Pre-award Contract Management

 

Proposal Preparation: 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

 

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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1.    DFI-1 PHS - PI'S List of Participants, 9/2012

eSRA Proposal

Not an eSRA Proposal

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 - PHS - Positive Disclosure of Financial Interest in PHS-Funded Research 8/2012

 

eSRA Proposal

Not an eSRA Proposal

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

 

 

OTHER ('NON-PHS or NIH') FEDERAL COI Forms

 

1.    DFI-1 - PI's List of Participants, 8/2012

eSRA Proposal

Not an eSRA Proposal

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

eSRA Proposal

Not an eSRA Proposal

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