• Home
  • KUMC Management of Inventor Conflict of Interest

KUMC Management of Inventor Conflict of Interest

Policy
Procedure
Purpose: 

To ensure that research integrity and objectivity is held to the highest standards, an employee's outside activities with regard to University research and transfer of the University's technology must be disclosed, reviewed and managed with appropriate oversight.

Applies to: 

All faculty and unclassified staff members who invent a technology in their field of expertise while employed at the KUMC are subject to this policy.

Campus: 
Medical Center, Kansas City
Wichita
Salina
Policy Statement: 

A formal plan to manage conflict of interest will be developed for each inventor by the Conflict of Interest Committee and the inventor, with concurrence by the Vice Chancellor for Research. This plan will be reviewed annually or updated earlier if deemed necessary.

PROCEDURES

The Conflict of Interest Committee will initiate development of a management plan in adherence to the following guidelines and practices.

  1. As early as practicable, a Principal Investigator (PI) without conflicts of interest will be recruited for research on technologies in which the inventor and/or the university hold a financial stake.
  2. When feasible, clinical trials utilizing university discoveries also will be conducted at other universities to minimize bias.
  3. If research under the inventor's direction does not potentially benefit the start-up company, then he/she is free to hold a seat on the company's Board of Directors. Research is considered to be under the inventor's direction if he/she is principal investigator, or if he/she is department chairman or dean of the individuals conducting the research.
  4. The Conflict of Interest Committee will determine which measures may be appropriate to ensure data integrity and protection of human subjects. Such measures may include the requirement of oversight by a Data and Safety Monitoring Board and/or periodic audits of the research by a disinterested party.
  5. The University recognizes that, at times, the inventor will be the only individual who is qualified to conduct research on the new technology. In those cases, the following practices will be employed to manage the potential conflict of interest:
    1. The inventor shall not serve on the company's Board of Directors.
    2. If the inventor wishes to continue serving as PI for such a research program and the inventor has a direct management role in the Sponsor, a plan shall be developed with the overseeing Conflict of Interest Committee and approved by the appropriate Vice Chancellor for Research for the inventor to transition out of the management role as soon as practicable. This plan shall include measures described in paragraph 4 above, including a Data and Safety Monitoring Board and/or periodic audits.
    3. The inventor may retain equity interests in the start-up company.
    4. The inventor may participate on the company's Scientific Advisory Board. Inventors shall recuse themselves from decisions by the Scientific Advisory Board, which involve their research.
  6. Within the University's academic departments, inventors may not make salary, promotion or tenure decisions for individuals who participate in research relating to a University of Kansas licensed technology where the inventor has a financial interest.
  7. Participation in the management of any company must comply with the Regent's policy on Conflict of Time Commitment.
  8. When a licensee or a sublicensee uses data to support product development by a company that has licensed University technology and/or in which the University has an equity interest, the Conflict of Interest Committee shall examine the relationship between the company and the licensee or sublicensee (research sponsor). The Committee will make a determination about whether a conflict of interest exists and, if it does, will ensure that an appropriate management plan is in place.
  9. The University of Kansas Medical Center Research Institute shall disclose the creation of new technology companies to the Conflict of Interest Committee so that planning for technology development and management of potential conflicts of interest can be jointly accomplished.
Contact: 

KUMC COI Manager coi@kumc.edu  913-588-1288

Vice Chancellor for Research:  913-588-1698

Approved by: 
Vice Chancellor for Research
Approved on: 
Wednesday, April 17, 2002
Effective on: 
Wednesday, April 17, 2002
Review Cycle: 
Annual (As Needed)
Definitions: 

Conflict of interest: A conflict of interest occurs when the divergence between an individual's personal relationships or interests and his/her professional obligations to the university is so close that an independent observer might reasonably question whether the individual's professional actions are determined by considerations of personal benefit, gain, or advantage.

Inventor: An inventor is an employee who has made independent, original, and conceptual contributions to an invention and to at least one of the eventual claims in the patent application. Requirements to disclose inventorship related to research also apply when the inventor is in the employee's "immediate family" (spouse and dependent children).

Keywords: 
Invention, device
Review, Approval & Change History: 

08/19/2016: Removed outdated background statement; fixed broken links; updated contact.

Academic Categories: 
Intellectual Property
Personnel: Affiliates/Volunteers Categories: 
Conflicts of Interest
Workplace Rules & Guidelines
Personnel: Faculty/Academic Staff Categories: 
Conflicts of Interest
Workplace Rules & Guidelines
Personnel: Staff Categories: 
Conflicts of Interest
Workplace Rules & Guidelines
Research and Sponsored Projects Category: 
Research and Sponsored Projects

Can't Find What You're Looking For?
Policy Library Search
New Policies in the last 30 days
KU Today
One of 34 U.S. public institutions in the prestigious Association of American Universities
Nearly $290 million in financial aid annually
44 nationally ranked graduate programs.
—U.S. News & World Report
Top 50 nationwide for size of library collection.
—ALA
23rd nationwide for service to veterans —"Best for Vets," Military Times