1. 1 UMass Dartmouth Conflicts of Interest Policies UMass Dartmouth Liz Rodriguez February 17, 2011

2. 2 UMass Dartmouth Conflicts of Interest Policies Liz Rodriguez, Associate General Counsel for Research and Technology Transfer & the University Conflicts Committee

3. 3 History of Conflicts Policies Prior to 1996, UMASS employees were subject to state ethics law (268A) and the oversight of the state ethics commission for all COI matters, including research and commercialization of technology Severely restricted University’s and faculty’s ability to engage in University-industry relationships (e.g., sponsored research, start-up companies, tech licensing) with companies in which faculty had a financial interest As permitted by the five-campus merger legislation, a system-wide task force developed proposals for first-ever policies for governing conflicts of interest relating to technology and research matters The policy was approved by the Board of Trustees in 1996, subject to collective bargaining with the campuses

4. 4 Purpose of Conflicts Policies Overcome limits of state ethics law Encourage/facilitate appropriate relationships between faculty and industry Protect research integrity, educational mission, reputation of University Required for Federal Sponsored Activities

5. 5 Multiple Conflicts Disclosure Obligations Conflict of Interest in Federal Research Consulting & Outside Activities Policy University Conflicts Disclosure State Ethics Law 268A Journal/Conference Disclosure Requirements

6. 6 Federal Disclosure Obligations Conflict of Interest in Federal Research and Scholarly Activity Policy  Required to Take Safeguards to Prohibit Employees from Engaging in Activities that presents the Appearance or Actual Conflict of Interest  Disclose at Time of Proposal – all Federal Agencies  Disclose at Time of Submission to ORA All Financial Interests that May Affect the Design, Conduct or Reporting of Federal Sponsored Research  Disclosure by ORA for NIH and NSF Grants  Annual Disclosures

7. 7 Faculty Consulting & Outside Activities Policy Covers Only Faculty, Lecturers, Researchers One Day a Week for Outside Activities Must Be Disclosed Prior to Start Disclosed to Department Chair

8. 8 Faculty Consulting & Outside Activities Policy Not Purview of this Policy (see Conflicts Policy)  No use of students, facilities, equipment  No use of University IP  No Contracts with University Sponsors  No Projects Related to Federal Grant or Contract Conflicts Disclosure Form Consulting Agreement  Best Practices – attach University Standard IP Rider to every agreement to avoid arguments later about intellectual property matters

9. 9 Scope of University COI Policy Conflict between personal interests of faculty member, student or staff, etc. and the interests of the University or the perception of a conflict Any interest of immediate family members Includes any use of students, outcome of research, or technology transfer with significant use of University funds, facilities or equipment

10. 10 Exclusive Jurisdiction of COI Committee Any Proposed Use of University Facilities, Equipment or Lab in Conduct of Outside Activities Any Use of Students in Outside Activities Any Use of University Intellectual Property Any Personal Financial Interest Involving a University Research Sponsor (equity, consulting) Any Personal Financial Interest Related to Federal or Foundation Funded Grant Proposal or Project All Cases Relating to Human Subjects Studies

11. 11 Composition System-wide Conflicts Committee  1 Faculty Member and Chief Research Officer from each Campus  President or Designee  2 Non-Voting Members Conflicts Committee – faculty peers and research leaders willing to meet monthly to aid University to meet its COI obligations Campus Oversight and Management is primary vehicle for ensuring compliance

12. 12 Financial Interests Equity (stock, warrants, options) Non-equity (salary, gifts royalties, consulting fees, honoraria, goods, services, travel expenses) Includes Interests of Immediate Family Members

13. 13 Significant Financial Interest: Reported to Committee, but ordinarily allowed if disclosed on a timely basis >1% Equity (or equity valued > $10,000) Money compensation >$10,000 received or contracted NIH Rule (Significant Financial Interest) (new caps) Equity in Public Co. or other Compensation of >$5,000 Any Equity if non-public company Substantial Financial Interest: Must Go to COI Meeting >5% Equity (or equity valued > $100,000) >$100,000 received or contracted ANY equity or value > $1,000 if Human Subjects Study

14. 14 UMass COI Policy Case-by-Case Evaluation Disclosure to Asst. Vice Chancellor for Research of new (& changes to prior disclosed) Conflicts of Interest Referral to Committee Chair and Counsel Review by Committee

15. 15 Record of Conflicts Committee to Date The COI Committee and the Campuses Have Evolved Considerably Over Time in their Ability to Anticipate and Manage COI Situations The COI Committee Has Successfully Handled Over 150 Cases Since 1996, including 2 Institutional Conflicts Cases in 2010 Only One Faculty Member has Refused to Comply With a COI Ruling and Left the University

16. 16 Committee Meetings Dartmouth Members  Dr. Lou Petrovic, Asst. Vice Chancellor for Research Development  Dr. Alex Fowler, Assoc. Provost for Graduate Studies and Dept. of Mechanical Engineering Disclosures are Confidential Monthly Meetings

17. 17 UMass COI Policy Disposition Postpone (lack sufficient info. to review case) Approve (deliberation reveals no conflict) Approve with conditions, such as:  Public disclosure of conflict in publications  Comply with Federal Agency Disclosure Requirements  Monitoring/ Reporting to Campus  IP from Consulting Activity Subject to Ownership by University Under Standard IP Rider attached to Consulting Agreement  Sale of Equity and Caps on Future Equity Interests  Prohibition of Student Involvement / Change Thesis Advisor  Resignation of Board/Officer Positions  Co-PI for Research Deny (if PI refuses conditions established by Committee)

18. 18 Appeals Process Rehearing by Committee President (whose decision is final)

19. 19 Assistance Campus  ORA Policies Web Page  “Guidance Principles”  Department Chair/Dean  Asst. Vice Chancellor for Research  Campus COI Committee Member  Oversight Committee for Your Case System  Counsel to COI Committee  COI Committee Chair

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