Disclosure

Description of the video:

Hello and welcome to the Research Security Essentials series from the Indiana University Research Security Office. At Indiana University, our mission is to pursue transformative, innovative, world-class research, scholarship, and creative activity. As faculty and staff engaged in research and creative activity, your work is vital to making that mission a reality. In this video, we will discuss a concept that underpins the integrity of that work, disclosure. Let's break this into two key areas where making full, accurate disclosures is vital. 1. Disclosure of conflicts of commitment and interest under IU policy, UA17, and 2. Disclosure to federal funding agencies. At IU, we encourage innovation, collaboration, and engagement with external partners. But with these opportunities come responsibilities, especially when it comes to disclosing outside activities, conflicts of interest, and conflicts of commitment. Under UA17, faculty and staff must disclose any outside professional activities, including consulting or advisory roles, visiting professorships, and the like. Financial interests that could influence or appear to influence your research or university responsibilities, conflicts of interest where your interests and IUs are at odds, and commitments that may interfere with your primary obligations to IU. CYC disclosures must be submitted on an annual basis or any time there is a new or changed conflict of interest or commitment, financial interest, or outside professional activity. To submit an annual or updated CYC disclosure, search for CYC form in one.iu. Disclosure of conflicts of interest and commitment is not about limiting your opportunities. It's about managing those opportunities responsibly. When you disclose, IU Research and the University Compliance Office will work with you to assess and manage any potential conflicts so you can continue your work with confidence. Transparency protects you, your research, and IU. It ensures that decisions are made with integrity and that we maintain public trust in our work. Now, let's talk about disclosures in the context of federal research funding. When you apply for grants, agencies like the National Science Foundation, National Institutes of Health, and others require you to submit accurate and complete information in support of your application for funding, and again periodically throughout the project. Failure to make accurate disclosures can yield severe consequences for IU and its researchers, including financial penalties and, in some cases, even criminal charges. Included in those documents are two key disclosures, current and pending or other support, and the biographical sketch. These documents must be submitted by senior and key personnel, that is, anyone who contributes significantly to the design or execution of a research and development project. There are ongoing federal efforts to standardize these forms, but all agencies have slightly different requirements. Pay close attention to sponsor requirements and consult with the Office for Research Administration if you have any questions prior to submission. Federal funding agencies require the submission of a current and pending or other support document. We'll call this other support. Other support includes all current and pending resources made available to a researcher in support of and or related to all of their professional R&D efforts, including resources provided directly to the individual rather than through IU, and regardless of whether or not they have monetary value, for example, even if the support received is only in kind, such as office or laboratory space, equipment supplies, or employees. This includes resources and or financial support from all foreign and domestic parties, including but not limited to financial support for laboratory personnel and participation of student and visiting researchers supported by other sources of funding. Funding agencies use this information to assess potential overlap, duplication of funding, and research security risks. Incomplete or inaccurate disclosures can lead to serious consequences for both researchers and IU. Another disclosure required by federal funding agencies is a biographical sketch or biosketch. The Biosketch documents an individual's qualifications and experience for a specific role in a project. Agencies use the Biosketch primarily to ensure that the individuals included in funding applications have the skills, knowledge, and resources necessary to carry out the proposed project. In the Biosketch, funding agencies require disclosure of Professional preparation, like educational degrees Current organizational positions And scientific appointments academic, professional, or institutional appointments, whether paid or unpaid, or full-time or part-time, and current or pending participation in programs sponsored by foreign governments or their instrumentalities, for example, foreign talent recruitment programs. Now, let's go over some scenarios to review what we've learned. Dr. H., an IU faculty member, hosts a visiting scholar, Dr. V, for a one-year appointment. Dr. V's visit is supported by Dr. V's home institution. Dr. V works in Dr. H's lab, assisting with ongoing research led by Dr. H. Must Dr. H disclose these activities in a federal grant application? If yes, in what document? Yes. Because Dr. V is supported by a non-IU entity, there is an associated commitment of time, and Dr. V is working in support of Dr. H's research, this must be disclosed as other support on the current and pending support document. Dr. G is appointed as a visiting professor at a university in France for six months. While there, the French university provides laboratory access and use of equipment valued at over 10,000 U.S. dollars. Must Dr. G disclose these activities in a federal grant application? If yes, in what document? And, what about disclosure to IU? Again, yes. First, because Dr. G is receiving a resource in support of her research and development efforts, this must be disclosed as other support on the current and pending support document. Second, because Dr. G has an appointment at the French University, this must be disclosed in the bio-sketch. Finally, the visiting professorship must be disclosed by Dr. G in a COIC disclosure to IU. Dr. X has a 10-month IU appointment and has been offered a six-week summer research fellowship with a for-profit company based in the United States. Dr. X will be paid $20,000 by the company for his work. Must Dr. X disclose these activities in a federal grant application? If yes, in what document? And what about disclosure to IU? Again, yes. Because Dr. X is receiving resources in support of his research, this must be disclosed as other support on the current and pending support document. Further, the fellowship must be listed on the biosketch. Finally, Dr. X must disclose the appointment to IU in a COIC disclosure. For more information or assistance on the matters we've discussed in this video, please see the contact information listed below. Thank you for watching this installment of Research Security Essentials from the Indiana University Research Security Office. Thank you.