Cal. Code Regs. tit. 2 § 18755

Current through Register 2024 Notice Reg. No. 49, December 6, 2024

Section 18755 - Statements of Economic Interests: Person or Persons at an Institution of Higher Education with Principal Responsibility for a Research Project

(a) Disclosure shall be required under Government Code section 87302 or any conflict of interest code in connection with a decision made by a person or persons at an institution of higher education with principal responsibility for a research project to undertake such research, if it is to be funded or supported, in whole or in part by:

(1) A contract or grant from a nongovernmental entity sponsor, or

(2) Other funds from a nongovernmental entity earmarked by the donor for a specific research project or for a specific researcher.

(b)Types of Statements of Economic Interests.

(1)Initial Statement: The initial statement must be submitted to the university filing officer for the statements of economic interests before final acceptance of a contract, grant, or gift. The statement shall include reportable investments in and positions with the sponsor as of the date of the offer of funding, and income and gifts received from the sponsor within the 12 months prior to the date of the offer.

(2)Interim Statements: A statement must be filed within 30 days after funding is renewed and shall disclose reportable investments, income and business positions held or received during the period between the date the initial statement was filed and the date the funding for the project was renewed.

(c)Content: The disclosure statement shall contain the name and address of the sponsor, a general description of the sponsor's business activity, if any, and the amount of funding.

(1)Business Positions with Sponsor. When the principal investigator is a director, officer, partner, trustee, employee, or holds any position of management with the sponsor, the disclosure statement shall contain the title of any position held in the entity by the principal investigator.

(2)Investments and Equity Interest in the Sponsor. When the principal investigator holds an investment or equity (ownership) interest in the sponsor, the disclosure statement shall contain a statement of the fair market value of the investment or interest and whether the value of the investment or interest is $2,000 but does not exceed $10,000, exceeds $10,000 but does not exceed $100,000, exceeds $100,000 but does not exceed $1,000,000; or greater than $1,000,000.

(3)Income from the Sponsor. When the principal investigator has received reportable income from the sponsor, the disclosure statement shall contain:

(A) A statement whether the aggregate value of income from the sponsor, or in the case of a loan, the highest amount owed to the sponsor, was $500 but does not exceed 1,000, exceeds $1,000 but does not exceed $10,000, exceeds $10,000 but does not exceed $100,000, or greater than $100,000.

(B) In the case of a loan, the annual interest rate and whether the loan was secured or unsecured.

(4)Gifts from the Sponsor. In the case of a gift of $50 or more from the sponsor, the disclosure statement shall contain:

(A) A description of the gift;

(B) The amount or value of the gift; and

(C) The date the gift was received.

(5)Payments for Travel from the Sponsor. In the case where a payment for travel was received from the sponsor, the disclosure statement shall contain:

(A) A description of the nature of the payment and whether it is a gift or income;

(B) The amount of the payment; and

(C) The dates the travel occurred.

(d)

(1) Disclosure shall not be required under Government Code section 87302 (or under a conflict of interest code) in connection with a decision made by a principal investigator to undertake such research, if the nongovernmental entity funding or supporting the research is one of the following:

Alzheimer's Disease & Related Disorders Association

American Academy of Dermatology

American Academy of Pediatrics

American Association for the Advancement of Science

American Association for State & Local History

American Association of Colleges of Pharmacy

American Association of Obstetricians & Gynecologists

American Association of Retired Persons

American Cancer Society

American Chemical Society

American College of Obstetricians & Gynecologists

American College of Radiology

American Committee for the Weizmann Institute of Science

American Council of Learned Societies

American Diabetes Association

American Foundation for Pharmaceutical Education

American Fund for Dental Education, Inc.

American Gastroenterologic Association

American Health Assistance Foundation

American Heart Association

American Kidney Fund

American Library Association

American Liver Foundation

American Lung Association

American Lupus Society, The

American Nurses Foundation

American Parkinson Disease Association

American Philological Association

American Philosophical Society

American Red Cross

Amyotrophic Lateral Sclerosis Society of America

Arthritis Foundation

Asthma & Allergy Foundation of America

Bush Foundation, The

California Association for Neurologically Handicapped Children

California Division of the American Cancer Society

California Heart Association

California Lung Association

Cargill Foundation

Carnegie Corporation of New York

Carnegie Foundation for the Advancement of Teaching

Cerebral Palsy Foundation

Chicago Community Trust, The

Childs Memorial Fund, The Jane Coffin

Christian Children's Fund

Clark Foundation, The Edna McConnell

Columbia Foundation

Commonwealth Fund, The

Cooley's Anemia Foundation

Council on Library Resources

Culpeper Foundation, Inc., Charles E.

