Policies & Procedures
Conflict of Interest
Conflict of Interest
- 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
- GR XIV Ethical Principles and Code of Conduct
- KRS 164.390
Management Plans & Reporting
- Financial Disclosure Reporting Form for Non-UK Investigators
- Template COI Management Plan (pdf)
- University Personnel Notification Form (pdf)
- Annual Reporting of the Management of COIs (pdf)
- Final Activities Report (pdf)
Federal Regulations, Policy & Guidance on Financial Conflicts of Interest
Internal Proposal Receipt Deadline
To support the success of UK’s research enterprise, Office of Sponsored Projects Administration (OSPA) staff work collaboratively with you, as a Principal Investigator, and others across campus to provide client-centered professional support and administrative expertise in sponsor requirements, budget development and proposal submission. OSPA is committed to the timely submission of complete, accurate and fully compliant proposals.
Over the last several months with input from Associate Deans for Research, OSPA has been exploring how to ensure the best delivery of services and facilitate submission of the highest quality proposals with the highest probability of success. We recognize you spend a great deal of time and effort preparing proposals and are committed to helping lessen the risk of a missed deadline or rejected proposal. To that end, OSPA is putting into effect a new submission deadline for sponsored project proposals to external funders. Starting on October 8, 2019, a complete and final proposal, accompanied by a fully approved Internal Approval Form (IAF), must be received by the Research Administrator (RA) in OSPA at least three (3) business days prior to the sponsor’s deadline. The new 3-day deadline supports the timely submission of error-free, compliant proposals and facilitates discussions with your RA and others after review of the proposal so any necessary revisions or corrections can be made prior to the sponsor’s deadline.
The new proposal deadline goes into effect after the NIH October 5th deadline to allow sufficient time for you and your department to make any corresponding internal adjustments to proposals, instructions or deadlines. Please note that colleges may impose additional deadlines or other requirements for review and approval of proposals.
OSPA is committed to assisting you and providing the maximum level of customer service to ensure proposal review and submission go smoothly and, at its core, this new proposal deadline policy is intended to ensure both.
Electronic Internal Approval Form (eIAF) Deadlines
IAFs must be received by OSPA at least three business days prior to the sponsor's published deadline. Some colleges have additional eIAF Internal Deadlines:
NOTE: guidelines refer to business days
- Agriculture - 5 days (includes OSPA's 3 day rule)
- A&S - 7 days for a single college/ 14 days for an inter-college proposal (includes OSPA's 3 day rule)
- B&E - 5 days (includes OSPA's 3 day rule)
- Communications - 7 days for a single college/ 14 days for an inter-college proposal (includes OSPA's 3 day rule)
- Education - 10 days (includes OSPA's 3 day rule)
- Engineering - 10 days (in advance of OSPA's 3 day rule)
- Health Sciences - 7 days (in advance of OSPA's 3 day rule)
- Medicine - 10 days (in advance of OSPA's 3 day rule)
- Nursing - 14 days (includes OSPA's 3 day rule)
- Pharmacy - 10 days (includes OSPA's 3 day rule)
- Social Work - 4 days (includes OSPA's 3 day rule)
For more information about the eIAF, see the Electronic Resources page.
What is Export Control?
U.S. export control laws and regulations exist to maintain national security and protect U.S. economic vitality. These regulations control the shipment of both tangible items and technical data outside the United States, and prohibit access to export-controlled technical data, materials, or equipment to non-U.S. persons within the United States, known as a deemed export. The Office of Foreign Assets Control (OFAC) regulations impose sanctions and embargoes on transactions or exchanges with designated countries, entities and individuals.
2 Most Common Regulations
- International Traffic in Arms Regulations (ITAR)
- Under the U.S. Department of State
- Controls all items on the United States Munitions List (USML)
- Export Administration Regulations (EAR)
- Under the U.S. Department of Commerce
- Controls commercial/dual-use items (not on another export control list, i.e. USML)
- Controls items listed on the Commerce Control List (CCL)
Export Control Laws and Universities
Most of the research at the University of Kentucky is considered fundamental research, where export laws do not apply. However, some items/technologies fall under the reach of these U.S. export control laws. Sponsored programs may have export restrictions on particular items, equipment, technology and data. Additionally, the research may have restrictions on the participation of foreign nationals and/or freedom to publish the results of the research. When this is the case, John Craddock from OSPA will assist those involved in the research with compliance with the federal regulations.
