PHS (NIH)

The Public Health Service and any of the following agencies* require investigators to disclose significant financial interests. If a PI is submitting a proposal to one of those listed agencies, all investigators must submit disclosures for themselves and their spouses/registered domestic partners and dependent children. Investigators include the project director or principal investigator and any other person, regardless of title or position, who is responsible for the design, conduct, or reporting of research funded by the PHS. 

Submitting Conflict of Interest for Research Disclosure Forms

The Office of Sponsored Projects, Office For Management of Intellectual Property, or Gift Administration contact will prompt you to submit a disclosure when needed (e.g., you are receiving support from a grant, contract or gift for research). If there is a positive disclosure, they will prompt you to send an addendum to ORCA for COI review. If your financial interests change after submission of a disclosure, you are required to resubmit your disclosure. PHS requires a disclosure during proposal submission, when new investigators are added, when financial interests of any investigators change, annually, at renewals, and at no cost time extensions.

Mandated Training

All investigators who have responsibility in design, conduct and reporting of the PHS-funded research must take COIR training:

• Prior to engaging in research related to any PHS funded project;
• At least every four years; and
• Immediately when any of the following circumstances apply:
  • Institution revises its policy in a manner that affects the investigator;
  • When an investigator is new to the institution; or
  • When the institution finds an investigator is not in compliance with the institution’s policy or management plan

Training is on the UC Learning Center; log in and search for "COIR". The course is titled the Compliance and Conflict of Interest for Researchers Briefing and takes approximately 30 minutes to complete.

NIH Forms

• 900 PI Packet (For NIH Disclosure)
• 900D Disclosure Form
• 910 Appendix Form
• 920 PHS Addendum Form

For More Details

• UCSC Disclosure Matrix
• PHS (NIH) Policy on Objectivity in Research
• NIH Guidance
• NIH FAQ
• NIJ FAQ
• UCOP Conflict-of-interest policy for PHS-funded research
• UCSC PHS Disclosure Process Flowchart
• PHS final rule, Summary

Agencies that follow PHS Policy

PHS
• Agency for Healthcare Research and Quality (AHRQ)
• Agency for Toxic Substances and Disease Registry (ATSDR)
• Centers for Disease Control (CDC)
• Food and Drug Administration (FDA)
• Health Resources and Services Administration (HRSA)
• Indian Health Services (IHS)
• National Institutes of Health (NIH)
• National Institute of Justice (NIJ)
• Office of the Assistant Secretary for Health (ASH), including - Office of Minority Health Resources Center (OMH) - Office of Population Affairs (OPA) - Office of Research Integrity (ORI) - Office of Research on Women’s Health (OWH)
• Office of the Assistant Secretary for Preparedness and Response (ASPR), including - Biomedical Advanced Research and Development Authority (BARDA)
• Office of Global Affairs (OGA)
• Substance Abuse and Mental Health Services Administration (SAMHSA)

Non-PHS
• Alliance for Lupus Research
• American Asthma Foundation
• American Cancer Society
• American Foundation for Suicide Prevention
• American Heart Association
• American Lung Association
• Arthritis Foundation
• CurePSP Foundation for PSP | CBD and Related Brain Diseases
• Harrington Discovery Institute
• Juvenile Diabetes Research Foundation
• Lupus Foundation of America
• Susan G. Komen for the Cure
• Patient-Centered Outcomes Research Institute (PCORI)