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Financial Conflict of Interest (FCOI)

What is a Financial Conflict of Interest (FCOI) in Research?

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 (FCOI) 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.

What are my responsibilities as a UConn investigator?

All faculty, and other investigators, that conduct sponsored research are required under federal regulations, and UConn policy, to:

  • Understand UConn’s policy on financial conflicts of interest in research and know the definition of Significant Financial Interest (SFI) and how it applies to them.  Click here to review the policy.
  • Promptly and fully disclose any SFI (including those of a spouse or dependent child) that reasonably relates to their institutional responsibilities, and if applicable, comply with financial conflict of interest management or mitigation plans.
  • Submit a financial disclosure form: (1) once every 12 months; (2) within 30 days of acquiring or discovering a new financial interest; and (3)  within 30 days of any reimbursed or sponsored travel.  Financial disclosure forms must be submitted electronically within the InfoEd External Interests module ( For step-by-step instructions on how to submit an electronic disclosure, see the InfoEd FCOI how to documents.

Completion and submission of the financial disclosure form also satisfies the training requirement as required under federal regulations and UConn policy.

Who is an investigator?

Per the U.S. Public Health Service (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.

How has the UConn FCOI 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.