The Public Health Service (PHS) requires disclosure of significant financial interests by 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 Guidance.
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UC Berkeley’s Goldman School of Public Policy publishes Policy Notes twice a year. You may need Adobe Acrobat Reader to view these files. Adobe Acrobat Pro (Windows / Mac, closed source, commercial) Acrobat Pro is available to all UC Berkeley affiliates via campus license. Claim your Adobe Creative Cloud license to install Acrobat on your machine or utilize ETS computer facilities. ABBYY Finereader (Windows / Mac, closed source, commercial with educational discount and free trial). Open the PDF file in Adobe Acrobat. In Acrobat, select View - Tools - Text Recognition. In the Recognize Text window, click In This File. Designate the desired pages and click OK. At this point, Acrobat applied OCR to the scanned document and you can search for text within the document. Then, Check and Fix Suspected OCR Errors. Open the PDF file.
Proposal Stage
At the proposal stage the Principal Investigator (PI) must fill out the Conflict of Interest screening questions in Phoebe Proposal on behalf of all investigators that will be involved in the project. For this purpose, an “investigator” is defined as: the Principal Investigator (PI) and any other person/s (regardless of title or position) that the PI identifies as independently responsible for the design, conduct, or reporting of the research.
If disclosure is required but the PI cannot access the screening questions in Phoebe, the PI will need to complete the PHS Financial Interest Screening Questions Form on behalf of all investigators involved in the project and upload this form in Phoebe Proposal.
Note: If any investigator prompts the PI to respond “yes” to any of the screening questions, the investigator will be required to complete and submit the PHS Financial Disclosure Form to the COI Office at coi-team@berkeley.edu for review prior to the award being released.
Subrecipients: If subrecipients are included in the proposal, the authorized official of each FDP subrecipient will need to complete the most current Subrecipient Commitment Form and answer financial interest questions on behalf of all subrecipient investigators named in the Berkeley proposal. Note: A subaward cannot be issued to a subrecipient that does not have a PHS compliant COI policy in place.
Award Stage
If any investigator prompted the PI to answer “yes” to any of the screening questions at the proposal stage, the investigator will be required to complete and submit the PHS Financial Disclosure Form to the COI Office at coi-team@berkeley.edu prior to the award being released.
If the PI responded, “no,” to all the screening questions at the proposal stage then nothing more is required unless the PI’s responses to the screening questions were obtained more than 12 months prior to award receipt. If the questions were answered more than 12 months earlier, the PI will need to submit an updated PHS Financial Interest Screening Questions Form on behalf of all investigators currently involved in the project.
Training: All Investigators are required to take PHS-compliant training prior to engaging in PHS-funded research.
During Life of Award
The PI is required to complete the PHS Financial Interest Screening Questions Form at least annually on behalf of all investigators involved in the project when the PI:
- Submits the progress report/non-competing continuation (RPPR),
- Requests a no-cost time extension,
- Adds new investigators to the project, and/or
- Becomes aware that an investigator that is involved in the project has acquired or discovered a new significant financial interest. (This must be reported within 30 days.)
If the PHS Financial Interest Screening Questions Form provided by the PI at any point listed above includes a “yes” response, then the investigator that prompted the “yes” response will be required to complete the PHS Financial Disclosure Form and email it to their SPO CGO.
Investigators must disclose new Significant Financial Interests within 30 days of acquiring the new interest by submitting a PHS Financial Disclosure Form by email to their SPO CGO.
Training: All Investigators are required to take PHS-compliant training while engaging in PHS-funded research.
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.)
- PHS Financial Interest Screening Questions Form (if not completed in Phoebe at proposal stage, and annually or at the Progress Report stage)
- PHS Financial Disclosure Form (if yes to any screening questions)
- PHS Financial Disclosure: Significant Financial Interests - Entity (optional attachment to PHS Financial Disclosure Form)
Resources
On this page
Related information
- NIH Financial Conflict of Interest (NIH)
Charter Day celebration highlights Berkeley's Nobel tradition
Nobelist Daniel McFadden addresses state electricity crisis in keynote address
By Cathy Cockrell, Public Affairs
27 March 2001 | The campus took stock of its 133 years - and its 17 Berkeley Nobel prize winners - in a March 23 celebration marking the University of California's founding in 1868.
The campus's Nobel tradition was showcased in a slideshow on Berkeley's Nobel winners, beginning with physicist Ernest Lawrence in 1939.
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Highlighting the Charter Day ceremony in Zellerbach Auditorium was a keynote speech by the latest winner of the 2000 Nobel prize in economics. Economics Professor Daniel McFadden discussed his personal background, affirmative action, the state's electricity crisis and why he decided to donate his Nobel winnings to charity. The McFaddens contributed the funds to the East Bay Community Foundation, to help support local nonprofit education and arts programs.
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'I grew up on a farm deep in rural North Carolina, with lots of books and no electricity, much like life in California today,' said McFadden, Berkeley's 17th Nobelist. 'My parents taught me to lead a modest life, and instructed me that success created an obligation to share with those less lucky. That is why Beverlee and I gave the Nobel prize money to a charitable foundation rather than spend it on ourselves.'
An applied economist whose mathematical models have been used to predict consumer choices, McFadden addressed the state's electricity crisis: 'There are no painless ways to deal with the electricity crisis, but Sacramento's policy of disguising the real cost of electricity by freezing retail prices, and covering the difference through government subsidies, is dangerously misguided...'
This policy, he said, 'is worse than just inefficient; it puts the whole California economy at risk..'
Earlier in the ceremony, Chancellor Berdahl presented two public services awards to distinguished campus alumni.
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'One ultimate measure of the university's success is the quality of its graduates and how they use their Berkeley education to better the world around them,' Berdahl said in a preamble to the awards presentation.
This year's Elise and Walter A. Haas International Award went to Zivorad Kovacevic, who graduated in 1960, for his longstanding defense of democracy and the environment in his native Yugoslavia. Amy Lemley, Class of 1998, received the Peter E. Haas Public Service Award, for her advocacy on behalf of foster youth.
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Additional Charter Day stories and resources:
Two alums honored at Charter Day ceremony:
http://www.berkeley.edu/news/berkeleyan/2001/03/27_chartawards.html
Excerpts of Daniel McFadden's speech:
http://www.berkeley.edu/news/berkeleyan/2001/03/27_chartexcerpts.html
Daniel McFadden's complete speech, with slides (requires Adobe Acrobat Reader): http://emlab.berkeley.edu/users/mcfadden/charterday01/charterday_final.pdf
Charter Day Web site:
http://www.urel.berkeley.edu/charterday/