State of California Financial Disclosure

State of California law requires disclosure of financial interest in the sponsor of a research project whether as the prime recipient or as a subcontractor; the donor of a research gift; and, under certain circumstances, the provider of materials under a Material Transfer Agreement (MTA) or data under a Data Use Agreement (DUA) when that sponsor, donor, or provider is a non-governmental source.

Research Projects

Proposal Stage

For research projects, the Statement of Economic Interests for Principal Investigators (Form 700-U) should accompany the proposal to the Sponsored Projects Office or the Industry Alliances Office. The 700-U should be added as an attachment in Phoebe.

The Form 700-U can now be completed and signed electronically with DocuSign, available through an integration with Phoebe. See the Phoebe guidance on the DocuSign Form 700-U for more information. If the Phoebe-generated DocuSign Form 700-U is submitted, no signed “wet-ink” paper copy is required.
If the original PDF version of the form is used, in addition to adding the 700-U as an attachment in Phoebe, the paper 700-U, with original, ink signature and date, must be sent or delivered to SPO/IAO. Reference the Phoebe proposal number in the top, right-hand corner of the paper form.

If a defined financial relationship is disclosed in the 700-U, an Addendum to Statement of Economic Interests for Principal Investigators must also be submitted.

Note: Funding from certain sponsors will not trigger a 700-U disclosure as they have been exempted from the process by the State.

If the award to Berkeley is a subaward and the prime sponsor, donor, or provider is a non-governmental source, a 700-U would be required for the prime sponsor. When both the prime sponsor and the funding entity are non-governmental sources then a 700-U would be required for both entities.

During Life of Award

For “interim” statements, Investigators must submit a 700-U within 30 days after the contract, grant, or gift is renewed that discloses reportable investments, income and business positions that the filer held or received during the period between the date the initial statement was filed and the date the project contract, grant, or gift was renewed.

If there is a change in Principal Investigator (PI), the new Investigator must submit a Form 700-U to their SPO Contract and Grant Officer or Industry Alliances Office contact.

Material Transfer Agreements

For MTAs, the Form 700-U should accompany the Material Transfer Agreement Review Form to the Industry Alliances Office. In addition, the paper 700-U, with original, ink signature and date, must be sent or delivered to IAO. Reference the Phoebe proposal number in the top, right-hand corner of the paper form.

Gifts

For research gifts, the Form 700-U must be submitted to the COI Office when a gift is received and be accompanied by any documentation associated with the gift, i.e., donor correspondence, copy of the gift check, gift acceptance forms, departmental acceptance letter, and the like. The paper 700-U, with original, ink signature and date, must be sent or delivered to COI Office.

If a defined financial relationship is disclosed in the 700-U, an Addendum to Statement of Economic Interests for Principal Investigators must also be submitted.

Forms

NOTE: Please use Adobe Acrobat or Reader to fill out PDF forms. (If you have difficulty filling out a form, please download the form to a local computer before filling it out.)