The University of California has comprehensive and interrelated policies and guidelines that address the conduct of UC employees, their interactions with private industry and conflict of interest. The policies work together to set high standards for employees, ensure the integrity of UC research results, and guide interactions of UC employees in their partnerships with industry and other university-related activities.

The following information can help guide media and the general public to answers to some of the most commonly asked questions about these issues. This information is issued to support a general understanding of the objectives, policies and issues surrounding the questions. Since the information is taken out of context of larger documents, it should not be considered as definitive answers to specific situations. (See Disclaimer below.)

A. Conflict of Interest Code for Employees, Including Designated Officials
B. Policies on Commitment of Time for Faculty
C. The Political Reform Act as Applied to UC
D. Industry-Sponsored Research and Conflict of Interest
E. Gifts and Gratuities
F. Inventions and Patents
G. Policies on Licensing Technologies
H. Related Information
I. Disclaimer

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A. Conflict of Interest Code for Employees, Including Designated Officials

1) What Is a Conflict of Interest Code?
2) What Positions at UC Are Designated as Having to File Statements of Economic Interests, Form 700?
3) Where Can I Get a Copy of the Filed Forms?
4) How Often Are Statements of Economic Interests Filed?
5) What Must Individuals Report?
6) When Must Employees, Including Designated Officials, Disqualify Themselves From Making, Participating in and Influencing Decisions?

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B. Policies on Commitment of Time for UC Faculty

1) Does UC Have a Personnel Policy That Addresses the Types of Outside Professional Activities that Faculty May Engage In?
2) What Principles Guide Faculty and Scholars in How They Should Spend Their Time?
3) Is There a Time Limit for the Amount of Time That a Faculty Member Can Spend on Outside Activities?
4) What Different Requirements Exist (as to Prior Approval, Time Limit and Annual Reporting) for the Three Different Categories of Compensated Outside Professional Activities.
5) What Types of Additional or More Detailed Guidelines Are Established in the Health Sciences Schools?
6) What Are the Guidelines for Involving Students in Outside Professional Activities of Faculty?

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C. The Political Reform Act as Applied to UC

1) What Is the California Political Reform Act?
2) Does It Apply to All University of California Employees?
3) What Is Meant by Making or Participating in or Influencing a Decision?
4) What Is Meant by a Financial Interest?
5) What Is Meant by Interest in a Contract?

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D. Industry-Sponsored Research and Conflict of Interest

1) How Does the University Identify Conflict of Interest When Investigators Are Working with Private Sponsors of Research?
2) When Positive Financial Interest Is Disclosed in a Research Sponsor, How Is It Reviewed and Managed?

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E. Gifts and Gratuities

1) What Is Considered a Gift?
2) What Is the Financial Limit of Gifts?
3) Can You Provide Specific Examples of What Is a Gift?
4) Can You Provide Specific Examples of What Is Not a Gift?
5) When Must a University Official Disqualify as a Result of Receiving Gifts?
6) Can Employees Accept an Honorarium?

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F. Inventions and Patents

1) What Is the University's Patent Policy?
2) Who Must Sign the University's Patent Acknowledgment?
3) How Does the Technology Transfer Process Work?
4) What Percent of Income Generated by an Invention Is Paid to the Inventor?
5) When a Patent Has Been Issued, Is It a Public Document?
6) Can a Faculty Member Consult with Industry and Who Owns the Resulting Inventions?

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G. Policies on Licensing Technologies

1) Why Does the University Partner With Private Industry?
2) How Is the Licensing Value (fees/royalties) of Technologies Determined?
3) What Are the Top Royalty-Producing Inventions?
4) What Factors Are Involved in Selecting Licensees?
5) How Does UC Manage Potential Conflict of Interest in Licensing Activity?
6) What Factors Influence Decisions to License Patents Either Exclusively or Non-Exclusively?
7) To Whom Do Universities License Their Technologies?
8) Are Licensing Agreements Public Documents?

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H. Related Information

1) UC Systemwide Summary of Policies and Guidelines Related to Conflict of Interest (Business and Finance Bulletin, G-39)
2) The Bayh-Dole Act-A Key Law for Tech Transfer at Universities
3) The Technology Transfer Annual Report
4) University Technology Transfer - Questions and Answers (from the Council on Governmental Relations COGR)

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I. Disclaimer

These questions and potential answers are not a statement of University policy. They may be used for generalized guidance, but the relevance, irrelevance or weight that should be given to any particular question and answer in any particular case should be measured by reference to the full statement of relevant policy.

The guidelines are not intended to be an exclusive list of all applicable considerations that should be taken into account for a specific factual situation. The questions and answers are not intended to be sufficiently specific so as to dictate any particular result in any particular situation.