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Disclosure of Financial Interests

Disclosure in Publications, Presentations, and Transactions

Individuals must disclose ownership and consulting relationships, if any, with a faculty affiliated company/external entity in all publications, presentations, and transactions related to the  company’s technology.  Likewise, the faculty affiliated company would disclose its relationship with the faculty member, and the individual’s role with the company, in all publications, presentations, and transactions related to the individual’s work in the development and marketing of its technology.

When an individual files an application for any grant or contract, whether through the University or through a faculty affiliated company/external entity, the individual must disclose their financial interest with the company as required by the granting or contracting entity.

For Investigators who own equity in a faculty affiliated company or start-up company, the ownership must also be disclosed through the University’s financial interest filing process described below.

Financial Conflict of Interest in Research and/or Clinical Care  – Disclosure and Management

Individuals at the University involved in research or clinical care must make full and timely disclosures to the applicable Financial Conflict of Interest Committee of all financial interests meeting the disclosure threshold for Significant Financial Interests (SFIs) within the InfoEd External Interests system.

This includes disclosure of any and all equity or other ownership interests in non publicly-traded entities, such as faculty affiliated companies or other non-public external entities, even if the company has no current value or the value is unknown.

For investigators:  These disclosures are reviewed and, where required, managed, reduced, or eliminated to address potential conflicts in the design, conduct, or reporting of research according to the University’s Financial Conflict of Interest in Research policy.  In some instances, there may be specific sponsor policies or requirements that are more restrictive than State ethics laws and UConn policy, and such applicable portions of sponsor policies or requirements will take precedence, while other aspects of State or University policy will remain in force.  Investigators should review the terms of all awards and must comply with all terms and conditions to be certain there are no additional restrictions pertaining to a company relationship.

Obligation to Update and Provide Information

If there is a change in an individual’s status or responsibilities related to a faculty affiliated company/external entity, the financial disclosure may be required to be updated and other University areas may also need to be notified (e.g., Faculty Consulting Office).  According to University policy, the research financial disclosure is required to be updated within thirty (30) days of the acquisition or discovery of any new significant financial interests.