Cystic Fibrosis Foundation

Deafness Research Foundation, The

Donner Foundation, William H.

Dover Fund, Inc.

Dreyfus Foundation, Inc., The Camille & Henry

Dreyfus Foundation, The Max & Victoria

Dysautonomia Foundation

Earhart Foundation

Easter Seal Research Foundation

Epilepsy Foundation of America

Eye Research Institute of Retina Foundation

Fight for Sight

Ford Foundation, The

Foundation for Child Development

Fuller Fund, The Anna

German Marshall Fund of the U.S.

Giannini Foundation

Grant Foundation, The William T.

Guggenheim Foundation, H.F.

Guggenheim Memorial Foundation, John Simon

Haas Fund, The Walter & Elise

Hartford Foundation, John A.

Haynes Foundation, The John Randolf & Dora

Hearst Foundation, William R.

Hewlett Foundation, The William & Flora

Institute for Educational Affairs

International Research & Exchanges Board

Japan Foundation

Johnson Foundation, The Robert Wood

Juvenile Diabetes Foundation

Kade Foundation, Inc., The Max

Kaiser Family Foundation, The Henry J.

Keck Foundation, William M.

Kellogg Foundation, W.K.

Klingenstein Fund, The Esther & Joseph

Knights Templar Eye Foundation

Kresge Foundation, The

Kunstadter Family Foundation, The Albert

Leakey Foundation, The L.S.B.

Leukemia Society

Levi Strauss Foundation

Lilly Endowment, Inc.

Luce Foundation, Inc., The Henry

Lupus Foundation of America

MacArthur Foundation, John D. & Catherine T.

McKnight Foundation, The

March of Dimes

Markle Foundation, The John & Mary R.

Mellon Foundation, The Andrew W.

Mott Foundation, Charles Stewart

Muscular Dystrophy Association

Myasthenia Gravis Foundation

National Academy of Sciences

National Collegiate Athletic Association

National Council of Teachers of English

National Foundation for Ileitis & Colitis

National Foundation for Infectious Diseases

National Fund for Medical Education

National Geographic Society

National Head Injury Foundation

National Hemophilia Foundation

National Kidney Foundation

National Leukemia Association

National Migraine Foundation

National Multiple Sclerosis Society

National Research Council

National Retinitis Pigmentosa Foundation

National Society to Prevent Blindness

National Sudden Infant Death Syndrome Foundation

National Tuberous Sclerosis Association

Northern California Society to Prevent Blindness

Noves Foundation, Inc., Jessie Smith

Organization for Tropical Studies

Packard Foundation, The David & Lucille

Paralyzed Veterans of America

Pardee Foundation, Elsa U.

Peierls Foundation, Inc., The

Picker Foundation, James

Population Council

Presiding Bishop's Fund for World Relief

Project HOPE

Research Corporation

Research to Prevent Blindness

Resources for the Future, Inc.

Retirement Research Foundation

Richardson Foundation, Smith

Rippel Foundation, Fannie E.

Rockefeller Brothers Fund

Rockefeller Foundation

Rosenberg Foundation

Rubin Foundation, Inc., Samuel

Runyon-Walter Winchell Cancer Fund, Damon

Sage Foundation. Russell

San Francisco Foundation

Scaife Foundation, Inc., Sara

Schiff Foundation

Scottish Rite Schizophrenia Research Program

Sherman Foundation, Nate H.

Skaggs Foundation, L.J. & Mary C.

Skin Cancer Foundation

Sloan Foundation, Alfred P.

Social Science Research Council

Spencer Foundation, The

Teagle Foundation

Tinker Foundation, Inc., The

Treadwell Foundation, Nora Eccles

United Cerebral Palsy

United Scleroderma Research Foundation

U.S. Olympic Committee

Webb Foundation, Del E.

Weingart Foundation

Wenner-Gren Foundation for Anthropological Research, Inc.

Whitehall Foundation

Whitney Foundation, the Helen Hay

Wood Charitable Trust, W.P.

Woods Hole Oceanographic Institution

Zellerbach Family Fund

(2) An entity shall be considered a qualified nonprofit entity under this section based on the following factors:

(A) The nonprofit organization has been in existence for an extended period of time;

(B) The nonprofit organization does not receive major funding, nor is it tied to, a corporate source;

(C) The nonprofit organization has a national reputation; and

(D) The nonprofit organization serves, or funds research in, a broad geographic area.

Cal. Code Regs. Tit. 2, § 18755

1. New section filed 6-14-2005; operative 7-14-2005 (Register 2005, No. 24).

Note: Authority cited: Section 83112, Government Code. Reference: Sections 87300, 87303 and 87306, Government Code.

1. New section filed 6-14-2005; operative 7-14-2005 (Register 2005, No. 24).