UNIVERSITY OF CALIFORNIA

Faculty Interactions with the Private Sector (七) Conflict of Interest

A conflict of interest occurs when a person has a financial interest in a private sponsor of his or her research. "Financial interest" is defined as the holding any income, position of responsibility, stock ownership, or other personal consideration by a faculty member or his or her near relative in the sponsoring company. At the statewide level, conflict of interest is addressed by The Political Reform Act of 1974 and managed by the California Fair Political Practices Commission (FPPC). University policy is consistent with state law, and the University must report to the FPPC for its implementation. The NIH and other federal agencies have also established guidelines requiring full disclosure and review of potential conflicts. For UCI Guidelines on this subject, please see Appendix C.

Practically speaking, the policy is directed at two aspects: (1) disclosure of the conflict to make sure the relationship is public and (2) substantive review of the conflict to determine if it is harmful to the University. The process is simple: Before the University may accept any gift, grant or contract from a private sponsor, the benefiting faculty member must file a disclosure statement indicating whether or not he or she has a financial interest in the sponsor and, if such interest exists, the type and amount of that interest. A separate disclosure statement is also required at the conclusion of the sponsored project. A sample of the disclosure statement (Form 730U) is provided with this Handbook in Appendix C. If the disclosure statement shows no financial interest, the award may be immediately accepted.

If the disclosure statement reveals a financial interest, a supplemental questionnaire (see also Appendix C) must be completed and reviewed by the UCI Conflict of Interest Oversight Committee. This Committee renders an opinion to the Vice Chancellor for Research as to whether or not the conflict may be harmful to the University and if so, whether or not the conflict can be managed. The existence of a conflict does not automatically mean that support cannot be accepted from the sponsor. Provided the conflict is disclosed but not harmful to the University, the conflict may be allowed to continue.

In general, it is best to avoid acquiring a financial interest--especially board membership--in a private company that you hope will fund your research. The key to managing conflicts is to show that there is sufficient separation between the circumstance that caused the conflict and the sponsored research project. Recently, the Conflict of Interest Oversight Committee (COIOC) has ceased recommending acceptance of research awards from sponsors in which the P.I. is on the board of directors. Other factors that may help demonstrate the separation between the conflict and research include: student involvement in the research project, unabridged academic freedom, publications emanating from the project, and that intellectual property rights are managed according to University policy.

研發成果推廣實務人才國外培訓成果發表會 學術機關利益衝突之迴避與處理

附件 20.CALIFORNIA INSTITUTE OF TECHNOLOGY

1. Policy

It is the policy of the Institute to permit employees to engage in outside employment, consulting, or business activity ("outside activity") provided that no actual or potential conflict of interest or appearance of such conflict exists, and such activity does not adversely affect their ability to perform their jobs. Employees must not use their Caltech positions for private gain for themselves or for persons with whom they have personal, business, or financial ties. Employees must avoid any outside activity that could reasonably be expected to adversely affect or give the appearance of adversely affecting the independence and objectivity of their judgment, or interfere with the timely and effective performance of their duties and responsibilities or discredit the Institute.

Note: This policy does not apply to volunteer work such as charitable and community service activities.

Employees should also seriously consider the possible impact that outside activities may have on the limits of their endurance, overall personal health, and effectiveness at the Institute. The Institute holds all employees to the same standards of performance and scheduling demands, and cannot make exceptions for employees who are engaged in outside activities.

2. General

A. Employees are required to obtain written permission from the Director of Personnel or designee prior to engaging in outside activity if any of the following apply:

1. An actual, potential, or the appearance of a conflict of interest exists.

The examples below, while not at all inclusive, illustrate circumstances in which an actual, potential, or the appearance of a conflict of interest may exist.

a. The employee is engaging in outside activity with an organization, and that organization is working under an Institute contract in which the employee is involved on behalf of Caltech.

b. The employee contributes to the outside organization's efforts on any work that is sponsored by Caltech.

研發成果推廣實務人才國外培訓成果發表會 學術機關利益衝突之迴避與處理

c. The employee contributes to either the outside organization's or the Institute's efforts on any work which is contemplated to be the subject of a future Caltech contract with the organization.

d. The Institute is considering the outside organization for a contract and the employee is in a position to influence contractor selection.

e. The employee will be providing methods, techniques or ideas to the outside organization in the course of sponsored work, but where all of the obligations for reporting such methods, techniques, or ideas to the sponsor have not been discharged.

2. The outside activity, including the marketing of a service or product, is the result of knowledge gained from or is directly related to the individual's employment at the Institute.

3. The outside activity overlaps the employee's scheduled Institute workday.

4. The employee will be engaged in outside activity for more than six hours in any scheduled workday or more than 20 hours during any scheduled workweek. (This does not apply to non-benefit based employees working less than 20 hours a week at the Institute.)

B. Performing any outside activity on Caltech work time is prohibited unless prior written approval has been obtained as provided herein. Additionally, the use of any Institute facilities, equipment, services, or supplies (including computers, software, reproduction machines, telephones, mail service, stationery, etc.) in connection with an outside activity is prohibited.

C. The use of the name, logo, seal, or letterhead of the California Institute of Technology, the Jet Propulsion Laboratory, or any other Institute or Laboratory facility or organization in the conduct of an outside activity is prohibited.

D. Contracts between the Institute and its employees or business which are substantially owned or controlled by Caltech employees are prohibited, except where the needs of Caltech cannot reasonably be met by another source.

Exceptions must be approved in advance by the Director of Business Services and the Director of Personnel.

研發成果推廣實務人才國外培訓成果發表會 學術機關利益衝突之迴避與處理

E. Any Caltech employee who intends to work for the federal government as an employee, consultant, expert, or advisor is responsible for being informed of and complying with applicable laws concerning conflict of interest and for notifying his or her supervisor in advance of such employment. Procedures as outlined in this memoranda must be followed prior to accepting employment with the government while employed by Caltech.

Note: The federal conflict of interest laws are criminal statutes, applying to employees and former employees of the Government, which can result in substantial finds and imprisonment when violated. Government consultants, experts, and advisors, whether serving with or without compensation and whether or not they have taken an oath of office as Government employees, are employees of the Government within the meaning of certain conflict of interest statutes.

3. Procedure

Obtaining Approval for Outside Employment, Consulting, or Business Activity A. Employee

Prior to engaging in any outside activity which requires approval, the employee must complete Caltech Form PM 9-3 "Application for Outside Employment, Consulting or Business Activity (Outside Activity)" available from the Personnel Office and submit it to the cognizant supervisor.

B. Supervisor

Upon receipt of Caltech Form PM 9-3, the supervisor will evaluate the impact of the outside activity, add any appropriate comments, make a recommendation, and forward the form to the cognizant Division Chairman/Department Director.

C. Cognizant Division Chairman/Department Director

The cognizant Division Chairman/Department Director will examine Caltech Form PM 9-3 and concur or disapprove of the proposed outside activity. If concurrence is given, the form will then be forwarded to the Director of Personnel or designee.

研發成果推廣實務人才國外培訓成果發表會 學術機關利益衝突之迴避與處理

D. Director of Personnel or Designee

1. Determine whether there are any actual or potential conflicts or the appearance of such which would adversely affect the Institute.

2. Notify the employee of the Institute's decision in writing through the cognizant manager or normal supervisory channels.

3. Retain a copy of the documentation.