Research@UIC > Conflict of Commitment and Interest > PAF Instructions

Conflict of Interest Certification: Additional Guidance on Completing the Conflict of Interest Certification for the PAF

Questions 1- 4

Please note that this section has changed significantly from previous versions of the PAF. All investigators must respond to Questions 1-4 and check the “yes” or “no” boxes by their respective names. For any "yes" response, attach an explanation of the situation and how the potential conflict is being or could be managed.

"Significant” means financial interests in business enterprises or entities that (when aggregated for the individual, spouse, and dependent children) exceed $10,000 or represent more than 5% ownership regardless of dollar value. The $10,000 threshold also applies to salary, royalties, and other payments aggregated for the individual, spouse and dependent children expected over the next 12 months.

Question 1

If you or your immediate family member (spouse, children) hold a managerial role or have a significant financial relationship (when the aggregate exceeds $10,000 or represents more than 5% ownership interest regardless of dollar value) with the sponsor of your research or any subcontract recipient (subcontractee), then you should check the "yes" box for Questions 1-5 next to your name in the "For Completion by PI" section if you are the PI or in the "For Completion by Co-Investigators" section if you are a Co-I. Indicate that you are checking "yes" to question 1 on the line to the right of the "yes" box.

If you have checked "yes" to this question, then you need to attach a statement to the PAF. For additional guidance on writing a PAF statement click here.

Question 2

If you or your immediate family (spouse, children) have a consulting relationship with the sponsor of this research or any subcontractee, then you should check the "yes" box for Questions 1-5 next to your name in the "For Completion by PI" section if you are the PI or in the "For Completion by Co-Investigators" section if you are a Co-I. Indicate that you are checking "yes" to question 2 on the line to the right of the "yes" box.

If you have checked "yes" to this question, then you need to attach a statement to the PAF. For additional guidance on writing a PAF statement click here.

Question 3

Please respond to this question to the best of your knowledge.

If this sponsor/subcontractee has provided gift funds (including both restricted and unrestricted funds) to you or your department/unit, then you should check the "yes" box for Questions 1-5 next to your name in the "For Completion by PI" section if you are the PI or in the "For Completion by Co-Investigators" section if you are a Co-I. Indicate that you are checking "yes" to question 3 on the line to the right of the "yes" box.

If you have checked "yes" to this question, then you need to attach a statement to the PAF. For additional guidance on writing a PAF statement click here.

Question 4

If you and your immediate family members (spouse, children) have any other relationships, commitments (including assignment of Intellectual Property Rights), activities (including uncompensated activities) or financial/fiduciary interests that present potential or apparent conflicts of interest or commitment with this project, then you should check the "yes" box for Questions 1-4 next to your name in the "For Completion by PI" section if you are the PI or in the "For Completion by Co-Investigators" section if you are a Co-I. Indicate that you are checking "yes" to question 4 on the line to the right of the "yes" box.

If you have checked "yes" to this question, then you need to attach a statement to the PAF. For additional guidance on writing a PAF statement click here.

Question 5 [only applies to the PI]

This question is for the UIC PI only, only applies to federally-funded research, and does not extend to individuals identified as investigators in UIC Subcontract Agreements processed under this PAF. UIC Subcontract Agreements contain their own COI certification section.

The PI should review the definition of “investigator” (see below) and determine if there are any additional people than those already listed on the PAF form that will function as investigators on the research project.

For the purpose of federally funded research, we define “Investigators” as the principal investigator, co-investigators, and any other person who is responsible for the design, conduct, or reporting of research.

The PI is responsible, for each proposed federally-funded activity, for determining who, including students, fellows, technicians and off-campus collaborators, qualify as investigators. These individuals will be required to assure compliance with the University’s Conflict of Interest policy. Off-campus collaborators should disclose their potential conflicts of interest to the UIC PI. If they are affiliated with another PHS or NSF grantee institution, confirming their compliance with their institutions’ conflict of interest policies may be sufficient to manage the conflict, but additional information or conflict management techniques may be required.

If any other persons (besides the PI and Co-Is already listed on this form) will function as investigators in this research, then you should check the "yes" box for Question 5 next to your name in the "For Completion by PI" section. Then indicate the names of investigators not already listed as PI or Co-Is already listed on this form in a separate document that will be attached to the PAF. The PI is responsible for ensuring that each additional investigator completes the COI Certification. Additional COI Certification pages may be appended to the PAF.

For Completion by the PI

The PI will sign and date his/her name in the section "For Completion by PI."
The PI should double check that all required attachments are included with the PAF.

For Completion by Co-Investigators

Each Co-I should sign and date his/her name in the section "For Completion by Co-Investigators."
Each Co-I should double check that all required attachments are included with the PAF.

Additional investigators should complete the COI Certification and append it to the PAF.