Applicability

This Policy applies to:

A. Stony Brook University (University) faculty, staff or students who are responsible for the design, conduct, or reporting of activities* and any University faculty who are identified in a budget or who are acting as a consultant or collaborator in any and all:

• Externally supported activities for University programs, projects, activities and services, solicited and unsolicited, including gifts and donations specifically made to support the activities of identified individuals;

• Internally supported activities, where support is granted following formal application to a University program in response to a request for proposals (e.g., Targeted Research Opportunity 'TRO' Grants); and • Internally supported research activities for the benefit of an external entity (e.g. non-funded research projects where deliverables such as reports/data are provided to an external entity)

*Exceptions: Not included: Individuals who do not make independent decisions regarding the design, conduct, or reporting of the activity in question, and only work on or are engaged in the activity (for example, in most cases research assistants, undergraduates and secretaries will not be considered responsible for the design, conduct, or reporting of activities of a research project). However, for PHS funded activities: collaborators or consultants are considered responsible for the design, conduct, or reporting of activities of a research project.

B. University faculty, staff or students who are named as study personnel on any externally funded research studies involving human subjects.

C. University faculty, staff or students who hold a financial interest or obligation in a company that is negotiating an agreement with the Office of Technology Licensing and Industry Relations (OTLIR) for technology developed by the respective faculty, staff or student.

Note: If any provision in this document is in conflict with the governing legal and policy requirements for review and management of conflicts, the governing legal and policy requirements shall prevail Note: Phase I Small Business Innovative Research (SBIR) and Small Business Technology Transfer (STTR) applications are exempt from the additional specific requirements referenced in this policy pertaining to PHS/NIH activities. University Investigators on such applications are NOT exempt however, from any other requirements (e.g., disclosure, need to comply with Management Plans, etc.) set forth in this Policy.

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