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Disclosure Chart

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*Non-UCI Investigators/Researchers have different COI forms. Refer to Forms & References page.

State Law

National Science Foundation

Public Health Service

Human Subjects

Reporting Triggers

  • Research contract/grant from a non governmental entity
  • Research Gift 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.

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

Note: Exclude Phase 1 SBIR or STTR grants 

  • 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).  Complete list at: http://research.uci.edu/ora/coi/agencies.htm

Note: Exclude Phase 1 SBIR or STTR grants

Any study involving human subjects

Who must disclose

UCI Principal Investigator

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

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

All individuals listed in the protocol application as research personnel

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   

Note: Financial interests received within 12 months prior to submission must be reported for the disclosing individual and his/her spouse or registered domestic partner, and dependent children.

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, patentn application, or copyright of a software (excluding intellectual property owned by the UC)

Note: Financial interests received within 12 months prior to submission must be reported for the disclosing individual and his/her spouse or registered domestic partner, and dependent children.

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 Federal, state, local government agency, an Institution of higher education as defined by 20 U.S.C. 1001(a), an academic teaching hospital, a medical center, or a research institute affiliated with an Institution of higher education; or (2) sponsored or reimbursed travel for the Investigator’s spouse/registered domestic partner and/or dependent children.)

Note:  Financial interests received within 12 months prior to submission must be reported for the disclosing individual and his/her spouse or registered domestic partner, and dependent children.

A disclosable financial interest related to the research including:

  • Income ≥ $10,000   
  • Equityinterest (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)

Note: Financial interests received within 12 months prior to submission must be reported for the disclosing individual and his/her spouse or registered domestic partner, and dependent children.

When to Disclose

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

Note: All positive disclosures must be reviewed and approved prior to acceptance of the award or additional funding.   

  • With the initial proposal
  • When new personnel are added
  • With any change in an investigator’s financial interest

Note: All positive disclosures must be reviewed and approved prior to acceptance of the award or additional funding.   

  • With the initial proposal
  • With renewal proposal
  • With supplemental funding proposal
  • With non‐competing continuation
  • When new personnel are 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 for the disclosing individual and his/her spouse/registered domestic partner and dependent children.)

Note: All positive disclosures must be reviewed and approved prior to expenditure of funds.

  • With the initial protocol
  • With any continuing IRB application
  • With any modification request that changes the Lead Researcher or adds Co‐Researchers or other research personnel

Note: All positive disclosures must be reviewed and approved prior to IRB review and approval of the protocol.  

Disclosure Forms

  • Annual Disclosure (KC COI)
  • NSF Disclosure (KC COI), if necessary
  • Addendum for All Positive Disclosures (Form COI-1), if necessary
  • Application for IRB Review (online)
  • Addendum for All Positive Disclosures (Form COI-1), if necessary

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