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Forms at a Glance:

Form Name:

700-U - Statement of Economic Interests for Principal Investigators

Form Use:

The 700-U form is required for Non-Federal Sponsored Projects, which include:

  • Gifts

  • Private Grants

  • Clinical Trial Agreements

  • Lab Service Agreements

  • For Profit Contracts, which include:

  • Research Agreements

  • UC Discovery Grant Program, which includes:

    • MICRO - Microelectronics

    • bio - Biotechnology

    • com - Communications and Networking

    • dig - Digital Media

    • ele - Electronics Manufacturing and New Materials

    • itls - Information Technology for Life Sciences

Changes to Form 700-U: In July 2005, the State of California's Fair Political Practices Commission issued a revised Statement of Economics Interests (700-U) form. The revised form eliminates the need for a completion statement and adds a separate entry line for renewal funding. In addition, the 700-U Instructions now include a Privacy Information Notice with reference to the requirements of the Political Reform Act.

 

Please Note: Material Transfer Agreements (MTA); please fill out the appropriate Material Transfer Process form first, before proceeding with the 700-U, as the 700-U may not be required.

 

For information regarding Sponsors that may be exempt from 700-U requirement, click here.

Form Submitted:

The 700-U must be completed and submitted with the funding proposal to the appropriate reviewing office:

  • OCGA - Office of Contract and Grant Administration:

    • For-Profit Research Agreements
    • Private Grants; such as UC Discovery Grant Program
    • Material Transfer Agreements for General Campus and Health Sciences
  • SIO - Scripps Institution of Oceanography Contract and Grant Office:
    • For-Profit Research Agreements and Private Grants, at SIO
  • Health Sciences Office of Clinical Trial Administrative Services for clinical trial agreements
  • Health Sciences Legal Liaison for lab service agreements
  • Office of Gift Administration for unrestricted gifts

Please Note: An original signature is always preferred, however faxed signatures will be accepted.

Form Access:

 

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Form Name:

9510 - Disclosure of Financial Interests Related to Federal and Other Sponsored Projects Adopting the Federal Requirements

Form Use:

The 9510 form is required for contract and grant proposals being submitted to:

  • National Institutes of Health (NIH): which include these types of proposals/disclosures:

    • New
    • Renewal
    • Resubmission
    • Continuation
    • Competitive Supplement
    • Change of Principal Investigator
    • Adding a Researcher to the Project
    • Subaward
    • SBIR - Small Business Innovation Research
    • STTR - Small Business Technology Transfer
  • Department of Health and Human Services (DHHS): 8 agencies within DHHS, including NIH, require the 9510 form. Those DHHS agencies are:
    1. AHRQ - Agency for Healthcare Research and Quality
    2. ATSDR - Agency for Toxic Substances and Disease Registry
    3. CDC - Centers for Disease Control and Prevention
    4. FDA - Food and Drug Administration
    5. HRSA - Health Resources and Services Administration
    6. IHS - Indian Health Service
    7. NIH - National Institutes of Health
    8. SAMHSA - Substance Abuse and Mental Health Services Administration

  • National Science Foundation (NSF): which include these types of proposals/disclosures:

    • New
    • Renewal
    • Change of Principal Investigator
    • Adding a Researcher to the Project

  • American Cancer Society (ACS): For Research Scholars; which includes these types of proposals/disclosures:

    • New
    • Resubmission
    • Change of Principal Investigator
    • Add Researcher to the Project

  • American Heart Association (AHA): Western and National; which includes these types of proposals/disclosures:

    • New
    • Resubmission
    • Change of Principal Investigator
    • Add Researcher to the Project

  • California Institute for Regenerative Medicine (CIRM): which include these types of proposals/disclosures:

    • New
    • Resubmission
    • Change of Principal Investigator
    • Add Researcher to the Project

  • UC Discovery Grant Program:

    • MICRO
    • bio
    • com
    • dig
    • ele
    • itls
      • Which include these types of proposals/disclosures:
        • New
        • Resubmission
        • Change of Principal Investigator
        • Add Researcher to the Project

  • UC Programs:

    • Breast Cancer Research Program (BCRP)
    • California HIV/AIDS Research Program (CHRP)
    • Tobacco-Related Disease Research Program (TRDRP)
      • Which include these types of proposals/disclosures:
        • New
        • Resubmission
        • Change of Principal Investigator
        • Add Researcher to the Projec

  • Subawards:

    • Applies to entities with funds originating from all agencies mentioned above; NIH, the 8 DHHS agencies, NSF, AHA, UC Discovery Grant Program and UC Programs; BCRP, CHRP, and TRDRP.

Please Note: The receiving entity is required to supply assurances that will allow the University to comply with NIH, NSF, some DHHS agencies, AHA, UC Discovery Grant Program, and UC Programs BCRP, TRDRP, and UARP regulations.

Form Submitted:

The 9510 must be completed and submitted with the funding proposal to the appropriate reviewing office:

  • OCGA - Office of Contract and Grant Administration; General Campus and Health Sciences, excluding Health Sciences NIH Grant Proposals

  • SIO - Scripps Institution of Oceanography, Contract and Grant Office for SIO

  • HSSPPO - Health Sciences Sponsored Projects Pre-Award Office, for Health Sciences NIH Grant Proposals only

Please Note: An original signature is always preferred, however faxed signatures will be accepted.

Form Access:

 

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Form Name:

Addendum to Investigator's Statement of Economic Interest

Form Use:

The Addendum to Investigator's Statement of Economic Interests is required when a Principal Investigator, Co-Principal Investigator, or Key Personnel have made a positive disclosure of financial interest on the 700-U form or the 9510 form.

Form Submitted:

The Addendum can be submitted either with the proposal in the case of a Contract or Grant (including UC Discovery Grant Program) or directly to the Conflict of Interest Office after the proposal is submitted by the Office of Contract and Grant Administration (OCGA), Scripps Institution of Oceanography Contract and Grant Office (SIO), or the Health Sciences Sponsored Projects Pre-Award Office (HSSPPO).

 

Please Note: In the case of Gifts or Service Agreements, the Addendum may be submitted directly to the Conflict of Interest Office.

Form Access:

 

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