Lawrence Livermore National Laboratory



Who is an Investigator?

The definition of an “Investigator” includes the Principle Investigator (PI) and any other person (regardless of title or position) that the PI identifies as independently responsible for the design, conduct, or reporting of the research. Therefore, all personnel (ex. PI, postdocs, technicians, graduate students, consultants, etc.) named on proposal budgets will be required to disclose SFIs.

ALL LLNL Personnel (participating in Public Health Service [PHS]-funded proposals)

  • Read the LLNL PHS policy/training.
  • Complete NIH FCOI training, print certificate, and maintain copy for your records (to be completed every 4 yrs).
  • Complete LL6494 disclosure form as relevant for the particular proposal opportunity; maintain an electronic copy for their records.

LLNL Principle Investigators (PI)

  • Chooses team of LLNL investigators and non-LLNL subawardees/collaborators.
  • Informs LLNL colleagues to read LLNL PHS policy/training.
  • Informs LLNL colleagues to complete NIH FCOI training, print certificate, and maintain copy for their records.
  • Informs LLNL colleagues to complete LL6494 disclosure form as relevant for the particular proposal opportunity; maintain an electronic copy for their records.
  • Requires each non-LLNL personnel to verify institution’s PHS compliance or verify that they will abide by LLNL’s PHS FOCI policy and training.
  • Creates FOCI package to send to the LLNL Ethics Office:
    • Cover letter containing:
      • The opportunity number, title, and hyperlink.
      • Notification that LLNL will be serving as the Lead on submitting the proposal.
      • List of LLNL investigators and/or subaward personnel.
      • Scope of work or listed aims for the proposal.
      • Proposal due date
    • Copies of training certificate(s).
    • Copies of LL6494 disclosure form(s) relevant to the particular proposal opportunity.
    • Documentation from the subaward's designated official (e.g., Ethics and Compliance Office or Office of General Counsel) confirming the that they have their own institution's PHS FCOI policy or that they will abide by LLNL’s policy.
  • Sends FCOI package to the LLNL Ethics Office – MUST BE DONE at least two weeks prior to proposal deadline:

LLNL PI (serving as the subaward on a proposal)

  • LLNL Lead PI chooses team of LLNL investigators.
  • Informs LLNL colleagues to read LLNL PHS policy/training.
  • Informs LLNL colleagues to complete NIH FCOI training, print certificate, and maintain copy for their records.
  • Informs LLNL colleagues to complete LL6494 disclosure form as relevant for the particular proposal opportunity; maintain an electronic copy for their records.
  • Creates FOCI package to send to the LLNL Ethics Office:
    • Cover letter containing:
      • The opportunity number, title, and hyperlink.
      • Notification that LLNL will be serving as a “subaward”; list the organization that will be serving as the Lead.
      • List of LLNL investigators.
      • Scope of work or listed aims for the proposal.
      • Proposal due date
    • Copies of training certificate(s).
    • Copies of LL6494 disclosure form(s) relevant to the particular proposal opportunity.
      • Sends FCOI package to the LLNL Ethics Office – MUST BE DONE at least two weeks prior to proposal deadline:
      • Email information to Ethics Office (ethics-office@llnl.gov).