Overview of Disclosure Obligations

Researchers are required to disclose their activities, affiliations, and financial interests ("activity") with outside entities and organizations for different compliance reasons. Often this information overlaps so this page highlights what records you should be maintaining and how that information should be disclosed based on each requirement.

Information Required for Different Types of Disclosures

Based on the nature of the activity with an outside entity, the information you need to maintain in your records will vary. For each, consider the following characteristics to help determine which information is necessary. Please note in some cases, more than one category will apply so you will need to maintain all the applicable necessary information.

When you receive or will receive compensation or payment (outside of your UCI compensation) for this activity

Please maintain the following information in your records:

Entity Name
Location of Entity
Status of Entity: Publicly Traded or Privately Held
Financial Interest Type:
- Income
- Equity interest (stock, stock options, ownership interests)
- non-UC Regents owned intellectual property rights
- Gifts
- Travel Reimbursements
  - Location
  - Dates
  - Estimated Value
  - Purpose

When you receive a title, honor, position, appointment, etc.

Please maintain the following information in your records:

Entity Name
Location of Entity
Position, Honor, Title, Appointment, etc.
Year(s)

When you receive resources to support your research from this activity

Please maintain the following information in your records:

Status of Support
Source of Support
Primary Place of Performance
Start and End Dates
Principal Investigator Name
Research Funding or Estimated Value of Research Support
Project Title
Major Goals or Overall Objectives
Effort

Note: Some of the research support information required for Federal Other/Current & Pending Support disclosures for proposals and awards processed through UCI are available through the Current & Pending Support Report tool.

Federal Biographical Sketch

Required in federal and federal flow-through proposal applications generally for senior/key personnel or covered individuals

Information required

Notes

Contracts and Grants Officer

Federal Sponsor Disclosure Requirements

Federal Other/Current & Pending Support

Required in federal and federal flow-through proposal applications generally for senior/key personnel or covered individuals sometimes with the proposal submission or at Just-in-Time

Information required

Disclose all research support including in-kind contributions that require a commitment of the individual's time and support the individual's research and development efforts

Entity Name
Location of Entity
Date(s)/Year(s) of Activity
Description of Activity
Research Support (including in-kind): Visiting student/scholar, equipment, resources, lab space, etc.
Research Funding or Estimated Value of Research Support
Project Title
Effort

Notes

Other/Current & Pending Support information for research proposals and awards processed through UCI can be found through the Current & Pending Support Report.

An in-kind contribution is a non-cash contribution provided by an external entity that directly supports the individuals' research and development efforts. An in-kind contribution may include but is not limited to: real property; office/laboratory space; equipment; data or data sets; supplies; other expendable property; goods and services; employee or student supported by an outside source (non-UCI).

Contracts and Grants Officer

Current & Pending Support Report

Federal Sponsor Disclosure Requirements

Federal Research Performance Progress Report (RPPR)

Changes in other/current & pending support, new senior/key personnel or participants, and other collaborators or contacts must be updated in federal annual progress reports generally for senior/key personnel or covered individuals

Information required

Changes in other/current & pending support for participants or senior/key personnel

Disclose when there has been a change in the active other support of the participants or senior/key personnel since the last reporting period. Describe active other support and include what the change has been.

Entity Name
Location of Entity
Date(s)/Year(s) of Activity
Description of Activity
Research Support (including in-kind): Visiting student/scholar, equipment, resources, lab space, etc.
Research Funding or Estimated Value of Research Support
Project Title
Effort

New senior/key personnel

Upload biosketches and other/current & pending support for all new senior/key personnel

Notes

Contracts and Grants Officer

Current & Pending Support Report

Federal Sponsor Disclosure Requirements

Public Health Service/Department of Energy Conflict of Interest

Required for all Investigators (individuals responsible for the design, conduct or reporting of the project) on PHS/DOE compliant proposals and awards

Information required

Notes

Disclose all significant financial interests related to the individual’s institutional responsibilities (UCI academic research and educational interests).

