This is a model of the annual disclosure and certification of compliance with Stanford's Faculty Policy on Conflict of Commitment and Interest currently being developed and tested as a campus-wide web-based application. The actual application is expected to be introduced in the Summer of 2003, with initial disclosures filed during Fall Quarter of the 2003-04 academic year. Those disclosures will relate to activities during the prior year (2002-03).
The final questionnaire will be housed on a site with an introductory "home page" explaining the basic mechanics of the disclosure process, as well as the fundamentals of the policy.
This home page will communicate the following:
- Having outside commitments and/or financial interests is not a violation of any rule. Conflicts of commitment and interest are inevitable. Stanford's policy seeks to manage potential risk through disclosure.
- This policy exists, and these disclosures are required, in order to protect the individual faculty member and students. Appropriate discloses can help to avoid serious difficulties for the individual and for Stanford.
- Protecting the interests of Stanford students is of paramount importance to the University. For that reason, faculty must disclose whenever their students are involved with work for, or supported by, an outside entity in which the faculty member has an interest.
- All disclosures are confidential. The University requests this information and warrants that it will not be released other than for internal review by those authorized for that purpose. The actual certification will acknowledge special, limited circumstances under which disclosures must be made available to federal agencies or others with a right to such access.
The basic questionnaire mirrors the structure of the Faculty Policy on Conflict of Commitment and Interest. That policy is divided into eleven sections: six substantive sections followed by five procedural sections.
The six numbered sections on the questionnaire correspond specifically to the six substantive sections of the policy. Those sections are:
- Presence on campus
- Limitations on outside professional activities
- Free and open exchange of research results
- Use of University resources
- Intellectual property
- Relationships with outside entities involved with your Stanford activities.
NOTE: Links above will open that particular section of the policy in a separate browser window.
This model is intended to show what the questions will ask. It does not have the "look and feel" of the final site.
In addition to linking to the specific sections of the policy, the disclosure form may also link to explanations and examples to help faculty members understand what is being asked.
Faculty will file their disclosures each Fall. They will have a designated period of time (proposed to be between 90 days and three months) to complete the disclosure. The disclosure pertains to financial relationships and outside activities during a specified period, i.e., the prior 12 months.
The disclosure form will be accessed with a SUNet ID and password. The faculty member may work on the different parts of the form and save the information before actually submitting the disclosure. Once the disclosure is submitted, it cannot be modified until the next year. "Ad hoc" disclosures made during the year will continue to be made "on paper."
The system will have security controls so that only individuals identified by School Deans and by the Vice Provost and Dean of Research will be able to see faculty members' disclosures. Others will be able to use the system to see whether an individual has a current disclosure on file, but they will not be able to read any actual disclosure. Those reviewing disclosures will be able to record notes and comments. The system will have some limited reporting capabilities to assist School Deans and the University in assessing conflict of commitment and interest concerns, and compliance with University policy.
To proceed to the FINAL DRAFT disclosure and certification form, click HERE