Overarching Principles
Guiding Conflict of Interest Evaluation
- Technology Transfer and Economic
Development are components of the University
of Michigan's Mission. [More...]
- The University of Michigan regards
its faculty, staff and students to be men and
women of high integrity and ethical standards, and
expects them to act accordingly. Occasionally,
faculty and staff members may develop financial involvements
with outside entities that may pose potential conflicts
of interest or commitment, and faculty and staff
are expected to disclose these to the appropriate office
or committee. It is the University's intent
to resolve or manage such conflicts, if possible,
through the application of a set of operating principles
that attempt to balance benefits accrued from the
financial involvements against possible risks to
the University and its employees and students. [More...]
- Intellectual Property generated by University of Michigan employees (including faculty and staff) as a result of their employment, is owned by the University. The University then provides avenues for the inventors to participate in and benefit from the commercialization of their discoveries and inventions. In some situations, University policy provides for assigning ownership to the faculty or staff creator, such as for copyrightable works that are created at their own initiative, and if done so with no unusual University resources provided in support of the work. (Academic books, including textbooks, fall into this last group, as would other types of works created in fields outside the faculty member's area of academic or professional responsibilities.) [More...]
1. Technology Transfer and Economic Development are components of the University of Michigan's Mission.
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In 1996, the Board of Regents adopted the following statement:
WHEREAS, the University of Michigan is an institution of higher learning devoted to teaching, research, and service; and,
WHEREAS, an important and valued aspect of its mission is the application of knowledge to the solution of the complex problems of our society;
The Regents hereby affirm that the University of Michigan recognizes and supports a strong program of technology transfer and intellectual property development as an integral component of its overall mission. The Regents urge that all appropriate units of the University endeavor to incorporate this program as a component of their own pursuit of the University's mission.
In light of the changing context of technology transfer, the Regents also affirm the value of modifying, from time to time, University policies to support the greatest possible flexibility within a framework of the highest ethical and academic standards.
To this end, the Regents support the removal of prohibitions on further development within the University of technologies that have been transferred to faculty-owned companies. These prohibitions are replaced by review processes contained in the University's new policy on conflicts of interest.
The Regents, through this resolution and through the [....] revised policy, underscore the importance of using revenues from the development of University intellectual property to provide incentives for inventors, to direct funds to support the research of University inventors, and to support the overall research and educational activities of the University.
This statement has come to be known as the "Fourth Mission" of the University, adding technology transfer activities to the previous mission statement that included teaching, research, and public service.
The University of Michigan recognizes that enormous benefits accrue to the public from the commercial development of innovations made in academia. Relationships between industry and academia enable these innovations to move from the experimental to applied setting, preserve progress, and improve the health of the citizenry. These relationships are encouraged when they enhance the traditional missions of the University.
The University of Michigan and its faculty, staff, and students are collectively responsible for protecting the mission of the University.
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2. The University of Michigan
regards its faculty, staff and students to be men
and women of high integrity and ethical standards,
and expects them to act accordingly. Occasionally,
faculty and staff members may develop financial involvements
with outside entities that may pose potential conflicts
of interest or commitment, and faculty and staff
are expected to disclose these to the appropriate
office or committee. It is the University’s
intent to resolve or manage such conflicts, if possible,
through the application of a set of operating principles
that attempt to balance benefits accrued from the
financial involvements against possible risks to
the University and its employees and students.
Occasionally the pursuit of technology transfer, research or other professional activities may lead to situations that place faculty or staff in conflict with their responsibilities to the University. These relationships must be set up in ways that maintain the openness, scientific integrity, and independence crucial to academic endeavors. Consequently, clear boundaries must be established between faculty and staff responsibilities to the University and to outside interests or obligations, so as to ensure that decision-making and the use of resources and time are consistent with a faculty/staff member’s responsibilities and obligations as a University employee, mentor and/or supervisor.
The University conflict of interest (COI) and conflict of commitment (COC) management process should be rational, well publicized, transparent, consistently applied, and supported through effective sanctions. It should promote healthy relationships between industry and academia.
Appropriate COI or COC management promotes and maintains the trust of the public in University research and scholarly activities by protecting research subjects and data, faculty, colleagues, staff, students, trainees, patients, and the public from the negative consequences associated with a COI or COC. University faculty, students, and staff all bear a shared responsibility for oversight; yet each remains accountable for the protection of scientific integrity and the effectiveness of the COI and COC management process.
A Conflict Review process evaluates the specific ways in which a conflict might affect the missions and values of the University. Conflict management plans strive to:
- Protect research subjects, patients, students and trainees from harm or undue risks associated with COI or COC,
- Ensure the integrity and independence of protocol design, research conduct, data collection, and interpretation,
- Ensure appropriate use of University and/or sponsor resources,
- Promote an education of students and trainees that encourages critical thinking. Conflict review should recognize the potential influence from outside interests or relationships on the development of the careers of students and trainees,
- Promote the integrity of academic decision-making,
- Safeguard the open access to data and the timely publication of research results, and
- Promote ethical actions by University faculty, staff, students and trainees.
3. Intellectual Property generated by University of Michigan employees (including faculty and staff) as a result of their employment, is owned by the University. The University then provides avenues for the inventors to participate in and benefit from the commercialization of their discoveries and inventions. In some situations, University policy provides for assigning ownership to the faculty or staff creator, such as for copyrightable works that are created at their own initiative, and if done so with no unusual University resources provided in support of the work. (Academic books, including textbooks, fall into this last group, as would other types of works created in fields outside the faculty member's area of academic or professional responsibilities.)
Faculty members are expected to observe the University's intellectual property, publication and related policies in all their activities.
University intellectual property policy is expected to apply to agreements between the University and outside organizations including employee-owned companies.
Intellectual property owned by the University should be licensed by the University, if at all, to whatever company is most likely to develop it into a useful product or process. Decisions to license to employee-owned companies should be made after the disclosure of an invention and should be based on factors and criteria applied to similar licensing decisions. It is the obligation of faculty and staff to recognize and maintain compliance with University intellectual property policy in agreements between faculty or staff and outside organizations including employee-owned companies.