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. See LBNL's COI policy for Private sponsors (RPM)
Forms - Non-Federal
| Statement of Economic Interests for Principal Investigatyors 700-U (2012/2013) | Original 700-U to RIIO |
| Copy to OSPIP | |
| COI 700-U LBNL Addendum to Statement of Economic Interest which is required when the PI has a positive response to any questions on the COI Form 700-U. | Original 700-U Addendum to RIIO ONLY. No copy should be sent to OSPIP. |
| CRADA COI Form Approved by DOE | Original CRADA COI form to RIIO |
| Copy to OSPIP |
Federal : LBNL COI Policy for Federal sponsors (RPM)
Forms - Federal:
Federal COI forms are separated into two groups: 'NIH/PHS' along with other sponsors that also use these PHS forms (NSF, American Heart Association, American Cancer Society, UC Discovery Grants and UCOP Special Research Programs) and 'Other Federal'. Both sets have been updated late in 2012.
NEW:USE THESE DFI-PHS FORMS FOR PHS/NIH PROPOSALS SUBMITTED ON OR AFTER AUGUST 24, 2012. |
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Not an eSRA Proposal |
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| No DFI-1 Form is necessary. | Send the 'original' (paper) form to RIIO and a copy to OSPIP | ||
eSRA Proposal |
Not an eSRA Proposal |
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PIs must upload DFI-2 forms into the eSRA proposal. No paper form need be sent. |
Send the 'original' (paper) form to RIIO and a copy to OSPIP | ||
3. DFI -3 - PHS - Positive Disclosure of Financial Interest in PHS-Funded Research 8/2012 |
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eSRA Proposal |
Not an eSRA Proposal |
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The 'original' paper DFI-3 form should be sent to RIIO ONLY. No copy should be sent to OSPIP and the Positive Disclosure should be NOT be uploaded into eSRA. |
The 'original' paper DFI-3 form should be sent to RIIO ONLY. No copy should be sent to OSPIP |
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OTHER ('NON-PHS or NIH') FEDERAL COI Forms |
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Not an eSRA Proposal |
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| No DFI-1 Form is necessary. | Send the 'original' (paper) form to RIIO and a copy to OSPIP | |
eSRA Proposal |
Not an eSRA Proposal |
|
PIs must upload DFI-2 forms into the eSRA proposal. No paper form need be sent. |
Send the 'original' (paper) form to RIIO and a copy to OSPIP | |
3. DFI-3 - Positive Disclosure of Financial Interests 8/2012 |
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eSRA Proposal |
Not an eSRA Proposal |
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The 'original' paper DFI-3 form should be sent to RIIO ONLY. No copy should be sent to OSPIP and the Positive Disclosure should be NOT be uploaded into eSRA. |
The 'original' paper DFI-3 form should be sent to RIIO ONLY. No copy should be sent to OSPIP |
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