Instructional Leadership, emphasis: K-12 School Leadership (MEd)
Two people, one male and one female, working together at a table in a library. They appear to be using a laptop computer and discussing documents. Bookshelves filled with books are visible in the background.
  1. IN
  2. NAU Research
  3. Proposal and award management
  4. Proposal development
  5. Compliance considerations
  6. Significant financial interest (SFI) disclosure form

Significant financial interest (SFI) disclosure form

NAU is committed to promoting objectivity, openness, and transparency in research and ensuring institutional compliance with applicable federal regulations and non-federal agency guidelines. Accordingly, the Office of Sponsored Projects (OSP) requires all investigators (“investigator” means any individual who is responsible for the design, conduct, reporting of a sponsored project, or a proposal for such funding) to submit annually and prior to the submission of sponsored projects proposals a Significant Financial Interest (SFI) Disclosure Form Completion and submission of this form fulfills these disclosure and certification requirements. NAU’s goal is to support Investigators in protecting the integrity of their research and ensuring the design, conduct, and reporting of sponsored projects activities will not be biased by an investigator’s significant financial interests (SFIs). Federal and other applicable agency proposals/applications will not be submitted until all required disclosure certifications have been completed by all investigators and submitted to OSP. Compliance with this requirement is a prerequisite for acceptance by NAU of a federal or other applicable agency sponsored grant or contract award.

Disclosure instructions

  1. All investigators must, at a minimum, complete and certify Section I of the disclosure form below. Sections II must also be completed if any answer to the questions in Section I.a regarding significant financial interests is “yes”, then complete and certify Section II.
  2. Submit the completed disclosure certification to the assigned Pre-Award Research Administrator in the OSP.
  3. If there is a material change in an Investigator’s previously disclosed significant financial interests or FTRP participation, a revised disclosure certification must be completed and filed with OSP within thirty (30) days of the change.

All disclosures will be reviewed and handled according to NAU’s Conflicts of Interest in Sponsored Projects Policy. All NAU Investigators seeking external sponsored funding from a federal agency and other applicable agencies are required to complete this form before a proposal can be submitted. Questions concerning sponsored projects or research-related disclosures should be addressed to: Thomas Champagne, Associate Vice President for Research.