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Located Inside: Research Policy Handbook

Summary:

Applies principles of the Faculty Policy on Conflict of Commitment and Interest to members of the Academic Staff, while recognizing that consulting privileges are not normally extended to members of the Academic Staff, and Academic Staff are not normally required to complete an annual certification and disclosure.

Related Research Policy Handbook Documents:

2.6    Openness in Research
4.1    Faculty Policy on Conflict of Commitment and Interest
4.2    PHS and NSF Requirements Regarding Financial
          Disclosures
4.3    Outside Consulting Activities by Members
          of the Academic Council
5.1    Inventions, Patents, and Licensing
9.1    Academic Staff - Research (AS-R):
          Policy and Procedures for Appointment and Promotion

SEE ALSO:
   Administrative Guide Memo 15,
          Code of Conduct for Business Activities [pdf file]
   Administrative Guide Memo 15.2,
          Staff Policy on Conflict of Commitment and Interest [pdf file]
   Guide to Ad Hoc Conflict of Interest Disclosures

Authority:

Vice Provost and Dean of Research

Originally promulgated in 1975 as a consulting policy for Academic Staff by Vice Provost and Dean of Graduate Studies and Research Gerald J. Lieberman. Expanded in 1999 to apply provisions of the Faculty Policy on Conflict of Commitment and Interest to members of the Academic Staff as appropriate.

This policy incorporates and replaces the document entitled "Outside Consulting Activities by Members of the Academic Staff."

Contact Person:

Vice Provost and Dean of Research

     I.   INTRODUCTION

In December, 1975, the Provost's office issued a policy statement regarding outside consulting activities by members of the Academic Staff, including Academic Staff - Teaching, Academic Staff - Research, and Academic Staff - Libraries. That consulting policy remains in effect here, and, in addition, the general concepts of conflict of commitment and interest, as set forth in the Faculty Policy on Conflict of Commitment and Interest, are also hereby applied with certain modifications to the Academic Staff.

Academic Staff members are referred to the full text of the Faculty Policy on Conflict of Commitment and Interest for further discussion of the points presented here.

     II.   CONFLICT OF COMMITMENT

Academic Staff, employed on a full-time basis at Stanford, owe their primary professional allegiance to the University, and their primary commitment of time and intellectual energies should be to the programs on which they are working. Whenever an individual's outside activities interfere with professional obligations to Stanford, a conflict of commitment exists.

In the case of Academic Staff working at Stanford on a part-time basis, this general principle applies to the extent of the Stanford appointment. Academic Staff on less than full-time appointments may engage in consulting relationships and other employment, to the degree that those activities do not interfere with their obligations to Stanford.

The following points of policy relate to conflicts of commitment:

1. Outside consulting privileges are not normally available to Academic Staff. They may consult only with permission, as noted below. Under no circumstances may any Academic Staff member's outside consulting work exceed the limits imposed by the faculty consulting policy, i.e., 13 days per calendar quarter (that is, one day in seven) on a full-time equivalent basis. (See further discussion in Section IV, below.) Academic Staff may not use University resources, including facilities, personnel, equipment, or confidential information, except in a purely incidental way, as part of any outside consulting activities nor for any other purposes that are unrelated to the mission of the University.
   
   

   NOTE: Permission for members of the Academic Staff to consult, including the reasons for such permission, must be in writing, normally on a prospective basis, by the department/program chairman (for members of the Academic Staff-Teaching), or by the principal investigator (for members of the Academic Staff-Research), or by the director of the appropriate library (for members of the Academic Staff-Libraries). If such permission is granted, the department/program chair or PI or library director is responsible for assuring that the consulting activities of the Academic Staff member do not adversely impact the achievement of program or project goals or subject the University to financial risk. He or she may require periodic written or oral reports in order to discharge this responsibility. The content of these reports, and the basis for the permission itself, are subject to review by the department chair, relevant dean, and Provost. (See further discussion in Section IV, below).
   
   

2. Academic Staff must maintain a significant presence on campus (main or overseas) throughout each quarter in which they are employed by Stanford, consistent with the scope of their appointment.
   
