Form 700U Clarification

The Office of Research is actively reviewing its policies and procedures to identify ways to streamline and facilitate the research process.  As part of our efforts, we are providing additional clarification regarding when the Form 700U is required, which should help prevent faculty and staff from collecting and submitting the Form 700U unnecessarily.

For research contracts and grants sponsored by non-governmental entities that are not exempted by State Law (see 700U Exemptions), Principal Investigators and Co-Principal Investigators (if any) are required to submit the Form 700U at the time of the initial proposal and with any renewal.  Renewal is defined by the State as “additional funding that is intended to extend, or results in the extension of, a project beyond the originally approved project period.”  This means that for existing awards, a Form 700U should only be collected if an award action provides additional funding AND extends the project’s period of performance.  Examples of award actions related to existing awards that do not require a Form 700Us include, but are not limited to, no cost time extensions, amendments approving rebudgeting, and supplements that only add funding.  

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Nadia Wong

Conflict of Interest Administrator

Export Control