Procedures & Forms

Procedures for Declaring Potential Conflicts and Obtaining Approval for Management Plan

There are three mechanisms through which Disclosures of Financial Conflict of Interest related to Research & Intellectual Property are captured:

1. Annual Financial Disclosures are completed and submitted each fiscal year on September 1st
2. Disclosures are submitted with all proposals for external funding if disclosure is not already on file or if changes/updates need to be made.
3. Disclosures are submitted with all Intellectual Property Licensing Applications if one is not already on file or if changes/updates need to be made.

The flowchart depicts the overall process for disclosing and obtaining approval of conflict of interest management plans from the Committee on Conflict of Interest in Research & Intellectual Property (CCOI), a process, which is overseen by the Vice President for Research.

1. Complete a Disclosure of Financial Interests Related to Research & Intellectual Property.


2. Note: If you have already submitted an annual disclosure and changes/updates need to be made due to a proposal or IP application, submit the updated form to the Office of Sponsored Programs at the time of proposal submission or to the South Texas Technology Management Office (STTM) if a license agreement is involved.


3. The Office of Sponsored Programs (OSP) and the STTM will forward all financial disclosure forms to the Office of Research Integrity & Compliance (ORIC) along with a copy of the proposal, research agreement, and/or license agreement, if applicable. A preliminary review will be conducted and the CCOI will be convened if a potential or actual conflict of interest exists. The CCOI is an independent faculty body that is advisory to the Sr. Associate Vice President for Research Administration, who serves as the Institutional Official (IO).


4. The CCOI will review the disclosure forms and all relevant information. The CCOI meets once a month for disclosure reviews. This CCOI will determine whether the conflict, or potential conflict, can be managed and communicate the findings and recommendations to the IO. The IO communicates the findings to the researcher. If the Researcher agrees to the creation of a Conflict of Interest Management Plan, the CCOI will create the management plan in cooperation with the Researcher. The IO will review all management plans prior to approval. Plans are created on a case-by-case basis; however sample management plans are available for viewing purposes.


5. Once the Management Plan has been completed all internal corresponding signatures are obtained (i.e. Chair, Dean, and other monitoring parties). At this point, the Researcher may proceed with the research/program or the IP application process pending approval of the Office of General Counsel (OGC) and the Executive Vice Chancellor for Academic Affairs.


6. The IO will then prepare the institutional certification letter that will accompany the management plan to the UT-System OGC for review. After OGC approval, the packet is forwarded to the Executive Vice Chancellor for Academic Affairs for final approval.


7. Once all UT-System approvals are obtained, all documents are returned to ORIC for implementation and management. Any recommendations/changes will be included in the management plan as an addendum.

If you have questions regarding these procedures, please contact the UTSA Office of Research Integrity and Compliance (ORIC) at (210) 458-4531 or CCOI@utsa.edu.