Instructions for Reporting

(PDF version here)
 
INSTRUCTIONS FOR REPORTING OUTSIDE INTERESTS
University of Arizona

Reporting of financial or other outside interests is required by University of Arizona, Arizona State, and Federal research policies. The following instructions will help to determine which reporting form is right for your situation.

A report must be submitted by anyone who is:

  • responsible for the design, conduct, reporting or approval of research; and/or
  • directly involved in the enrollment, counseling, treatment or evaluation of research participants or evaluation of research results at the UA or any facility in which that person conducts UA research activities.

These individuals must report to the University when they (or their relatives): 1) receive income other than salary for the proposed research from; 2) have an equity interest in; or 3) have a management position with, a private entity that:

  • sponsors a research project in which the individual is involved; and/or
  • could be considered as related to the individual's federally or publicly sponsored research.
NOTE: It is the responsibility of the Principal Investigator to ensure that disclosable interests are reported by ALL personnel described above before the project is awarded funding.
1. Are you submitting a research proposal or subcontract to Sponsored Projects Services (SPS) or the Office of Research Contracts and Analysis (ORCA)?
If yes, submit a signed “Report of Outside Interests Related to Research” to the Office of the Vice President for Research (coi@email.arizona.edu).
2. Are you beginning or requesting continuation of a study, either sponsored or investigator-initiated, that involves human subjects?
3. Are you reporting the addition of a:
  • new investigator or other personnel to an existing project?
  • new interest in the sponsor of an existing project?
  • new subcontract/award related to an ongoing project?
  • modification that significantly alters the scope of work?
4. Are you about to enter into a consulting agreement with an outside entity (whether the entity is for-profit, not-for-profit, or government)?
If yes, submit a “Notice of Intent to Consult” to your Department Head at least 4 weeks prior to the start of your activities.
5. Are you a Department Head or Supervisor seeking information regarding the status of your employees’ outside activities?
If yes, the “Annual Conflict of Interest and Conflict of Commitment Form” was created as a tool for this purpose; it is recommended that the information be collected annually, between February 1 and March 1 of each year.
6. Are you creating a company or entity in which you will have an equity interest? Will you be involved in the corporate control of an entity that will or may enter into a contract with the UA? Do you anticipate accepting a position with a company or entity as an officer, director, or other fiduciary position that has or will have a contract with the UA?
If yes, submit an “Enabling Disclosure” form (www.ott.arizona.edu/forms.php) to the Office of Technology Transfer, Box 210158 (888 N. Euclid Ave., Room 204, Tucson, AZ 85721).

Note:  All employees are required to disclose substantial interests (research related or not) to Procurement & Contracting Services by filing a "Conflict of Interest Form-Procurement & Contracting Services" (http://uabis.arizona.edu/eforms/#C), in accordance with the Arizona Revised Statutes (Purchasing Policy 1.4 at http://www.pacs.arizona.edu/purch/manual/man1.html#Conflict).

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