Conflict of Interest

This site contains resources pertaining to financial conflict of interest.  If you have questions or need assistance with a specific situation, please contact Carole Cole at 257-0579 or clcole2@uky.edu.

University/State Policies

AR 7:2 Research Conflict of Interest and Financial Disclosure Policy
AR 7:9 Institutional Conflicts of Interest Involving Research  
AR 3:9 Consulting and Other Overload Employment
University of Kentucky Ethics Policy
UK Business Procedures, Section B- 2 Purchasing, Paragraph C
KRS 164.390

Conflict Disclosure

PHS Required Public Disclosure of Financial Conflicts

Disclosure Form

Instructions for Accessing and Completing the Annual Financial Disclosure Form
List of Public Health Service (PHS) Agencies and other Organizations Using PHS Regulations

Training

Instructions for Accessing Financial Disclosure and Conflict of Interest Education (must be taken through myUK Employee Self-Service Training to receive credit)
Financial Disclosure and Conflict of Interest slides (non-credit)

Management Plans and Reporting

Template COI Management Plan
Staff/Student Notification Form
Annual Reporting of the Management of COIs

 Federal Policies

NIH Conflict of Interest Page
National Institutes of Health (NIH) Grants Policy Statement
Department of Health and Human Services (DHHS) Federal Register, August 25, 2011
NSF Proposal and Award Policies and Procedures Guide, Chapter IVA
Food and Drug Administration (FDA), Code of Federal Regulations Title 21, Chapter 1, Part 54
PHS Policy Title 42, Part 50, Subpart F
Q&A of PHS and NSF policies, Federal Register July 3, 1996 
Public Health Service (PHS) and National Science Foundation (NSF), Federal Register  July 11, 1995

Key Reports and Policy Guidance

Association of American Medical Colleges (AAMC), “Implementing the Final Rule on Financial Conflicts of Interest in Public Health Service Funded Research,” March 2012
Department of Health and Human Services, Office of Inspector General’s report, “How Grantees Manage Financial Conflicts of Interest in Research Funded by the National Institutes of Health,” November 2009
The Institute of Medicine’s report, “Conflict of Interest in Medical Research, Education, and Practice”, April 2009
The Association of American Medical Colleges and the Association of American Universities’ report, “Protecting Patients, Preserving Integrity, Advancing Health: Accelerating the Implementation of COI Policies in Human Subjects Research”, Feb 2008
Federation of American Societies for Experimental Biology, "COI Toolkit," July, 2007
National Institutes of Health, A Working Group of the Advisory Committee to the Director, “Report of the National Institutes of Health Blue Ribbon Panel on Conflict of Interest Policies,” June 22, 2004
Office for Human Research Protection Final Guidance: Financial Relationships and Interests in Research Involving Human Subjects: Guidance for Human Subject Protection May 2004
Council on Governmental Relations, “Approaches to Developing an Institutional Conflict of Interest Policy,” Fall 2003  (Hard copy available to University of  Kentucky employees upon request)
Council on Governmental Relations, “Recognizing and Managing Personal Financial Conflicts of Interest,” Winter 2002  (Hard copy available to University of Kentucky employees upon request)
Association of American Medical Colleges (AAMC), “Protecting Subjects, Preserving Trust, Promoting Progress II:  Principles and Recommendations for Oversight of an Institution’s Financial Interests in Human Subjects Research,” October 2002
AAMC, “Protecting Subjects, Preserving Trust, Promoting Progress – Policy and Guidelines for the Oversight of Individual Financial Interests in Human Subjects Research,” December 2001
Government Accounting Office (GAO), Report to the Ranking Minority Member, Subcommittee on Public Health, Committee on Health, Education, Labor, and Pensions, U.S. Senate, “Biomedical Research, HHS Direction Needed to Address Financial Conflicts of Interest,” November 2001
Association of American Universities (AAU), “Report on Individual and Institutional Financial Conflict of Interest,” October 2001
FDA "Guidance: Financial Disclosure by Clinical Investigators" (March 20, 2001)