Conflict of Interest (COI) Forms

 

State (Non-Federal sponsored) and Federal laws require Conflict of Interest (COI) disclosures for certain sponsors. The Research and Institutional Integrity Office (RIIO) at LBNL has responsibility for compliance assurance regarding conflicts of interest requirements.

 

Non-Federal:

Conflict of Interest disclosures are required for all Non-Federal sponsors except certain DOE Labs and sponsors on UCOP's exempt list.

 

COI policy for Non-Federal sponsors (RPM)

 

Forms - Non-Federal

• Principal Investigator's Conflict of Interest Form 700-U with Instructions
• Original form to RIIO
• Copy to OSPIP
• COI 700-U Addendum which is required when the PI has a positive response to any questions on the COI Form 700-U.
• Original form to RIIO ONLY. No copy should be sent to OSPIP.
• CRADA COI Form Approved by DOE
• Original form to RIIO
• Copy to OSPIP

 

Federal (NIH/NSF):

COI Policy for Federal sponsors (RPM)

 

NIH COI Website

 

Forms - Federal

(for NSF/PHS/NIH, WFO funded by PHS/NIH or NSF, American Heart Association, American Cancer Society, UC Discovery Grants, UCOP Special Research Programs)

 

• LBNL Declaration — Principal Investigator’s List of Participants Who Must File Disclosures of Financial Interest (Form DFI-1)
• Original form to RIIO
• Copy to OSPIP
• LBNL Disclosure of Financial Interest (Form DFI-2)
• Original form to RIIO
• Copy to OSPIP
• LBNL Positive Disclosure of Financial Interest (Form DFI-3).
• Original to RIIO ONLY. No copy should be sent to OSPIP.