If publicly traded entity, disclose when total value of compensation and equity interest > $5,000

If privately held entity, disclose when total value of compensation > $5,000 or any equity interest

Sponsored or reimbursed travel disclosures should be disclosed in a separate form, PHS/DOE Travel Log.

Conflict of Interest Team

KR Federal Disclosure and Certification

PHS/DOE Travel Log

National Science Foundation/National Aeronautics and Space Administration Conflict of Interest

Required for all Investigators (individuals responsible for the design, conduct or reporting of the project) on NSF/NASA compliant proposals and awards

Information required

Notes

Disclose all significant financial interests related to the NSF/NASA Compliant proposal or award.

Salary, honoraria, royalties, venture or other capital financing, or other payments > $10,000 (excluding income from seminars, lectures, teaching engagements, or service on advisory committees or review panels for public or nonprofit entities)

Equity interest > $10,000 or 5% ownership interest

Any non-UC Regents owned intellectual property interest in a patent, patent application, or copyright of a software

Conflict of Interest Team

KR Federal Disclosure and Certification

UC OATS (Conflict of Commitment)

In accordance with APM 025 and APM 671 policies, faculty are required to report involvement in outside professional activities, including requesting prior approval before engaging in Category I activities, and reporting time and compensation engaging in the activity.

Information required

Notes

Faculty subject to APM 025 and APM 671
APM 025 and APM 671 applies to faculty holding appointments in one of the following title series at 50 percent or more:

1. Professor, including Acting titles
2. Professor in Residence
3. Adjunct Professor
4. Professor of Clinical (e.g., Medicine)*
5. Health Sciences Clinical Professor*
6. Professor of Teaching

Faculty holding titles in these series are subject to APM 025 if not participating in the Health Sciences Compensation Plan. Faculty participating in the Health Sciences Compensation Plan are subject to APM 671 and are not subject to APM 025.

Recalled Faculty

1. Faculty who have retired and recalled to active service for appointments at or less than 43 percent time are not subject to APM 025.
2. Health Sciences Compensation Plan Faculty: Faculty who have retired and recalled to active service for appointments at or less than 43 percent time are subject to the provision of APM 671.

Policy Questions

Technical UC OATS Questions

UC OATS

Conflict of Commitment Information

State Conflict of Interest for Non-governmental Sponsors

Only required from Principal Investigators and Co-Principal Investigators on non-governmental sponsored research awards and gifts.

Information required

Notes

Conflict of Interest Team

State Forms & Policies

Human Subjects Research Conflict of Interest

All research personnel listed on an IRB protocol must disclose all disclosable financial interests related to the IRB protocol.

Information required

Notes

Disclose if your financial interest meets one or more the following AND relates to the IRB protocol:

Income > $10,000
Publicly traded company: equity interest > $10,000 or 5%
Any equity interest in a privately held company, regardless of value
Intellectual Property interest in a patent, patent application, or copyright of a software

Related: Related financial interests occur when the researcher, their spouse/registered domestic partner or dependent children have a disclosable financial interest that would reasonably appear to be affected by the research or when the entity in which the financial interests are held would reasonably appear to be affected by the research. To assist in the disclosure process, the following examples are provided:

The project results could be relevant to the development, manufacturing, or improvement of products or services of the entity in which the researcher has a financial interest;
The researcher has a financial interest in an entity that might manufacture, commercialize or license a drug, device, procedure or any other product used in the project or that will predictably result from the project;
The researcher received compensation from activities in his/her professional field during the prior twelve months, where the financial interest of the entity or the investigator would reasonably appear to be affected by the project;
The research involves a product, services, method, etc. that competes or is an alternative to the entity's product, services, method, etc.;
The researcher has a financial interest in an entity and the project proposes to subcontract a portion of the work, or lease property, or make referral of participants to, or make purchases from the entity; or
The researcher has a financial interest in an entity that is part of a consortium or that will otherwise participate in the project.

Conflict of Interest Team

IRB Forms & Policies