{"id":753,"date":"2018-03-14T16:28:37","date_gmt":"2018-03-14T20:28:37","guid":{"rendered":"https:\/\/umaine.edu\/research-compliance\/?page_id=753"},"modified":"2026-03-04T17:18:24","modified_gmt":"2026-03-04T22:18:24","slug":"policy-procedures","status":"publish","type":"page","link":"https:\/\/umaine.edu\/research-compliance\/financial-conflict-of-interest\/policy-procedures\/","title":{"rendered":"Policy &amp; Procedures for Financial Conflict of Interest (FCOI)"},"content":{"rendered":"\n<p>91福利\u2019s <a href=\"https:\/\/umaine.edu\/research-compliance\/resource\/fcoi-policy\/\">Policies and Procedures for Financial Disclosures and Conflicts of Interest in Extramurally Sponsored Activities (Word)<\/a>,&nbsp;applies to all University employees and students who serve as investigators on proposals submitted to external sponsors. The policy applies equally to 91福利 investigators, and investigators at other University of Maine System (UMS) campuses (\u2018UMS investigators\u2019) who wish to submit through, or collaborate with 91福利 on an extramural funding request.<\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading753_e3ccf3-82, .wp-block-kadence-advancedheading.kt-adv-heading753_e3ccf3-82[data-kb-block=\"kb-adv-heading753_e3ccf3-82\"]{padding-bottom:0px;margin-bottom:0px;font-style:normal;}.wp-block-kadence-advancedheading.kt-adv-heading753_e3ccf3-82 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading753_e3ccf3-82[data-kb-block=\"kb-adv-heading753_e3ccf3-82\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading753_e3ccf3-82 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading753_e3ccf3-82[data-kb-block=\"kb-adv-heading753_e3ccf3-82\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<h3 class=\"kt-adv-heading753_e3ccf3-82 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading753_e3ccf3-82\">Procedures<\/h3>\n\n\n<style>.kb-row-layout-id753_bd18de-74 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id753_bd18de-74 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id753_bd18de-74 > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);grid-template-columns:minmax(0, calc(70% - ((var(--global-kb-gap-md, 2rem) * 1 )\/2)))minmax(0, calc(30% - ((var(--global-kb-gap-md, 2rem) * 1 )\/2)));}.kb-row-layout-id753_bd18de-74 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id753_bd18de-74 > .kt-row-column-wrap{grid-template-columns:minmax(0, 2fr) minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id753_bd18de-74 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id753_bd18de-74 alignnone wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-2-columns kt-row-layout-left-golden kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top\">\n<style>.kadence-column753_9ae59d-fe > .kt-inside-inner-col,.kadence-column753_9ae59d-fe > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column753_9ae59d-fe > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column753_9ae59d-fe > .kt-inside-inner-col{flex-direction:column;}.kadence-column753_9ae59d-fe > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column753_9ae59d-fe > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column753_9ae59d-fe{position:relative;}@media all and (max-width: 1024px){.kadence-column753_9ae59d-fe > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column753_9ae59d-fe > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column753_9ae59d-fe\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading753_d6f581-dd, .wp-block-kadence-advancedheading.kt-adv-heading753_d6f581-dd[data-kb-block=\"kb-adv-heading753_d6f581-dd\"]{font-style:normal;}.wp-block-kadence-advancedheading.kt-adv-heading753_d6f581-dd mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading753_d6f581-dd[data-kb-block=\"kb-adv-heading753_d6f581-dd\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading753_d6f581-dd