/Office for Research and Innovation
Research Security

Conflict of Interest

A Conflict of Interest (COI) may arise when an individual's financial or personal interests could affect—or appear to affect—their professional judgment, research decisions, or University responsibilities.

External relationships with industry, government, nonprofit organizations, and other entities are an important part of research, innovation, and the translation of discoveries for public benefit. Having an external financial or professional relationship does not necessarily mean that a Conflict of Interest exists.

Disclosure and institutional review allow potential conflicts to be identified and, when necessary, appropriately managed while supporting research, collaboration, entrepreneurship, and innovation.

Conflict of Interest is one component of Stony Brook University's Research Conflict of Interest and Conflict of Commitment (COI/COC) Program, administered by the Office of Research Security (ORS).

For information about disclosure requirements, COI training, University review, and conflict management, visit the Research COI/COC Program page.

Research COI/COC Program page 

 What Is a Conflict of Interest?

A Conflict of Interest may exist when an individual's financial or personal interests could directly and significantly affect—or reasonably appear to affect—their professional judgment, research decisions, or University responsibilities.

A potential conflict may arise when an individual has an external financial or professional relationship with an entity that:

  • sponsors or supports their research;
  • provides products, services, equipment, or technology used in their research;
  • licenses or commercializes technology related to their University work;
  • may benefit financially from the results of their research; or
  • otherwise has interests related to their University responsibilities.

A Conflict of Interest does not imply wrongdoing or misconduct. Many external interests can be appropriately addressed through disclosure, transparency, and, when necessary, conflict management.

Common Activities That May Present a Conflict of Interest

The following activities do not necessarily constitute a Conflict of Interest. Depending on the circumstances and their relationship to an individual's research or University responsibilities, however, they may require disclosure and institutional review.

Startup Companies

Potential COI considerations may arise when a researcher:

  • establishes or joins a startup company;
  • serves as a founder or co-founder;
  • holds equity or another ownership interest;
  • serves in an executive or scientific leadership position; or
  • conducts University research related to the company's technology, products, or interests.

Consulting and Professional Services

External professional activities may present COI considerations when they involve:

  • consulting;
  • advisory board service;
  • scientific or medical advisory board participation;
  • expert witness activities;
  • honoraria or professional speaking engagements; or
  • services for an entity whose interests relate to the individual's University research.

Equity and Ownership Interests

Financial interests that may require consideration include:

  • stock ownership;
  • stock options;
  • ownership interests in privately held companies; and
  • equity received through technology licensing or commercialization activities.

Intellectual Property and Royalties

Potential conflicts may arise from financial interests associated with:

  • royalties;
  • licensing income;
  • patent or other intellectual property rights; and
  • technology related to an individual's University research.

Leadership and Fudiciary Roles

External roles that may present COI considerations include service as:

  • an officer;
  • a member of a Board of Directors;
  • a trustee;
  • an executive; or
  • another position involving fiduciary or decision-making responsibilities for an external organization.

Sponsored or Reimbursed Travel

Sponsored or reimbursed travel may be subject to disclosure requirements depending on the source of the travel, applicable University requirements, and federal sponsor requirements.

Conflict of Interest and Research

A financial or other external interest may warrant particular consideration when it is related to an individual's research.

Examples may include situations in which a researcher:

  • owns equity in a company sponsoring their research;
  • conducts research involving technology licensed to a company in which they have a financial interest;
  • receives consulting income from an entity whose product is being evaluated in their research;
  • receives royalties associated with technology being studied or further developed through University research;
  • conducts human subjects research involving a company with which they have a financial relationship; or
  • participates in University decisions affecting an entity in which they have a financial interest.

Whether a Conflict of Interest exists depends on the specific facts and circumstances. Disclosure of an interest does not itself mean that a conflict exists.

Conflict of Interest vs. Conflict of Commitment

Although related, these concepts address different issues.

Conflict of Interest Conflict of Commitment
Financial or personal interests that could affect—or appear to affect—professional judgment or the objectivity of research or other institutional responsibilities. External commitments that may interfere with a Researcher's ability to fulfill their University responsibilities.
Financial relationships with outside entities Outside professional activities, appointments, or affiliations
Equity, royalties, consulting income, honoraria Time, effort, and competing professional commitments
Potential for bias in research or institutional decision-making Ability to fulfill University responsibilities

An external activity or relationship may involve both a Conflict of Interest and a Conflict of Commitment.

Learn more about Conflict of Commitment

How Are Conflicts Managed?

Identification of a Conflict of Interest does not necessarily mean that an activity or research project cannot continue.

When a Conflict of Interest is identified, the University may establish appropriate measures to protect research integrity, objectivity, research participants, students and trainees, and public trust while allowing appropriate activities to proceed.

Management measures depend on the circumstances and may include disclosure, independent oversight, modification of research roles or responsibilities, recusal from particular decisions, or other appropriate safeguards.

Learn more about the Research COI/COC Program and Conflict Management

Publication Disclosure Statements for Conflict of Interest 

When Should I Contact ORS?

Consider contacting ORS if you are unsure whether an external financial or professional relationship could present a Conflict of Interest, particularly when:

  • an external entity sponsors or otherwise supports your research;
  • you have a financial interest in an entity related to your research;
  • you are establishing or participating in a startup related to University research;
  • you are consulting for an entity whose interests overlap with your research;
  • you are licensing or commercializing University-developed technology;
  • you are conducting research involving a product or technology associated with an entity in which you have a financial interest; or
  • an external relationship could reasonably affect—or appear to affect—your research or University responsibilities.

For disclosure requirements, COI training, review procedures, and conflict management requirements, visit the Research COI/COC Program page.

Frequently Asked Questions

Visit the Frequently Asked Questions page for answers to common questions about:

  • consulting activities;
  • startup companies;
  • equity interests;
  • disclosure requirements;
  • sponsor requirements;
  • Conflict Management Plans; and
  • annual disclosure responsibilities.

Related Policies and Resources

University Policies and Guidance

Federal Sponsor Guidance

Department of Health and Human Services Federal Register notice of the revised Rules and Regulations effective August 25, 2011  

U.S. Department of Health and Human Services, Public Health Service regulations

Several non-PHS federal agencies have adopted or incorporated these regulations into their own financial conflict of interest requirements.

Other Federal Agencies