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.
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