img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading753_d6f581-dd[data-kb-block=\"kb-adv-heading753_d6f581-dd\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading753_d6f581-dd wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading753_d6f581-dd\">An overview of the full process can be found in the Financial Conflict of Interest (FCOI) Flowchart:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/umaine.edu\/research-compliance\/resource\/fcoi-flow-chart-diagram\/\">FCOI Flowchart (Diagram) (PDF)<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/umaine.edu\/research-compliance\/resource\/fcoi-flow-chart-plain-text\/\">FCOI Flowchart (Plain Text) (Word)<\/a><\/li>\n<\/ul>\n<\/div><\/div>\n\n\n<style>.kadence-column753_5d6775-c9 > .kt-inside-inner-col{display:flex;}.kadence-column753_5d6775-c9 > .kt-inside-inner-col,.kadence-column753_5d6775-c9 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column753_5d6775-c9 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column753_5d6775-c9 > .kt-inside-inner-col{flex-direction:column;justify-content:center;}.kadence-column753_5d6775-c9 > .kt-inside-inner-col > .aligncenter{width:100%;}.kt-row-column-wrap > .kadence-column753_5d6775-c9{align-self:center;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column753_5d6775-c9{align-self:auto;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column753_5d6775-c9 > .kt-inside-inner-col{flex-direction:column;justify-content:center;}.kadence-column753_5d6775-c9 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column753_5d6775-c9{position:relative;}@media all and (max-width: 1024px){.kt-row-column-wrap > .kadence-column753_5d6775-c9{align-self:center;}}@media all and (max-width: 1024px){.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column753_5d6775-c9{align-self:auto;}}@media all and (max-width: 1024px){.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column753_5d6775-c9 > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}@media all and (max-width: 1024px){.kadence-column753_5d6775-c9 > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kt-row-column-wrap > .kadence-column753_5d6775-c9{align-self:center;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column753_5d6775-c9{align-self:auto;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column753_5d6775-c9 > .kt-inside-inner-col{flex-direction:column;justify-content:center;}.kadence-column753_5d6775-c9 > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column753_5d6775-c9\"><div class=\"kt-inside-inner-col\"><style>.kt-img-overlay753_951ada-08 .kt-image-overlay-wrap{max-width:200px;overflow:hidden;}.kt-img-overlay753_951ada-08 .kt-image-overlay-wrap .kt-block-intrisic{padding-bottom:84.5%;}.kt-img-overlay753_951ada-08 .kt-image-overlay-wrap:has(:focus-visible) .kt-image-overlay-color-wrapper{opacity:0.3 !important;}.kt-img-overlay753_951ada-08 .kt-image-overlay-wrap:hover .kt-image-overlay-color-wrapper{opacity:0.3 !important;}.kt-img-overlay753_951ada-08 .kt-image-overlay-color{background-color:#abb8c3;opacity:1;}.kt-img-overlay753_951ada-08 .kt-image-overlay-message{border-top:0.5px solid #abb8c3;border-right:0.5px solid #abb8c3;border-bottom:0.5px solid #abb8c3;border-left:0.5px solid #abb8c3;inset:0px;}.wp-block-kadence-imageoverlay.kt-img-overlay753_951ada-08 .kt-image-overlay-message .image-overlay-title{color:#fff;background:rgba(0, 0, 0, 0);padding-top:5px;padding-right:5px;padding-bottom:5px;padding-left:5px;margin-top:0px;margin-right:0px;margin-bottom:0px;margin-left:0px;font-weight:regular;font-style:normal;}.kt-img-overlay753_951ada-08 .kt-image-overlay-divider{border-top-color:#fff;border-top-width:1px;width:80%;border-top-style:none;}.wp-block-kadence-imageoverlay.kt-img-overlay753_951ada-08 .kt-image-overlay-message .image-overlay-subtitle{color:#fff;background:rgba(0, 0, 0, 0);padding-top:5px;padding-right:5px;padding-bottom:5px;padding-left:5px;margin-top:0px;margin-right:0px;margin-bottom:0px;margin-left:0px;font-weight:regular;font-style:normal;}@media