Forms & Policies

Printable COI Disclosure Chart

Disclosing individuals must disclose their financial interests received within the 12 months prior to disclosure submission including the financial interests of his/her spouse/registered domestic partner, and/or dependent child(ren). All positive disclosures must be approved prior to acceptance of the award or additional funding, to expenditure of funds, and/or to IRB review and approval of the protocol. Non-UCI Researchers have different COI forms.

State Law

Reporting Triggers:

  • Research contract/grant from a non‐governmental entity
  • Research Gifts earmarked for a specific individual or a specific research project
  • Material Transfer Agreement

Note: Exclude all exempt sponsors on FPPC approved list and all non-profit, tax-exempt educational institutions. However, researchers must disclose for the prime sponsor if the educational institution received its funds from a non-governmental entity.

Who:

  • UCI Principal Investigator and co-Principal Investigator, if applicable

What to Disclose:

A financial interest in the non‐governmental sponsor of the research including:

  • Income ≥ $500
  • Investments ≥ $2,000
  • Director, Officer, Employee, Partner, Trustee, Consultant or Management position
  • Loan Balances ≥$500
  • Personal Gifts Valued at ≥ $50
  • Travel Reimbursements

When to Disclose:

  • With the initial award
  • With renewal award (additional funding intended to extend or results in the extension of a project beyond the originally approved project period)

Policies/Regulations:

Forms:

National Science Foundation

Reporting Triggers:

  • NSF research contract/grant
  • Non‐governmental entity which flows down NSF funds
  • UC Discovery Grant
  • California Institute for Regenerative Medicine (CIRM) Grant
  • UC Special Research Programs (HIV/AIDS, breast cancer and tobacco related disease)

Note: Exclude Phase 1 SBIR or STTR grants

Who:

  • UCI Investigator(s) (individuals responsible for the design, conduct, or reporting of the funded research project)

What to Disclose:

A significant financial interest related to the research project including:

  • Income > $10,000 (excluding income from seminars, lectures, teaching engagements, or service on advisory committees or review panels for public or nonprofit entities)
  • Equity interest (including stock, stock options, and other ownership interests) > $10,000 or 5%
  • Intellectual Property interest in a patent, patent application, or copyright of a software (excluding intellectual property owned by the UC)

When to Disclose:

  • With the initial proposal
  • When a new Investigator(s) is added
  • With any change in an investigator’s financial interest

Policies/Regulations:

Forms:

Public Health Service

Reporting Triggers:

  • PHS research contract/grant
  • Non-governmental entity which flows down PHS funds
  • Research Funding from organizations that follow PHS disclosure requirements (i.e., American Cancer Society, American Heart Association). See the complete list here.

Note: Exclude Phase 1 SBIR or STTR grants

Who:

  • UCI Investigator(s) (individuals responsible for the design, conduct, or reporting of the funded research project)

What to Disclose:

A significant financial interest related to the investigator’s institutional responsibilities including:

  • If publicly traded entity, total value of compensation and equity interest (including stock, stock options, and other ownership interests) > $5,000
  • If non-publicly traded entity, total value of compensation > $5,000 or any equity interest (including stock, stock options, and other ownership interests)
  • Income received related to intellectual property > $5,000 (excluding intellectual property owned by the UC)
  • Any reimbursed or sponsored travel (excluding (1) travel that is reimbursed or sponsored by a US Federal, state, local government agency, an Institution of higher education as defined by 20 U.S.C. 1001(a) within US, an academic teaching hospital, a medical center, or a research institute affiliated with an Institution of higher education within US; and (2) sponsored or reimbursed travel for the Investigator’s spouse/registered domestic partner and/or dependent children)

When to Disclose:

  • With the initial and renewal proposals
  • With supplemental funding proposal
  • With non‐competing continuation
  • With no cost time extension
  • When a new Investigator(s) is added
  • At least annually for duration of project
  • With any new significant financial interest (New significant financial interests must be reported within 30 days of acquiring or discovering the new SFI.)

Policies/Regulations:

Forms:

List of Organizations that require compliance with PHS regulations:

  1. Administration on Aging (AoA)
  2. Administration for Community Living (ACL)
  3. Agency for Healthcare Research & Quality (AHRQ)
  4. Agency for Toxic Substances & Disease Registry (ATSDR)
  5. Alliance for Lupus Research (ALR)
  6. Alpha-1 Foundation
  7. American Asthma Foundation
  8. American Cancer Society (ACS)
  9. American Heart Association (AHA)
  10. American Lung Association (ALA)
  11. Arthritis Foundation (AF)
  12. Centers for Disease Control & Prevention (CDC)
  13. Centers for Medicare and Medicaid Services (CMS) [formerly HCFA]
  14. CurePSP Foundation for PSP/CBD and Related Brain Diseases
  15. Food and Drug Administration (FDA)
  16. Harrington Discovery Institute
  17. Health Resources & Services Administration (HRSA)
  18. Indian Health Service (IHS)
  19. Lupus Foundation of America (LFA)
  20. National Institutes of Health (NIH)
  21. Office of Global Affairs (OGA)
  22. Office of the Assistant Secretary for Health (ASH)
    1. Office of the Assistant Secretary for Preparedness and Response (ASPR)
      1. Biomedical Advanced Research and Development Authority (BARDA)
    2. Office of Minority Health Resources Center (OMH)
    3. Office of Population Affairs (OPA)
    4. Office of Research Integrity (ORI)
    5. Office of Research on Women’s Health (OWH)
  23. Patient-Centered Outcomes Research Institute (PCORI)
  24. Substance Abuse & Mental Health Services Administration (SAMHSA)
  25. Susan G. Komen for the Cure

Human Subjects

Reporting Triggers:

  • Any study involving human subjects

Who:

  • All individuals listed in the protocol application as research personnel

What to Disclose:

A disclosable financial interest related to the research including:

  • Income ≥ $10,000
  • Equity interest (including stock, stock options, and other ownership interests) ≥ $10,000 or 5% in a publicly traded company
  • Equity interest (including stock, stock options, and other ownership interests) in a privately held company, regardless of the value
  • Board of Directors, director, officer, partner, trustee or management position
  • Intellectual Property interest in a patent, patent application, or copyright of a software (excluding intellectual property owned by the UC)

When to Disclose:

  • With the initial protocol
  • With the continuing IRB application
  • With any change in a researcher’s financial interest
  • With any modification request that changes the Lead Researcher or adds Co‐Researchers or other research personnel

Policies/Regulations:

Forms: