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Office of the Vice President for Research
University and Sponsor Disclosure Requirements
HomeConflict-of-Interest-and-CommitmentDefinitions

Definitions 

Certification: Confirmation by an Investigator to the DIO that the reporting of his /her Disclosures, or absence of any Disclosures, are up to date.

Conflict of Interest (COI):  When a Researcher is, or may be, in a position to influence activities or decisions in the conduct of externally and applicable internally supported activities in ways that could lead to personal financial gain for the Researcher (and/or the Researcher’s Immediate Family Member), or give an improper advantage to third parties in their dealings with the University. Conflicts of interest may also arise when Researchers (and/or the Researcher’s Immediate Family Member) have outside obligations of any kind that are in substantial conflict with the Researcher's University responsibilities or the public interest.

Conflict of Obligation (CO):  A Significant Obligation (SO) that is related to, and that could (or could be perceived to) directly and significantly affect, the design, conduct, or reporting of externally and applicable internally supported activities. The DIO makes the determination that an SO constitutes a CO.

Note: Where a CO exists, the University will not permit cost sharing. The applicable Dean may grant waivers to this policy on a case-by-case basis.

Disclosure:  Report of any outside financial interest or obligation, through myResearch.

Equity Interest:  Any stock, stock option, or other ownership interest, as determined through reference to public prices or other
reasonable measures of fair market value.

External Paid Employment: Paid positions (for example: visiting, affiliated, part-time faculty or scientific staff) at a for-profit or not-for-profit entity whether domestic or foreign.

External Resources/Support:  Resources/support, paid on an Researcher’s behalf or provided to an Researcher at no cost, for any
laboratory/office space, staff or equipment/materials that is not administered by or provided by the Research Foundation, Stony Brook Foundation or State University of New York. This includes space, staff and equipment/materials at or from non-Stony Brook locations.

Financial Conflict of Interest (FCOI):  A Significant Financial Interest (SFI) that is related to, and that could (or could be perceived to) directly and significantly affect, the design, conduct, or reporting of externally and applicable- internally supported activities. 
The DIO makes the determination that an SFI constitutes a FCOI.

Note: Where a FCOI exists, the University will not permit cost sharing. The applicable Dean may grant waivers to this policy on a case-by-case basis.

Financial Interest (FI):  1. Any remuneration to the Researcher (and/or those of the Researcher’s Immediate Family Member) from
outside the University, and/or 2. Any equity holdings or ownerships of the Researcher (and/or those of the Researcher’s Immediate Family Member), and/or 3. Intellectual property rights and interests (e.g., new technology disclosures, patents, copyrights) where a
company has entered into an option to license, or license, such rights and interests from the University. 4. Intellectual property rights and interests upon receipt of income related to such rights and interests.

Note: At this University, all royalties, including those received by the Researcher from this University, are to be disclosed.

Financial Interest (FI) Exclusions: Income from investment vehicles, such as mutual funds and retirement accounts, as long as the Researcher does not directly control the investment decisions made in these vehicles; Income from seminars, lectures or teaching engagements sponsored by a (United States) federal, state or local government agency, or Income from service on advisory committees or review panels for a (United States) federal, state or local government agency.

myResearch: Conflict of Interest Module: The University’s electronic system for submitting disclosures and certifications.

Immediate Family Member: For P209, the term “Immediate Family Member” includes the Researcher’s spouse, domestic or civil union
partner and dependent children.

Institutional Responsibilities: An individual's professional responsibilities on behalf of the University, including, but not limited to, activities such as research, research consultation, teaching, professional practice, and membership/service on University committees and panels (e.g.: Institutional Review Boards, Data and Safety Monitoring Board, accreditation committees, etc.).

Management Plan:  A written plan for proactively managing any potential conflicts. The Management Plan typically includes:

  • The role and principal duties of the conflicted Researcher in the research project;
  • Conditions of the Management Plan;
  • How the Management Plan is designed to safeguard objectivity in the research project;
  • Confirmation of the Researcher's agreement to the Management Plan;
  • How the Management Plan will be monitored to ensure Researcher compliance; and
  • Other information as needed.

Obligation: An unpaid position/obligation (for example: officer, trustee, director, advisor, scientific advisor, board member, visiting/affiliated faculty or consultant) for a for-profit or not-for-profit entity whether domestic or foreign.

Publications:  Any public dissemination of research results, including but not limited to: journal articles, poster presentations, or speeches.

Related to a Researcher's Institutional Responsibilities: An activity (or interest/obligation) that relies upon the same expertise that an Researcher uses to carry out his/her Institutional Responsibilities or when it has the potential to influence the duties that University considers part of the work it pays or otherwise engages the Researcher to perform.

Related to a Researcher's Research Project: Any of the following entities: a supplier of a product or services to the project, a business related to the product or research, a research project sponsor, or any other party that has financial interests tied to the project. 

Remuneration: Salary and any payment for services not otherwise identified as salary (e.g., consulting fees, honoraria, paid authorship).

Researchers:  Investigators – University faculty, staff or students who are responsible for the design, conduct, or reporting of research activities (the following are not included: Individuals who do not make independent decisions regarding the design, conduct, or reporting of the activity in question, and only work on or are engaged in the activity (for example, in most cases research assistants, undergraduates and secretaries will not be considered responsible for the design, conduct, or reporting of activities of a research project)); Any University faculty who are identified in a budget or who are acting as a consultant or collaborator in any and all research activities; University faculty, staff or graduate students who are named as study personnel on any externally funded research studies involving human subjects; & All members of the Institutional Review Board (IRB), Institutional Animal Care and Use Committee (IACUC), Institutional Biosafety Committee (IBC), Radioactive Drug Research Committee (RDRC), and Stem Cell Committee.

Reviewer: Individual members of the COI Committee.

Senior/Key Personnel (PHS/NIH Only):  The PD/PI and any other person identified as senior/key personnel in the grant application or contract, progress report, or any other report submitted to PHS/NIH (including those required by this policy) are Investigators. The PHS/NIH Public Disclosure Requirement pertains specifically to this group of individuals.

Significant Financial Interest (SFI): One or more of the following types of Financial Interests of the Researcher (and/or those of the Researcher's Immediate Family Member) that reasonably appears to be related to the Researcher's Institutional Responsibilities is considered an SFI:

Publicly Traded Entity: Value of any remuneration received from the entity in the twelve months preceding the disclosure and/or the value of any equity interest in the entity as of the date of disclosure, when aggregated, exceeds $5,000.

Non-Publically Traded Entity:  Value of any remuneration received from the entity in the twelve months preceding the disclosure, when aggregated, exceeds $5,000, and/or the Researcher (and/or the Researcher's Immediate Family Member) holds any equity interest.

Intellectual Property: rights and interests (e.g., patents, copyrights), royalties from such rights, and agreements to share in royalties related to such rights (upon receipt of income related to such rights and interests). At the University, all royalties are to be disclosed, including those received by the Researcher from this University.

Travel: Researchers also must disclose the occurrence (over the preceding 12 months) of “sponsored travel”. “Sponsored travel” is defined as travel expenses which are either: (1) reimbursed directly to you and/or (2) paid on behalf of you (not reimbursed directly to you) for business purposes. Sponsored travel does not include travel funds or reimbursements that are administered by the Research Foundation, Stony Brook Foundation or Stony Brook University. The disclosure must include the sponsor, destination, duration, and purpose of the travel. Excluded from this requirement are travels that are reimbursed or sponsored by a United States federal, state or local government agency.

Significant Obligation (SO): Significant Obligations (SO) includes Obligations that would reasonably appear to be related to an Researcher’s Institutional Responsibilities.