all and (max-width: 1024px){.kt-img-overlay753_951ada-08 .kt-image-overlay-wrap{max-width:200px;}}@media all and (max-width: 1024px){.kt-img-overlay753_951ada-08 .kt-image-overlay-message{border-top:0.5px solid #abb8c3;border-right:0.5px solid #abb8c3;border-bottom:0.5px solid #abb8c3;border-left:0.5px solid #abb8c3;}}@media all and (max-width: 767px){.kt-img-overlay753_951ada-08 .kt-image-overlay-wrap{max-width:200px;}.kt-img-overlay753_951ada-08 .kt-image-overlay-message{border-top:0.5px solid #abb8c3;border-right:0.5px solid #abb8c3;border-bottom:0.5px solid #abb8c3;border-left:0.5px solid #abb8c3;}}<\/style>\n<div class=\"kt-img-overlay753_951ada-08 aligncenter wp-block-kadence-imageoverlay\"><div class=\"kt-image-overlay-wrap kt-over-image-static\"><div class=\"kt-block-intrisic\"><img loading=\"lazy\" decoding=\"async\" src=\"https:\/\/umaine.edu\/research-compliance\/wp-content\/uploads\/sites\/445\/2024\/09\/FCOI-Flowchart_Sept2024-t.png\" alt=\"FCOI Flowchart (Diagram) (PDF)\" width=\"200\" height=\"169\" class=\"kt-img-overlay wp-image-7075\" srcset=\"https:\/\/umaine.edu\/research-compliance\/wp-content\/uploads\/sites\/445\/2024\/09\/FCOI-Flowchart_Sept2024-t.png 200w, https:\/\/umaine.edu\/research-compliance\/wp-content\/uploads\/sites\/445\/2024\/09\/FCOI-Flowchart_Sept2024-t-105x89.png 105w\" sizes=\"auto, (max-width: 320px) 85vw, (max-width: 768px) 67vw, (max-width: 1024px) 62vw,200px\" \/><div class=\"kt-image-overlay-color-wrapper\"><div class=\"kt-image-overlay-color\"><\/div><\/div><a href=\"https:\/\/umaine.edu\/research-compliance\/resource\/fcoi-flow-chart-diagram\/\" title=\"FCOI Flowchart (Diagram) (PDF)\" class=\"kt-imageoverlay-link\"><div class=\"kt-image-overlay-message kt-over-substyle-visible kt-over-valign-center kt-over-halign-center\"><div class=\"kt-image-overlay-inner\"><\/div><\/div><\/a><\/div><\/div><\/div>\n<\/div><\/div>\n\n<\/div><\/div>\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading753_16879c-0a, .wp-block-kadence-advancedheading.kt-adv-heading753_16879c-0a[data-kb-block=\"kb-adv-heading753_16879c-0a\"]{font-style:normal;}.wp-block-kadence-advancedheading.kt-adv-heading753_16879c-0a mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading753_16879c-0a[data-kb-block=\"kb-adv-heading753_16879c-0a\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading753_16879c-0a img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading753_16879c-0a[data-kb-block=\"kb-adv-heading753_16879c-0a\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<h4 class=\"kt-adv-heading753_16879c-0a wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading753_16879c-0a\">Investigator Actions<\/h4>\n\n\n\n<p>Key steps required by investigators during the FCOI process are outlined below.<\/p>\n\n\n\n<ol class=\"wp-block-list\">\n<li>Prior to submitting a request for extramural funding, each Investigator (PI or Co-PI) named in a proposal must successfully complete the <a href=\"https:\/\/umaine.edu\/research-compliance\/financial-conflict-of-interest\/coi-training\/\">Collaborative Institutional Training Initiative (CITI) FCOI training<\/a> and certify whether they have a significant financial interest related to the proposed activity (This certification is generally completed in <a href=\"https:\/\/pars.research.maine.edu\/pars\/help.php\" data-type=\"link\" data-id=\"https:\/\/pars.research.maine.edu\/pars\/help.php\">Proposal Automated Routing System [PARS]<\/a>).<\/li>\n\n\n\n<li>Any Investigator having such an interest must complete a <a href=\"https:\/\/umaine.edu\/research-compliance\/resource\/sfcoi-disclosure-form\/\">Significant Financial Interest Disclosure Form (PDF)<\/a>.<\/li>\n\n\n\n<li>In the proposal text, or in an attachment to the proposal, the Investigator must describe their significant financial interest or potential conflict of interest (see <a href=\"https:\/\/umaine.edu\/research-compliance\/financial-conflict-of-interest\/example-coi-narrative\/\">Example COI [Conflict of Interest] Narrative<\/a>).