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fCOI Main > When To Report


When Must COI Reports Be Filed?

All research personnel must update their reports of external commitments and financial interests annually ("annual report") and as needed per the terms below (event-based report).  The unit is responsible for identifying individuals responsible for the direct administration of research and any newly appointed individuals who participate in research, and ensuring that they file annual reports.

Reports must be filed using the electronic e-COI system here.
 
All research personnel must complete and submit their annual reports by May, 15th 2017 at 10AM.

Annual Reports

  • New Appointments: Upon the appointment of a new faculty member, academic staff member, or other employee, each unit head determines whether he or she is responsible for the design, conduct, reporting, or direct administration of research and is subject to this policy. The new appointee must complete the annual report within one month of his or her Cornell start date. The unit making the appointment is responsible for ensuring that these individuals are identified and complete their reports within the required timeframe.
  • New Responsibilities: Individuals who become newly responsible for the design, conduct, reporting, or direct administration of research are required to complete annual reports within one month of their assumption of such responsibilities.  The unit making the assignment is responsible for ensuring that these individuals are identified to the fCOI Administrator in ORIA and complete their reports within the required timeframe.

Event-based Reports

  • Material Change in Circumstances: All research personnel must amend their annual reports (referred to as an “event-based report”) within 60 days of any material changes to their responses.  Material changes include but are not limited to the initiation or elimination of a reportable external commitment or financial interest for the reporter and their family, a change in, or the initiation of, a sponsor, or any change that might affect a current management plan.
  • Proposal or Award-Specific Report: All research personnel who are identified by the Principal Investigator as being independently responsible for the design, conduct, or reporting of the research project must report proposal-specific external commitments and financial interests, including any sponsor-required information, at the time the Principal Investigator submits the proposal to the Office of Sponsored Programs (OSP).  Principal investigators ensure that research personnel submit COI reports prior to proposal submission.  OSP will not submit any grant proposal for which the proposal-specific reports for all research personnel have not been submitted. Any resulting award may be distributed only after the reported proposal-specific information has been reviewed and any management plan has been implemented.
  • Protocol-Specific Report: Non-undergraduate student Principal investigators and co-investigators for IRB protocols are required to report their project-related external commitments and financial interests at the time they submit a protocol to the Institutional Review Board.  Principal Investigators ensure that Co-Investigators submit COI reports prior to protocol submission. The protocol-specific reports must be reviewed and any required management plans implemented prior to protocol approval.
  • Initiating Licensing Activity: Research personnel are required to report their external commitments and financial interest at the time the Center for Technology, Enterprise and Commercialization (CTEC) begins to negotiate a license for technologies for which the research personnel is named as an inventor.

fCOI Main > When To Report