Disclosure Requirements

Promoting Research Security and International Engagement compliance largely depends on submitting accurate, complete and consistent disclosures to promote transparency and maintain compliance.

In particular, the federal agencies continue to investigate discrepancies and failures to disclose in grantees, which have resulted in some cases, criminal and civil charges and employment terminations.  These discrepancies were often discovered when the federal agencies compared disclosures from publications, conflict of interest, conflict of commitment, grant applications and annual progress reports.

Best Practices

    • Understand your disclosure requirements as a researcher and UCI employee (review General Disclosure Requirements below)
    • Maintain a set of up-to-date records of your activities, payments, and relationships to refer to when completing these disclosure requests
      • Maintain an updated CV
      • Master Log is a tool and example of the types of information you need to maintain and track
Man Typing on Laptop

General Disclosure Requirements

As a researcher, there are a number of general disclosure requirements depending on your role and the types of activities you are involved in at UCI.  The following table highlights some of the key disclosure requirements that the federal government is looking at related to Research Security and International Engagement.

Who Needs to DiscloseWhat Needs to be DisclosedWhen to DiscloseWho to Disclose toContact/Resources
Researchers (varies by federal agency)Biographical sketches: positions, affiliations, etc.- see Federal Sponsored ProjectsIn federal grant/contract applicationsFederal AgencySponsored Projects Departmental Assignment
Researchers (varies by federal agency)Other Support/Current & Pending Support: research related resources, collaborations, etc.-see Federal Sponsored ProjectsAt just-in-time/with application and updated with federal project’s annual progress reportsFederal AgencySponsored Projects Departmental Assignment
Researchers (varies based on applicable Conflict of Interest policy(ies)- see COI Disclosure RequirementsConflict of Interest: personal outside financial interests

Public Health Service, National Science Foundation, Department of Energy, National Aeronautics and Space Administration: KR COI Annual Disclosure

Other policies have different disclosure procedures
With certain research project based transactions (such as proposal, award, continuing award, etc.)UCI Conflict of InterestConflict of Interest (Office of Research) at coioc@research.uci.edu
Senior/key personnel listed on proposals with federal sponsors or prime sponsorsInternational affiliations, positions, activities, etc.When listed as senior/key personnel in KR PD, a questionnaire will be created for each senior/key person to complete prior to proposal submission to SPA for reviewUCI Research Security & International EngagementFederal Funding Proposal Review
UCI FacultyConflict of Commitment: outside professional activities in UC OATSAnnually based on the fiscal calendar; Prior Approval for Category 1 Activities, involving students, or exceeding days limitUCI Academic PersonnelAcademic Personnel Directory

For SOM faculty, visit OATS Resources and FAQ
UCI EmployeesIntellectual Property - Record of InventionSubmitted after invention’s discoveryUCI Beall Applied Innovation Research Translation GroupResearch Translation Group at cove@uci.edu