Faculty Startup Companies
Overview
Faculty startup companies are an important part of research commercialization and innovation. Faculty may establish or participate in startup companies while continuing to conduct research at Stony Brook University.
Most startup activities do not require review by the Office of Research Security (ORS). However, when a startup company has a relationship with University research, researchers should consider whether additional disclosure, research management, sponsor, research security, export control, or other institutional requirements apply.
ORS assists researchers in identifying applicable disclosure, research management, sponsor, research security, export control, information protection, and other requirements and develops research management plans when required, in coordination with the appropriate University offices.
Contact ORS Before You
Contact ORS if your startup company will:
- Sponsor or participate in University research.
- Collaborate on a University research project.
- Participate in an SBIR/STTR project involving Stony Brook University.
- Receive or provide proprietary, confidential, government-controlled, or export-controlled research information.
- Be subject to sponsor or contractual requirements that affect how University research will be conducted.
Key Considerations
University research activities and startup company activities should remain appropriately distinguished. The use of University personnel, facilities, equipment, research information, intellectual property, or other University resources in connection with a faculty startup may be subject to additional University requirements.
Faculty startups seeking to involve Stony Brook postdoctoral scholars in company activities
should review the University's guidance regarding postdocs and faculty startups.
Guidelines for Navigating Confl ict of Interest and Confl ict of Commitment Issues
for Faculty Start-Up Companies
Faculty participation in a startup company must be disclosed in accordance with applicable University policies. In addition, research sponsors may require disclosure of financial interests, outside activities, leadership positions, or other relationships with the startup company.
Researchers are responsible for ensuring that all required University and sponsor
disclosures are complete, accurate, and updated whenever circumstances change.
Learn More - Disclosure Requirements
When a faculty startup company participates in University research, a research management plan may be required to promote transparency, maintain appropriate separation between University and company activities, and address applicable sponsor and institutional requirements.
Depending on the project, a research management plan may address:
- University and company roles and responsibilities.
- Responsibilities of project personnel.
- Use of University and company resources.
- Management of research information.
- Oversight of the research activity.
- Sponsor or institutional requirements.
- Other project-specific management measures.
ORS develops research management plans in coordination with the researcher and other University offices, as appropriate.
Faculty startup companies may participate in University research through sponsored research agreements, SBIR/STTR projects, collaborative research, subawards, testing agreements, or other sponsored activities.
Depending on the project, sponsor requirements may establish additional obligations related to research security, export controls, disclosure, publication, information protection, or research management.
Researchers should identify these requirements early and contact ORS when the proposed research raises research security, export control, information protection, or related sponsor requirements.
Projects involving startup companies may require researchers to receive, share, or
protect proprietary, confidential, government-controlled, or other restricted research
information.
Agreements between the University, startup company, sponsors, or other project participants
may establish requirements governing access, use, storage, sharing, publication, or
disposition of research information.
Researchers should understand applicable information-sharing and protection requirements before research begins.
Before your startup company participates in University research, ask yourself:
- Have I completed all required University and sponsor disclosures?
- Are the University's and the company's roles clearly defined?
- Will the startup company participate in sponsored research?
- Will proprietary or restricted research information be exchanged?
- Do the sponsor's requirements establish additional research management, research security, or export control obligations?
If you are uncertain, contact ORS before the project begins.
Related Guidance
| Related Guidance | Description |
|---|---|
| Disclosure Requirements | University and sponsor disclosure requirements that may apply to outside interests, activities, and relationships. |
| Sponsor & Project Requirements | Guidance for reviewing and complying with research security, export control, information protection, publication, and other project-specific requirements contained in sponsor solicitations, award terms, and research agreements. |
| DoD SBIR/STTR Research | Guidance for proposing, conducting, and managing Department of Defense SBIR and STTR research and collaborations involving small businesses. |
| Working with Proprietary & Confidential Research Information | Guidance for receiving, accessing, using, storing, sharing, and protecting proprietary or confidential research information received from sponsors, collaborators, companies, universities, and other external organizations. |
| Sharing Research Information | Guidance for sharing research information, data, software, technology, technical information, presentations, publications, or other research outputs with collaborators, sponsors, companies, government agencies, or other third parties. |
Frequently Asked Questions
Do all faculty startup companies require ORS review?
No. Most startup activities do not require ORS review. ORS typically becomes involved when a startup company participates in University research or when research activities create disclosure, research management, research security, export control, or other project-specific requirements.
Can my relationship with a startup company create disclosure requirements?
Yes. Faculty relationships with startup companies may be subject to University and sponsor disclosure requirements. Researchers should review the University's Disclosure Requirements guidance and complete applicable disclosures as required.
Need Assistance?
Contact ORS when a faculty startup company will participate in University research and the proposed activity may involve research security, export control, information protection, sponsor, or related requirements. ORS can help identify applicable requirements and coordinate with the appropriate University offices, as needed.