Forms & Policies
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:
- UCI Disclosure & Review of Principal Investigator's Financial Interests in Non-governmental Sponsors
- UC Disclosure of Financial Interest in Private Sponsors of Research
- State Policy Statements of Economic Interests: Person or Persons at an Institution of Higher Education with Principal Responsibility for a Research Project
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:
- UCI Disclosure & Review of Financial Interests in Federal Awards
- UC Disclosure of Financial Interests & Management of Conflicts of Interest, National Science Foundation Awards
- NSF Conflict of Interest Policy
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:
- UCI Disclosure of Financial Interests Related to Public Health Service Sponsored Projects for Promoting Objectivity in Research
- UC Disclosure of Financial Interests & Management of Conflicts of Interest, Public Health Service Research Awards
- PHS Responsibility of Applicants for Promoting Objectivity in Research for which PHS Funding is Sought
Forms:
- KR COI Annual Disclosure
- Annual Form 810
- KR COI PHS Travel Log
- Form 820
- Expedited Review Request Form
- Liaison Acknowledgement Form
- Subrecipient/Non-UCI Investigator Disclosure- Form 800SR
- Non-UCI COI Addendum (COI-3)
List of Organizations that require compliance with PHS regulations:
- Administration on Aging (AoA)
- Administration for Community Living (ACL)
- Agency for Healthcare Research & Quality (AHRQ)
- Agency for Toxic Substances & Disease Registry (ATSDR)
- Alliance for Lupus Research (ALR)
- Alpha-1 Foundation
- American Asthma Foundation
- American Cancer Society (ACS)
- American Heart Association (AHA)
- American Lung Association (ALA)
- Arthritis Foundation (AF)
- Centers for Disease Control & Prevention (CDC)
- Centers for Medicare and Medicaid Services (CMS) [formerly HCFA]
- CurePSP Foundation for PSP/CBD and Related Brain Diseases
- Food and Drug Administration (FDA)
- Harrington Discovery Institute
- Health Resources & Services Administration (HRSA)
- Indian Health Service (IHS)
- Lupus Foundation of America (LFA)
- National Institutes of Health (NIH)
- Office of Global Affairs (OGA)
- Office of the Assistant Secretary for Health (ASH)
- Office of the Assistant Secretary for Preparedness and Response (ASPR)
- Biomedical Advanced Research and Development Authority (BARDA)
- Office of Minority Health Resources Center (OMH)
- Office of Population Affairs (OPA)
- Office of Research Integrity (ORI)
- Office of Research on Women’s Health (OWH)
- Office of the Assistant Secretary for Preparedness and Response (ASPR)
- Patient-Centered Outcomes Research Institute (PCORI)
- Substance Abuse & Mental Health Services Administration (SAMHSA)
- 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: