted at time of award 2011 Regulations • Disclosures of SFI related to institutional responsibilities disclosed at time of proposal • Within 30 days of discovering or acquiring a new SFI • Annually during the period of award

  12. Review Procedure Disclosure at time of proposal – SFI related to institutional responsibilities Review of relatedness At time of award - submission of addendum for SFI related to PHS funded research COIOC Review

  13. Going Forward

  14. UCI’s Preparations Coordinating with other UC campuses Updating UCI’s policy, procedures, and forms Promoting awareness of the PHS revisions and UCI’s procedural changes

  15. Campus Awareness Educating and informing the campus is essential: To prevent delays in the release of PHS funding To minimize the administrative burden on researchers and staff To facilitate the transition to complying with the new regulations

  16. Contact Information Grace Park, COI Administrator parkgj@uci.edu (949) 824-7218 Nadia Wong, COI Analyst nadiaw@uci.edu (949) 824-0012

  17. Questions?

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