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Office of Research and Sponsored Programs

 

I) In accordance with the Cal State L.A. Academic Senate Policy Modification approved May 11, 1999; the National Science Foundation’s "Investigator Financial Disclosure Policy;" 42 CFR part 50 subpart F; 45 CFR part 94; and the California Code of Regulations, Title 2, 8702.4c; the Office of Research and Sponsored Programs is required to post the following notice regarding conflicts of interest.  

Notice to all Cal State L.A. and UAS employees applying for funding from the National Science Foundation, Public Health Service Agencies, or nongovernmental organizations excluding those found on the following list, http://www.rgs.uci.edu/rig/coiexem.htm: If, after having read the following, you determine that you have a financial interest exceeding the amounts specified below, you must complete a conflict of interest form and return it to the Dean of Graduate Studies & Research at the time that you apply for funding.

Click here for the Cal State L.A. Conflict of Interest Form 

 

OVERVIEW OF FEDERAL AND STATE REQUIREMENTS

Cal State L.A. and UAS employees applying for external funding from the National Science Foundation (NSF), Public Health Service (PHS) Agencies, and most nongovernmental organizations are required to disclose personal financial interests which could appear to constitute conflicts of interest.  Financial disclosure is required of Cal State L.A. or UAS employees responsible for the design, conduct or reporting of research or program results. This disclosure is required by federal and state law. (See: the National Science Foundation’s "Investigator Financial Disclosure Policy;" 42 CFR part 50 subpart F, 45 CFR part 94; and the California Code of Regulations, Title 2, 8702.4c.)

The disclosure requirement applies to any application or agreement for external funds in which it is proposed that awarded funds will be held in the University, University Auxiliary Services, or that the University name or any University resources will be involved. Cal State L.A. or UAS employees who fail to provide the requisite disclosure of financial interests or who submit false or incomplete disclosures may be subject to disciplinary action, in accordance with the applicable agency agreement, CSU regulations governing their employment, and the State Education Code.

Completed disclosure forms must be presented to the Dean of Graduate Studies & Research at the time that employees apply for or receive an agreement for external funds. The Dean will then present conflict of interest forms and related materials to an independent review committee of the university for review. The committee will determine whether or not the conflict can be managed, reduced or eliminated and report the status of the conflict to the funding agency. Disclosure forms can be found at the Office of Research and Sponsored Programs or click here for the Cal State L.A. Disclosure Form in Microsoft Word Format.

"CONFLICT OF INTEREST" DEFINED

A conflict of interest may exist if, in relation to funding from an external agency, employees or their spouses or dependent children may benefit through investments, salary, consultant fees, royalties, intellectual property rights or any agreement for deferred remuneration, compensation or financial gain in excess of the amounts specified below. Exempted from disclosure is your regular salary; royalties or other remuneration from the University or UAS; and income from service on advisory committees, review panels, seminars, lectures, and teaching engagements sponsored by public or non-profit entities.

1. When applying to NSF or PHS Agencies or any program involving NSF or PHS Agency funds: financial gain that when aggregated for yourself, your spouse and dependent children exceeds $10,000 in value, as determined through reference to public price or other reasonable measures of fair market value or 5% ownership in any single entity.

2. When applying to corporations, businesses, commercial enterprises, societies, associations, or foundations not exempted by the California Fair Political Practices Act: financial gain (including gifts) exceeding $250 annual income in the most recent tax year and all subsequent years, or at least a $1,000 investment, or a 10% ownership interest. A list of nongovernmental funding sources exempt from this disclosure requirement can be found at the following web site maintained by the University of California at Irvine http://www.rgs.uci.edu/rig/coiexem.htm.

If you are not sure as to whether or not you are required to complete a form, please complete the form in any case. The University independent review committee will then decide if your financial interest in the project constitutes a conflict of interest. If you have questions, please contact Keith Baker in the Office of Research and Sponsored Programs, extension 5366.

II)  All Cal State LA and UAS employees applying for contracts or grants must also comply with the UAS Conflict of Interest Policy, as stated in the UAS Benefited Employee Handbook, section 2023.  The UAS Conflict of Interest Policy is stated below.

Conflicts of Interest 2023

Situations of actual or potential conflict of interest are to be avoided by all employees.  Personal or romantic involvement with a competitor, supplier or subordinate employee of UAS, which impairs an employee’s ability to exercise good judgment on behalf of UAS, creates an actual or potential conflict of interest.  Supervisor-subordinate romantic or personal relationships also can lead to supervisory problems, possible claims of sexual harassment and morale problems.

An employee involved in any of the types of relationships or situations described in this policy should immediately and fully disclose the relevant circumstances to his/her immediate supervisor, or any other appropriate supervisor, for a determination as to whether a potential or actual conflict of interest exists.  If an actual or potential conflict is determined, UAS may take whatever corrective action appears appropriate according to the circumstances.  Failure to disclose facts shall constitute grounds for disciplinary action. 

    Revised March 21, 2001