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Tip Sheet Volume 1:10
Conflicts and Conflict of
Interest: Industrial Considerations
Industrial funding of research projects
usually comes with strings attached, most frequently in the area
of intellectual property. Care must be taken to avoid conflicts
related to industry-funded research. The most common situations
that cause a conflict of interest related to industry are described
below.
What Is A Conflict?
A conflict occurs anytime the terms of the research contract
cannot be fulfilled because of a prior obligation. Most often
this is related to intellectual property issues.
Funding from Multiple Industries
A potential conflict can occur in research projects with sequential
funding from different companies. The first company is often
granted certain rights to intellectual property (IP). If this
company ceases to fund the project and another company begins,
the second company may request IP rights that conflict with the
original contract.
If you are, or anticipate being, involved
in a research project that has funding from multiple industries,
please contact ISURF, the Office of Sponsored Programs Administration,
or the Biotechnology Industrial Liaison for assistance in determining
if any potential conflicts exist. When identified prior to or
during the contract negotiations, these conflicts are easily
managed.
What Is A Conflict of
Interest?
A potential conflict of interest occurs when a faculty or staff
member is or may be in a position to influence the university's
business, research, or other decisions in ways that could lead
to personal gain.
Faculty and staff members starting
a business while remaining ISU employees must take appropriate
measures to document potential conflicts of interest. Very early
in the process of starting the new company, the department head(s),
the associate dean(s) of your college(s) and the Office of the
Vice Provost for Research and Advanced Studies, should be notified
of your intent. A conflict-of-interest form must be filled out
and filed with the Office of the Vice Provost for Research and
Advanced Studies, identifying the nature of the conflict. A disclosure
meeting will be held to determine proper operating procedures.
The initial meeting will discuss the nature of the conflict and
will determine if an oversight committee is necessary. It is important
to remember this is a business meeting and not
a scientific meeting. Be prepared to discuss how the new company
might interact with ISU and any potential impact on your job
as an ISU employee. The three most common types of conflict of
interest are:
Contracting Research Back To Your
Own Lab
The most common type of conflict is the situation where a faculty
or staff member starts a company based on a technology s/he developed
and then wants to form a collaborative research agreement between
the company and his/her lab at ISU. A faculty or staff member
cannot act as both the company representative and the ISU principal
investigator on collaborative research agreements this
is a conflict of interest! Instead, a grant administrator is
chosen for the research. In many cases, the department head acts
as the grant administrator.
Employing Graduate Students in Your
Company
Graduate students can be employed in your company; however, a
faculty member cannot serve as both the major professor and the
supervisor of the student in the company's organization.
Sales To ISU
Another situation that causes a potential conflict occurs when
a faculty or staff member is involved with a company that wants
to sell a product or service to ISU. Board of Regents' approval
is required in those cases and is coordinated through Purchasing.
Please see the Faculty and/or P&S
handbook and the purchasing section of the Office Procedure Guide
for more information
If you have any questions,
please contact:
Lisa Lorenzen
Biotechnology Industrial Liaison
1210 Molecular Biology Building
Phone: (515) 294-0926
Email: llorenze@iastate.edu
Acknowledgement: A special thanks to Valrey Kettner
and Sonja Klocker for their assistance in preparing this Tip
Sheet.
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