Performance Improvement 2009. Do Grantee Institutions Comply with Federal Financial Conflicts-of-Interest Regulations?


This study determined the number and nature of financial conflicts of interest reported by grantee institutions to the National Institutes of Health (NIH). For this analysis, NIH provided 438 financial conflict-of-interest reports for fiscal years 2004 through 2006. Federal regulations require grantee institutions to report financial conflicts of interest; the regulations do not require them to report the details.

At least 89 percent of financial conflict-of-interest reports reviewed did not state the conflicts or how they would be managed. Reviewers found few cases in which Institutes followed up with grantee institutions regarding a financial conflict of interest and/or the management plan for a conflict. Many Institutes relied on the good faith of the grantee institution to ensure compliance with Federal financial conflict-of-interest regulations and did not directly oversee or review grantee institutions’ management of financial conflicts of interest.

Report Title: National Institutes of Health: Conflicts of Interest in Extramural Research
Agency Sponsor: OS-OIG, Office of Inspector General
Federal Contact: Erin Lemire, 202-205-9523
Performer: Staff; Office of Inspector General
PIC ID: 8987

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