Phoebe Proposal

Preparing Your Proposal: Questions Tab:
Financial Conflict of Interest Screening Questions

For the agencies below, an additional panel of questions will appear that must be answered to submit the proposal.

PHS Financial Disclosure

The Public Health Service (PHS) requires disclosure of significant financial interests by all investigators who participate in PHS-funded research either directly or by subaward. Other agencies have adopted the PHS requirements. For more information, see PHS Financial Disclosure.

PHS Financial Interest Screening

The PI is responsible for answering “Yes” or “No” to the following question on behalf of all UC Berkeley personnel (including the PI) who meet the definition of investigator and are involved in the proposed project.
Do you, your spouse, your registered domestic partner and/or your dependent child(ren) have any of the following financial interests related to your institutional responsibilities?

  • Receipt of income or other payment for services over the past 12 months from and/or equity interest(s) in a publicly traded entity totaling more than $5,000
  • Receipt of income or other payment for services over the past 12 months from a non-publicly traded entity totaling more than $5,000
  • Any equity interest(s) in a non-publicly traded entity, regardless of value
  • Receipt of payments for any intellectual property rights and interests (e.g., from patents, copyrights assigned to any entity other than the Regents) totaling more than $5,000
  • Reimbursed or sponsored travel that exceeds $5,000 per entity (excluding U.S. governmental agencies or U.S. institution of higher education)

Did any UC Berkeley investigator involved in this proposed project (including the PI) answer “Yes” to the above question?
If yes, please list the individuals who meet the definition of investigator on this project who answered “Yes.” See PHS Financial Disclosure for guidance and forms.

NASA, NSF and Other Non-PHS Federal Financial Disclosure

Applicants to the National Science Foundation or to NASA for Assistance (grants or cooperative agreements) must disclose project-related financial interests for themselves and all other project investigators at the proposal submission stage. This requirement also applies to subawards, to other federal non-PHS agencies, and to other agencies that have adopted the NSF requirements (e.g., UCOP Research Programs: CBCRP, CHRP, TRDRP; the California Institute for Regenerative Medicine, U.S. Environmental Protection Agency). For more information, see NASA, NSF and Other Non-PHS Federal Financial Disclosure.

Non-PHS Financial Interest Screening

The PI is responsible for answering “Yes” or “No” to the following question on behalf of all UC Berkeley personnel (including the PI) who meet the definition of investigator and are involved in the proposed project.
Do you, your spouse, your registered domestic partner, and/or your dependent child(ren) have any of the following interests that (i) would reasonably appear to be affected by the research for which funding is sought, or (ii) are in the sponsor of the research, or (iii) are in entities whose financial interests would reasonably be affected by the research?

  • Receipt of income or payment for services over the past 12 months from any single business entity exceeding $10,000
  • Any equity interest exceeding 5% ownership or $10,000
  • Any intellectual property interest assigned or to be assigned to other than the Regents

Did any UC Berkeley investigator involved in this proposed project (including the PI) answer “Yes” to the above question?
If yes, please list the individuals who meet the definition of investigator on this project who answered “Yes.” See NASA, NSF and Other Non-PHS Federal Financial Disclosure for guidance and forms.

DOE Financial Disclosure

The U.S. Department of Energy (DOE) requires disclosure of significant financial interests by all investigators who participate in DOE-funded research either directly or by subaward. For more information, see DOE Financial Disclosure.

DOE Financial Interest Screening

The PI is responsible for answering “Yes” or “No” to the following question on behalf of all UC Berkeley personnel (including the PI) who meet the definition of investigator and are involved in the proposed project.
Do you, your spouse, your registered domestic partner and/or your dependent child(ren) have any of the following financial interests related to your non-Federal entity responsibilities?

  • Receipt of income or other payment for services over the past 12 months from and/or equity interest(s) in a publicly traded entity totaling more than $5,000
  • Receipt of income or other payment for services over the past 12 months from a non-publicly traded entity totaling more than $5,000
  • Any equity interest(s) in a non-publicly traded entity, regardless of value
  • Receipt of payments for any intellectual property rights and interests (e.g., from patents, copyrights assigned to any entity other than the Regents) totaling more than $5,000
  • Reimbursed or sponsored travel (excluding U.S. governmental agencies or U.S. institution of higher education)

Did any UC Berkeley investigator involved in this proposed project (including the PI) answer “Yes” to the above question?
If yes, please list the individuals who meet the definition of investigator on this project who answered “Yes.” See DOE Financial Disclosure for guidance and forms.

 

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