For Supervisors

Disclosers are required to annually submit an AA-21 Disclosure Profile and edit the AA-21 throughout the academic year when circumstances change. Once the AA-21 Disclosure Profile is submitted, a certification is created and routed through the workflow to the discloser’s Supervisor, the Research Compliance Office (when applicable), and University Compliance and Ethics.

The supervisor review is important and valued. Supervisors are best suited to evaluate and provide perspective on an employee’s outside activities and financial interests. Supervisors have first-hand knowledge of the day-to-day expectations of their employee’s position and are well-positioned to know if an outside activity or financial interest is so similar in nature to the employee’s university role and responsibilities that the activity or financial interest needs a closer look.

Supervisor Frequently Asked Questions

How is the supervisor notified that a review is pending?

After the discloser submits their AA-21, the Supervisor receives one of two email notifications:

  • Discloser answered No to all questions or made no updates to previously approved activities. Supervisor action is not required.

  • Discloser answered Yes to any question or made updates to previously approved activities. Supervisor action is required.

How does the supervisor conduct their review?

The supervisor should take the following steps to view the AA-21 certification:

Navigate to the Certification Workspace by clicking the link in the system-generated email notification received or by accessing the Certification from their Huron Dashboard.

On the Certification Workspace, click the View Certification button.

Use the left pane to navigate through the pages to review the disclosed information. Click View to see details for each activity. When all pages have been reviewed, click the Exit button (bottom, right).

What should the supervisor consider when reviewing the information?

Supervisors should be familiar with UCF’s policies and regulations related to disclosure and the Outside Activity, Financial Interest, and Potential Conflict of Interest Disclosure Matrix.

Supervisors should look at every question and response on the form. They should evaluate those responses based on what they know about the employee’s interests.

Supervisors should request a clarification if the entries are incomplete, unclear, or do not contain enough information.

Supervisors should evaluate the entries to determine if any pose a potential conflict with the employee’s expected roles and responsibilities.

Supervisors should review time commitments and determine if there is a potential conflict of commitment.

Supervisors should consider if the financial interest or outside activity has the potential to influence the design, conduct, interpretation of data, or presentation of results of the employee’s UCF research.

Supervisors should evaluate the entries to determine if any outside activity or financial interest could affect personnel or students under the employee’s supervision.

Supervisors should consider if the financial interest or outside activity conflicts with UCF’s intellectual property policies. For example, is the employee signing agreements that assign University intellectual property rights to third parties without prior University approval?

Supervisors should ensure they have discussed known outside activities and financial interests with the employee.

 

How does the supervisor submit their review?

After reviewing the AA-21 certification and clarifying any questions with the employee, the next step is for the supervisor to submit the review to the compliance office(s).

  • Click Submit My Review on the Certification Workspace.

  • In the Submit My Review window, the Supervisor is asked to comment on whether additional action, such as a monitoring plan, is recommended and to comment on each entity entered by the discloser. Click the Help Text icon for examples on how to comment.

  • Adding notes, questioning, or calling attention to the need for additional review is good due diligence. It doesn’t mean that the interest will be determined to be a conflict.

  • After entering all reviewer comments, click OK to submit the review.

What if I am no longer the employee’s supervisor?

Huron COI pulls supervisor data from the Workday system. If you are no longer the employee’s supervisor, please ensure the Workday record is updated and email pca@ucf.edu. A COI Administrator will assist with updating the Huron COI system.

What if the discloser is no longer employed at UCF?

Huron COI pulls employment data from the Workday system. If the discloser is no longer employed at UCF, please ensure the Workday record is updated and email pca@ucf.edu. A COI Administrator will assist with updating the Huron COI system.

What if I need additional assistance or have a question?

Supervisors may reach out to pca@ucf.edu (University Compliance) for additional assistance in submitting their review. If the question is specific to a researcher or related to a sponsored research activity, the supervisor may contact coi@ucf.edu (Research Compliance).

In addition, supervisors may wish to reference the Huron COI Reference Guide for Supervisors located in the Huron COI Help Center for assistance in navigating the online reporting system.