Instructions for Completing Standard Conflict of Interest Management Plan for Human Subject Research

The Standard Conflict of Interest (COI) Management Plan for Human Subject Research (SMP) is invoked when an investigator reports certain significant financial interests (as defined in Policy 11-01-03 Conflict of Interest for Faculty, Scholars, Researchers, Research Staff/Coordinators) in either the sponsor of a human subject research study, or in the technology being evaluated. Positive responses to certain questions in section 7.3 of an OSIRIS protocol automatically invoke the Principal Investigator (PI) exclusion rule and the Standard Management Plan.

Please review the instructions below and complete the SMP as directed. All requests for exceptions should first be communicated to the director of the COI Office (David T. Wehrle; 412-383-1774;; Hieber Building, Ground Floor). Your request will then be forwarded to the appropriate party for deliberation. You will be informed of the results of these deliberations within two weeks of making such request.

Exceptions to the PI exclusion rule must be approved by the authorized institutional official for human subject research, the Vice Provost for Research Conduct and Compliance (Professor George A. Huber). Please note that the only justification for such an exception is for the protection of human subjects. All other exceptions to the standard COI management plan (e.g., adding/removing elements to/from the standard plan) must be approved by a subcommittee of the COI Committee.

Completing the Standard Conflict of Interest Management Plan for Human Subject Research:

Introductory paragraph:

Specify the name of the research sponsor and/or the technology being evaluated in which you have an SFI.

Item 1:

Indicate your responsibilities as a co-investigator in the study.

Item 7:

The Informed Consent Form must include the paragraph provided here, customized as follows:

  1. Add study-specific information;
  2. Provide the name and telephone number of the PI of the research study. Do not include the name of the person with the financial relationship;
  3. Upload the modified Informed Consent Form into Section 4.9 of your OSIRIS protocol.

Item 8:

Record your name at the top of the Notification of Significant Financial Interest Form (link to form provided within the SMP document) and distribute it to other individuals (such as students, staff, or other faculty members) involved in the research project for their signatures. Signed forms should be returned to the COI Office (Ground Floor, Hieber Building or electronically to Meg Caruso, for its files.

Item 10:

If this study is funded by a federal research grant or contract, you must provide the grant or contract number(s) and title(s) to the COI Office. The University is mandated to disclose to the federal funding agency that a COI has been identified and managed in accordance with federal regulations.


  1. You and the HRPO-approved PI must sign the Standard Management Plan.
  2. Upload a signed copy of the SMP into Section 7.3.2 of OSIRIS.

Please contact the COI Office if you have any questions. Thank you.