What this Means for UK Principal Investigators
During the proposal stage, key terms to look for in the FOA/RFP include export control, foreign national restrictions, and publication restrictions. This language is generally indicative that U.S. export control laws may apply to the proposed research.
Once awarded, OSPA will work with the PI to properly determine if export control laws apply. If the research is export controlled, thus not fundamental research, OSPA will work with the PI to set up protocols to ensure compliance with U.S. export laws.
For questions about export control laws and your research and/or technologies, the University of Kentucky Office of Sponsored Projects Administration export compliance official's contact information is listed below.
Foreign Influence in University Research
The current regulatory landscape informing the research enterprise includes serious growing concerns by the US Government concerning inappropriate influence by foreign entities over federally funded research. As a result, academic research institutions have a heightened interest in understanding the affiliations and dealings faculty members may have with foreign governments and entities. The University of Kentucky encourages international collaboration, and recognizes it is important for investigators to be transparent about their foreign relationships and activities.
Federal agencies have issued statements expressing growing concerns over the potential for foreign influence in the following areas:
- failure by some researchers to disclose substantial contributions of resources from other organizations, including foreign governments;
- diversion of intellectual property to foreign entities;
- sharing of confidential information by peer reviewers with others, including in some instances with foreign entities, or otherwise attempting to influence funding decisions.
Additional information on the current regulatory landscape and guidance for actions that faculty should take in light of the focused national attention on foreign influence is available on the Guidance Regarding Foreign Influence in University Research page.
Industry Sponsored Agreements
The University of Kentucky is committed to building on its history of successful collaborations by providing a cooperative and supportive environment that benefits our research faculty, staff and students, and our sponsors.
Please use this Industry Sponsored Agreements guide for information on common issues involved in research agreements.
Excerpt: 2CFR 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements For Federal Awards § 200.307 Program Income
(a) General. Non-Federal entities are encouraged to earn income to defray program costs where appropriate.
(b) Cost of generating program income. If authorized by Federal regulations or the Federal award, costs incidental to the generation of program income may be deducted from gross income to determine program income, provided these costs have not been charged to the Federal award.
(c) Governmental revenues. Taxes, special assessments, levies, fines, and other such revenues raised by a non-Federal entity are not program income unless the revenues are specifically identified in the Federal award or Federal awarding agency regulations as program income.
(d) Property. Proceeds from the sale of real property or equipment are not program income; such proceeds will be handled in accordance with the requirements of Subpart D—Post Federal Award Requirements of this part, Property Standards § 200.311 Real property and § 200.313 Equipment, or as specifically identified in Federal statutes, regulations, or the terms and conditions of the Federal award.
(e) Use of program income. If the Federal awarding agency does not specify in its regulations or the terms and conditions of the Federal award, or give prior approval for how program income is to be used, paragraph (e)(1) of this section must apply. For Federal awards made to IHEs and nonprofit research institutions, if the Federal awarding agency does not specify in its regulations or the terms and conditions of the Federal award how program income is to be used, paragraph (e)(2) of this section must apply. In specifying alternatives to paragraphs (e)(1) and (2) of this section, the Federal awarding agency may distinguish between income earned by the recipient and income earned by subrecipients and between the sources, kinds, or amounts of income. When the Federal awarding agency authorizes the approaches in paragraphs (e)(2) and (3) of this section, program income in excess of any amounts specified must also be deducted from expenditures.
(1) Deduction. Ordinarily program income must be deducted from total allowable costs to determine the net allowable costs. Program income must be used for current costs unless the Federal awarding agency authorizes otherwise. Program income that the non-Federal entity did not anticipate at the time of the Federal award must be used to reduce the Federal award and non-Federal entity contributions rather than to increase the funds committed to the project.
(2) Addition. With prior approval of the Federal awarding agency, program income may be added to the Federal award by the Federal agency and the non-Federal entity. The program income must be used for the purposes and under the conditions of the Federal award.
(3) Cost sharing or matching. With prior approval of the Federal awarding agency, program income may be used to meet the cost sharing or matching requirement of the Federal award. The amount of the Federal award remains the same.
(f) Income after the period of performance. There are no Federal requirements governing the disposition of income earned after the end of the period of performance for the Federal award, unless the Federal awarding agency regulations or the terms and conditions of the Federal award provide otherwise. The Federal awarding agency may negotiate agreements with recipients regarding appropriate uses of income earned after the period of performance as part of the grant closeout process. See also § 200.343 Closeout.