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Financial Conflict of Interest


What is a Financial Conflict of Interest?

Financial conflicts of interest in research may occur when outside significant financial interests (SFI) compromise, or have the appearance of compromising, the professional judgment of an investigator when designing, conducting, or reporting research.

UConn's Financial Conflicts of Interest in Research policy provides guidelines to promote objectivity in research while establishing standards to ensure that the design, conduct, and reporting of research funded by extramural sponsors will not be biased by any conflicting financial interest of an Investigator.


How has the policy changed?

UConn's revised FCOI policy was effective on August 24, 2012 and corresponds with the 2011 Public Health Service revised financial conflict of interest (FCOI) regulations (42 CFR 50). These regulations apply to any institution receiving funds from a PHS entity.


What are my responsibilities?

All UConn Investigators:

  • Submit a Significant Financial Interest Review Form when submitting a new proposal, when there are changes in an SFI, and when they are a new investigator on an ongoing project. When there are human subjects, the investigator must disclose SFIs to the Institutional Review Board with every submission of protocols.
  • Complete a Supplemental Financial Interest Disclosure Form when an SFI exists.
  • Understand UConn's policy on financial conflicts of interest and know the definition of SFI and how it applies to them.

PHS-funded Investigators:

  • Complete required online conflict of interest training prior to engaging in PHS-funded research and at least every four years thereafter, as well as other University-specified circumstances.
  • Submit a Significant Financial Interest Review Form when submitting a new proposal, when there are changes in an SFI, and when they are a new investigator on an ongoing project. When there are human subjects, the investigator must disclose SFIs to the Institutional Review Board with every submission of protocols.
  • Complete a Supplemental Financial Interest Disclosure Form when an SFI exists.
  • Understand UConn's policy on financial conflicts of interest and know the definition of SFI and how it applies to them.

Who is an investigator?

Per PHS definition, an "investigator" is the principal investigator (PI) and any other person (regardless of title or position) identified by the PI as someone responsible for the design, conduct or reporting of research or educational activities. This may include faculty and research staff (research associates and assistants, postdoctoral fellows, graduate students, visiting scientists engaged in research conducted at the University) as well as consultants.

Financial Conflict of Interest Procedures & Process Flow Chart



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