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.

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

Please maintain the following information in your records:

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

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

    Contracts and Grants Officer

    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

    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

    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

    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

    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.

    Policy Questions

    Technical UC OATS Questions

    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.

    Conflict of Interest Team

    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.

    Conflict of Interest Team