   
3. Academic Staff must not allow other professional activities to detract from their primary allegiance to Stanford. For example, Academic Staff employed on a full-time basis must not have significant outside managerial responsibilities nor act as a principal investigator on sponsored projects that could be conducted at Stanford University but instead are submitted and managed through another institution.
   
   

     III.   CONFLICT OF INTEREST

A conflict of interest occurs when there is a divergence between an individual's private interests and his or her professional obligations to the University, such that an independent observer might reasonably question whether the individual's professional actions or decisions are determined by considerations of personal gain, financial or otherwise. A conflict of interest depends on the situation, and not on the character or actions of the individual.

Conflicts of interest are common and practically unavoidable in a modern research university. Academic Staff should conduct their affairs so as to avoid or minimize such conflicts of interest, and must respond appropriately when conflicts of interest arise.

The following points of policy relate to conflicts of interest:

1. Academic Staff must foster the open and timely exchange of results of scholarly activities, informing faculty, students and colleagues about outside obligations that might influence the free exchange of scholarly information.
   
   
2. Academic Staff must disclose on a timely basis the creation or discovery of all potentially patentable inventions created or discovered in the course of their University activities or with more than incidental use of University resources. Ownership of such inventions must be assigned to the University regardless of source of funding. The inventor will share in royalties earned.
   
   
3. Academic Staff must disclose in writing to their supervisor, or to the principal investigator on their research, whether they (or members of their immediate family, as defined in the Faculty Policy on Conflict of Commitment and Interest) have consulting arrangements, significant financial interests (also defined in that policy), or employment in an outside entity which provides funding (either gift or sponsored), or is otherwise involved in procurement or technology licensing relationships with Stanford University.
   
   
4. In situations in which the objectivity of an Academic Staff member could reasonably be questioned, the supervisor or principal investigator is expected to raise the question to the department chair and/or school dean for review and determination of appropriate actions. School deans may consult with the Dean of Research in this regard.
   
   
5. Academic Staff who are approved for Principal Investigator status are required to file an annual certification of compliance with the Faculty Conflict of Commitment and Interest Policy within their school.
   
   

If a situation raising questions of conflict of commitment or interest arises, Academic Staff are urged to discuss the situation with their supervisor, principal investigator, or with the department chair or school dean.

     IV.   FURTHER DISCUSSION OF CONSULTING BY ACADEMIC STAFF

The decision to permit consulting by Academic Staff will depend on the circumstances of each situation, including the needs of the program or project, the Academic Staff member's role and the scope of his or her appointment. Such permission is subject to review as circumstances change. If permission is granted, time spent on consulting must be in addition to, rather than part of, the regular effort expected of Academic Staff member's University work. The nature of consulting activities should contribute to both the professional development of the individual and to the stature of the University.

Under no circumstances may any Academic Staff member's outside consulting work exceed the limits imposed by the faculty consulting policy. Moreover, an Academic Staff member's consulting activities may never exceed 13 days per calendar quarter (that is, one day in seven) on a full-time equivalent basis (this maximum applies to all periods of University employment, including vacations, quarter breaks, or other paid time off from work). Department chairs or PI's may limit an Academic Staff member's outside consulting activities to fewer than 13 days per quarter as necessary to meet University program or project goals.

This policy applies throughout the University. In addition, there may be further restrictions placed on Academic Staff consulting activities within individual schools or independent laboratories, centers and institutes (including regulations applicable to individuals employed in clinical departments in the Medical School). Please check with your dean's office or department chair for information about further policy limits within your school or department.

In the event of conflict between the provisions of any consulting agreement and the terms and conditions of employment of an Academic Staff member by Stanford, the latter shall prevail. The following paragraph (or one similar) should be included in Academic Staff members' outside consulting agreements:

The terms and conditions of employment by Stanford University and the provisions of any agreement between Stanford and external sponsors of projects on which the consultant works as part of his/her University duties, shall prevail in the event of any conflict with the provisions of this Agreement.

It is the responsibility of each Academic Staff member who wishes to engage in outside consulting to be aware of the University's limits on such activities. For further information, please contact your department chair, dean, or Office of the Vice Provost and Dean of Research.