Conflict of Interest and/or Commitment
Stony Brook University remains committed to the principles of academic freedom, free
inquiry, and the open exchange of knowledge, which serve as the bedrock of scholarship
and research. The University supports and encourages individuals to pursue and engage
in external activities that promote the University's mission, contribute to professional
fields, and enhance professional skills. In return, individuals are expected to fulfill
their University obligations first and foremost, commensurate with their appointment
Disclosure of External Interests and Commitments Policy - P209
revised April 2022
Individuals have an obligation to avoid conflicts of interest and commitment when
carrying out their external and University education, research, scholarship, or service
responsibilities. All external relationships - both domestic and international - should
be transparent and must be disclosed in a manner that is consistent with applicable
requirements, including federal and state laws/regulations/agency guidance, as well
as Stony Brook's own policies and procedures. Such disclosures must include activities
that occur over summer/winter break months.
Who Must Disclose
The following individuals are required to disclose external interests and commitments:
- Salaried faculty
- Researchers (salaried and non-salaried)
- Executive/senior leadership
- Other personnel who advise on, negotiate or approve, on behalf of the University,
transactions, arrangements or agreements with external parties involving the use of
What to Disclose
All financial, personal and professional interests, activities and relationships that
you or an immediate family member have with any non-University entities that create,
or could be perceived to create, a conflict of interest or commitment that:
- Might be reasonably perceived to be related to your institutional responsibilities;
- May otherwise present a conflict of interest or conflict of commitment, or the perception
of such a conflict, with your duties to the University.
The following is a non-exhaustive list of the types of external interests and commitments
of individuals and their immediate family members, whether located in the U.S. or
outside of the U.S., that must be disclosed:
- External paid and unpaid positions/obligations at institutions other than Stony Brook,
including: current relationships, relationships that occurred during the previous
12 months, and any anticipated future relationships, whether located in the U.S. or
outside of the U.S.
- External resources/support provided by entities other than Stony Brook or Research
Foundation for SUNY (e.g.: payments or remunerations, provision of or support for
laboratory or other facilities, gifts, equity holdings or ownership, and sponsored
- Relationship with an external organization (e.g.: research, consulting, sponsored
travel, equity in external company, etc.).
- Intellectual property rights and interests.
How to Disclose
Annual Disclosure Certification
All those who must disclose (as defined above) are required to complete an initial
Disclosure Profile and then annually submit their Annual Disclosure Certification
New or anticipated external interests and/or commitments must be reported in myResearch using an Updated Disclosure within 30 days of acquiring knowledge of such external
interests and/or commitments .
This Annual Disclosure Certification is separate from the annual NYS Financial Disclosure
Statement that is submitted to the NYS Joint Commission on Public Ethics (JCOPE) by
filers. Some individuals may be required to submit under both disclosure processes.
When to Disclose
The annual filing period is May 1 to May 31* and modifications must be made as necessary
*The 2022 filing period has been adjusted to May 9 to June 8 due to a system upgrade.
Special Instructions for those not listed under "Who Must Disclose"
RF employees not required to complete an Annual Disclosure Certification should report
any potential or real conflict of interests or commitments to Susan Gasparo, Conflicts
of Interest Administrator at email@example.com or firstname.lastname@example.org.
NYS employees not required to complete an Annual Disclosure Certification or a JCOPE
filing who have questions as to whether or not they have a situation which would be
deemed a conflict of interest should have a conversation first with their supervisor,
and if further guidance is needed, Human Resources Services (HRS) may be contacted