General Procedures for Implementation of the SUNY Conflict of Interest Policy

The following procedures will be used to ensure compliance with the State University of New York policy on Conflict of Interest.

The SUNY I and SUNY II reporting forms for Faculty Financial Disclosure under Section 73-a of the Public Offices Law will continue to be used by faculty and academic staff of the University. Other University employees will continue to file as required the annual financial disclosure statement with the New York State Ethics Commission (Ethics Commission). The SUNY II form has been changed to incorporate new Federal reporting requirements and is to be used by faculty and staff who apply for external funds.

Each campus must identify one or more financial disclosure designee(s) who shall ensure that all reporting requirements are met, that records are maintained, that any sanctions imposed by the campus are recorded, and that appropriate persons at the University, State and Federal levels are notified of the disposition of alleged policy violations. The financial disclosure designee shall have on file a copy of all current rules and law governing conflict of interest on SUNY campuses.

All faculty whose salaries are above the threshold established by the State Ethics Commission ($57,509 in 1994-1995) shall file a disclosure statement (SUNY I) with the financial disclosure designee on an annual schedule that permits the campus to meet the current November 1 reporting deadline.

The SUNY II form shall be initially filed and updated as required by law and regulations by faculty and staff who apply for funds to external sponsors under the following conditions.
1. Faculty who apply to any external sponsor and whose salaries are above the threshold established by the State Ethics Commission ($57,509 in 1994-1995); and
2. Academic and professional employees, regardless of salary level, who submit applications for funds as principal investigators or co-principal investigators (or project directors or co-project directors) to the National Science Foundation or the U.S. Public Health Service.
SUNY II records will be maintained by the financial disclosure designee or a designee of that office. The office maintaining the records shall verify compliance to the campus sponsored research office at the time of application.

Each financial disclosure designee shall review financial disclosure statements, determine whether an actual or potential conflict of interest exists, and determine what conditions or restrictions, if any, should be imposed to manage,, reduce or eliminate such conflict of interest. Campuses may continue the review processes currently in use so long as they conform to State and Federal regulations. The financial disclosure designee shall be responsible for recording the outcomes of reviews and reporting such outcomes to the appropriate University officials who in turn shall report as necessary to appropriate State and Federal agencies.

Where a conflict of interest as defined by SUNY Policy is discovered, the financial disclosure designee must take steps to manage, reduce or eliminate such conflict of interest. These steps can include: 1) public disclosure of significant financial interests; 2) monitoring of research by independent reviewers; 3) with respect to NSF or PHS funded research, disqualification from participation in the portion of the NSF or PHS funded research that would be affected by any significant financial interests; 4) divestiture of significant financial interests; 5) severance of relationships that create actual or potential conflicts; or 6) with respect to NSF funded research only, if the financial disclosure designee determines that imposing conditions or restrictions would be either ineffective or inequitable, and that the potential negative impacts that may arise from significant financial interests are outweighed by interests of scientific progress, technology transfer or the public health and welfare,, then the designee may allow the research to go forward without imposing such conditions or restrictions. Where any such conflict is found with respect to the investigator or the investigator's spouse (in contrast to those with respect to the investigator's dependent children), which would also violate the NYS Public Officers Law, any such corrective steps must render the activities in conformance with such law. In instances where disciplinary action is contemplated as a result of activities disclosed by the reporting requirements, such actions shall be consistent with the agreement collectively negotiated between the State of New York and United University Professions.

Each campus shall submit to the System Provost the name and title of the person or persons designated as financial disclosure designee and shall further notify the Provost when a change in that assignment occurs.