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
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- 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
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 Disclose | What Needs to be Disclosed | When to Disclose | Who to Disclose to | Contact/Resources |
|---|---|---|---|---|
| Researchers (varies by federal agency) | Biographical sketches: positions, affiliations, etc.- see Federal Sponsored Projects | In federal grant/contract applications | Federal Agency | Sponsored Projects Departmental Assignment |
| Researchers (varies by federal agency) | Other Support/Current & Pending Support: research related resources, collaborations, etc.-see Federal Sponsored Projects | At just-in-time/with application and updated with federal project’s annual progress reports | Federal Agency | Sponsored Projects Departmental Assignment |
| Researchers (varies based on applicable Conflict of Interest policy(ies)- see COI Disclosure Requirements | Conflict 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 Interest | Conflict of Interest (Office of Research) at coioc@research.uci.edu |
| Senior/key personnel listed on proposals with federal sponsors or prime sponsors | International 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 review | UCI Research Security & International Engagement | Federal Funding Proposal Review |
| UCI Faculty | Conflict of Commitment: outside professional activities in UC OATS | Annually based on the fiscal calendar; Prior Approval for Category 1 Activities, involving students, or exceeding days limit | UCI Academic Personnel | Academic Personnel Directory For SOM faculty, visit OATS Resources and FAQ |
| UCI Employees | Intellectual Property - Record of Invention | Submitted after invention’s discovery | UCI Beall Applied Innovation Research Translation Group | Research Translation Group at cove@uci.edu |
