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Non-governmental Sponsor (State Law)

Announcements

State of California law requires the principal investigator and co-principal investigator (if applicable) of a research contract, grant, or gift from a non-governmental entity to disclose their financial interests and the financial interests of their spouse/registered domestic partner and/or dependent children in the sponsor unless it is on the exempt sponsors list.

When to Disclose:

  • Standard proposals- when the project is awarded
  • Industry sponsored research proposals- with the proposal submission in Kuali Coeus

Procedures

  • Standard proposals- The Form 700U will be collected at the award stage.  Please do not upload the Form 700U in Kuali Coeus.  The SPA/Industry Officer will send the Prinicipal Investigator (and Co-Principal Investigator if applicable) an email request for the original and a scanned copy of the form once the proposal has been awarded.
  • Industry sponsored research proposals (including clinical trials)- A scanned copy of the Form 700U should be uploaded in Kuali Coeus along with the other proposal documents and the original should be sent to the "COI Team, Zot Code: 7600."  The COI Team will contact the Prinicipal Investigator and/or Co-Principal Investigator if additional forms are required.

Determining Disclosable Financial Interests

The principal investigator must submit the Statement of Economic Interests for Principal Investigators (Form 700U), which asks questions regarding financial interests the principal investigator, principal investigator’s spouse/registered domestic partner and dependent children may have in the sponsor at the award stage.  The state disclosure requirement for principal investigators also applies to co-principal investigators.

  • If the principal investigator, principal investigator’s spouse/registered domestic partner and dependent children indicate “No” for all the questions in Section 3 (Filer Information), then the principal investigator only needs to submit the Statement of Economic Interests for Principal Investigators form indicating the negative disclosure. 
  • If the principal investigator, principal investigator’s spouse/registered domestic partner or dependent children indicate “Yes” for any of the questions in Section 3 (Filer Information), then the PI must submit the Statement of Economic Interests for Principal Investigators form and the Addendum for All Positive Disclosures to be reviewed by the Conflict of Interest Oversight Committee.

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