Rev. 10/09

1. General
2. Related Forms
3. Related Links

A.  GENERAL

State of California Financial Disclosure

The Political Reform Act of the State of California of 1974 and UC Policy require the principal investigator of a project funded by a nongovernmental agency or funded by a research gift to submit the original Statement of Economic Interests for Principal Investigators (Form 700-U) at the time of proposal submission or receipt of the gift.

When LBNL is proposing a Work for Others agreement with an entity that is receiving its funding from another organization, federal and state forms are to be completed as in the following examples:

1. LBNL receives funding from Chiron. Chiron receives its funding from NIH. LBNL must collect both the state disclosure (Form 700-U) from the PI at LBNL, and the disclosures of financial interest (Form DFI-1, DFI-2, and DFI-3, if applicable) from the PI and all the participants. Chiron is a nongovernmental entity, and is not exempt.


2. LBNL receives funding from the American Heart Association. The AHA receives its funding from NIH. LBNL must collect the disclosures of financial interest (Form DFI-1, DFI-2, and DFI-3, if applicable). The AHA is on the State of California exempt list, so the state disclosure (700-U) does not need to be completed.


3. LBNL receives funding from The Parkinson Disease Foundation (PDF). PDF receives its funding from the NIH. PDF is a nonprofit entity, but is not on the state exempt list. LBNL must collect both the state disclosure (700-U) and disclosures of financial interest (Form DFI-1, DFI-2, and DFI-3, if applicable)

FINANCIAL DISCLOSURES ARE REQUIRED FOR ALL NEW, AMENDMENT, NONCOMPETING CONTINUATION AND RENEWAL PROPOSALS.

When there is a positive disclosure, the original disclosure forms go to the Conflict of Interest Coordinator, with a copy going to the Office of Sponsored Projects and Industry Partnerships (OSPIP).  For negative disclosures, the original goes to OSPIP.

B. RELATED FORMS

• Conflict of Interest Disclosure Form 700-U*


• Conflict of Interest Addendum (if there are any positive responses on the 700-U)*

*The original disclosure forms (positive and negative) should be sent to the Laboratory Conflict of Interest Coordinator.

C.  RELATED LINKS

• UC Conflict of Interest Code


• University Policy on Disclosure of Financial Interest in Private Sponsors of Research


• List of Nongovernmental Entities Exempt from Disclosure Requirement