<\/li>\n\n\n\n<li>Steps to manage or eliminate conflicts of interest will be incorporated into a Conflict Resolution Plan approved by the Financial Disclosure Review Committee (FDRC). Each Investigator must certify that they will adhere to all terms and conditions of a Conflict Resolution Plan prior to the University&#8217;s acceptance of an award.<\/li>\n\n\n\n<li>The investigator will be required to periodically reports\/update information.<\/li>\n<\/ol>\n\n\n\n<p><em>Note: Individuals not listed as investigators in proposals who later assume such roles through hiring, promotion, or other means are required to complete <a href=\"https:\/\/umaine.edu\/research-compliance\/financial-conflict-of-interest\/coi-training\/\">CITI FCOI training,<\/a> complete and submit either a <a href=\"https:\/\/umaine.edu\/ora\/resource\/pi-certification-statement\/\" data-type=\"link\" data-id=\"https:\/\/umaine.edu\/ora\/resource\/pi-certification-statement\/\">PI Certification Statement (PDF)<\/a>&nbsp;or a <a href=\"https:\/\/umaine.edu\/ora\/resource\/co-pi-certification-statement\/\" data-type=\"link\" data-id=\"https:\/\/umaine.edu\/ora\/resource\/co-pi-certification-statement\/\">Co-PI Certification Statement (PDF)<\/a>&nbsp;and make any applicable disclosures prior to commencing work on the project.<\/em><\/p>\n\n\n\n<h3 class=\"wp-block-heading\">Up Next: <a href=\"https:\/\/umaine.edu\/research-compliance\/financial-conflict-of-interest\/coi-training\/\">Training for Financial Conflict of Interest (FCOI)<\/a><\/h3>\n","protected":false},"excerpt":{"rendered":"<p>91福利\u2019s Policies and Procedures for Financial Disclosures and Conflicts of Interest in Extramurally Sponsored Activities (Word),&nbsp;applies to all University employees and students who serve as investigators on proposals submitted to external sponsors. The policy applies equally to 91福利 investigators, and investigators at other University of Maine System (UMS) campuses (\u2018UMS investigators\u2019) who [&hellip;]<\/p>\n","protected":false},"author":430,"featured_media":0,"parent":6423,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"templates\/page-withsidebar.php","meta":{"_seopress_robots_primary_cat":"","_seopress_titles_title":"","_seopress_titles_desc":"","_seopress_robots_index":"","_kad_blocks_custom_css":"","_kad_blocks_head_custom_js":"","_kad_blocks_body_custom_js":"","_kad_blocks_footer_custom_js":"","_monsterinsights_skip_tracking":false,"_monsterinsights_sitenote_active":false,"_monsterinsights_sitenote_note":"","_monsterinsights_sitenote_category":0,"footnotes":""},"class_list":["post-753","page","type-page","status-publish","hentry"],"taxonomy_info":[],"featured_image_src_large":false,"author_info":{"display_name":"aashe","author_link":"https:\/\/umaine.edu\/research-compliance\/author\/aashe\/"},"comment_info":"","_links":{"self":[{"href":"https:\/\/umaine.edu\/research-compliance\/wp-json\/wp\/v2\/pages\/753","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/umaine.edu\/research-compliance\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/umaine.edu\/research-compliance\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/umaine.edu\/research-compliance\/wp-json\/wp\/v2\/users\/430"}],"replies":[{"embeddable":true,"href":"https:\/\/umaine.edu\/research-compliance\/wp-json\/wp\/v2\/comments?post=753"}],"version-history":[{"count":48,"href":"https:\/\/umaine.edu\/research-compliance\/wp-json\/wp\/v2\/pages\/753\/revisions"}],"predecessor-version":[{"id":8703,"href":"https:\/\/umaine.edu\/research-compliance\/wp-json\/wp\/v2\/pages\/753\/revisions\/8703"}],"up":[{"embeddable":true,"href":"https:\/\/umaine.edu\/research-compliance\/wp-json\/wp\/v2\/pages\/6423"}],"wp:attachment":[{"href":"https:\/\/umaine.edu\/research-compliance\/wp-json\/wp\/v2\/media?parent=753"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}