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Subrecipient PI using University of Utah COI Policy

Purpose

A subrecipient will be given the option to designate which entity's financial conflict of interest (COI) policy will apply - either:

1) the subrecipient has an active and enforced policy that is consistent with standards outlined in University of Utah policy and applicable federal regulations, such as the provision of 42 CFR Part 50, Subpart F "Responsibility of Applicants for Promoting Objectivity in Research".

As set forth in Rule 1-006C, F. Applicability to Subrecipients 1. i., Subrecipient shall make such policy available via a publicly available website, unless subrecipient does not have such a website, in which case subrecipient shall make its written policy available to any requester within 5 business days of a request. 

Subrecipient also certifies that, to the best of its knowledge, (1) all financial disclosures have been made related to the activities that may be funded by or through a resulting agreement, and required by its conflict of interest policy; and, (2) all identified conflicts of interest have or will have been satisfactorily managed, reduced or eliminated in accordance with subrecipient's COI policy prior to the expenditure of any funds under any resultant agreement. 

Subrecipient further certifies that when required by a sponsor, subrecipient shall report all identified financial conflicts of interest to the University of Utah prior to the expenditure of funds on the project and within 45 calendar days of any subsequently identified FCOI. 

or

2) the subrecipient does not have an active and/or enforced COI policy that is consistent with University of Utah's policy and agrees to abide by Rule 1-006C of the University of Utah's Individual Financial Conflict of Interest Policy 1-006and the COI Office Guidance for Subrecipients

The option for "not applicable because the project is not funded by NIH, NSF, or other sponsor that has adopted the federal financial disclosure requirements" is no longer available per University of Utah COI office.

Applicability

Subrecipients who do not have their own COI policy may opt to use the University of Utah's Individual Financial Conflict of Interest Policy 1-006. In doing so, they agree to follow the process and procedure outlined in the COI Office Guidance for Subrecipients

A fully executed subaward will not be returned to the subrecipient until all steps are completed. 

Instructions

If the University of Utah's Individual Financial Conflict of Interest Policy 1-006 will apply:

STEP 1: HOLD

OSP may begin the processing of the subaward but may NOT return the fully executed subaward or PO to the subsite until the COI disclosure and review process have been completed, for all investigators, by the COI office and appropriate contract language has been incorporated.

STEP 2: COI Process & Review 

Please work with the University of Utah's COI Office on your disclosure as outlined here: Guidance for Subrecipients.

STEP 3: Await the Outcome of the COI Review

Each OSP Sponsored Projects Officer will need to await the outcome/determination of the COI Review. UU contacts will be notified by the COI office when the review process has been completed for subrecipient Investigator(s).

The COI Office will will email the UU PI and department contacts with the COI determination notice to let them know that all necessary reviews are complete.

Please contact the UU COI office with any questions about the status of review. 

STEP 4: OSP Finalizes Subaward

OSP shall incorporate appropriate contract language as discussed here, into the subaward to require the subrecipient to follow the University of Utah's Individual Financial Conflict of Interest Policy 1-006 and COI Office Guidance for Subrecipients

Only once all setps are completed will OSP issue the fully executed subaward agreement and Purchase Order (PO) to the subsite. 

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Last Updated: 8/26/22