Significant Financial Interests

Disclosure Thresholds

In accordance with Syracuse University Policy, Significant Financial Interests (SFIs) are defined as follows:

Compensation and/or other payments for service

  • Threshold: Exceeding $5,000 aggregated over a 12-month period must be reported
  • Exclusions: Compensation received that is cumulatively less than $5,000, OR compensation received for lectures, seminars, teaching engagements, or service on an advisory committee or review panel for federal, state, or local government agencies, OR compensation received from Syracuse University

Equity interests/ Stocks in publicly-traded entity

  • Threshold: Exceeding $5,000 or 5% ownership in a single entity
  • Exclusions: Interests in publicly-traded entities valued at less than $5,000, as well as interests in any entity through personal retirement accounts and mutual funds

Equity interests/ Stocks in non-publicly-traded entity

  • Threshold: $0, Any must be reported
  • Exclusions: Interests/ stocks through personal retirement accounts and mutual funds that are not actively managed by the investigator

Intellectual Property Rights (patents, copyrights, royalties)

  • Threshold: Exceeding $5,000 must be reported
  • Exclusions: Royalties received from Syracuse University funds, unlicensed IP that does not generate income

Management Roles

  • Threshold: Director, Officer, or other position (that has significant decision-making authority) in a research sponsor (or 3rd party receiving the funding) or company whose interests are related to your research

Sponsored or Reimbursed Travel

  • Threshold: Exceeding $5,000 must be reported
  • Exclusions: Travel administered through Syracuse University funds OR travel reimbursed or sponsored by a federal, state, or local government agency, an institution of higher education, or a research institute that is affiliated with an institution of higher education