H&S Conflict of Interest and Commitment Information

 

Overview

 

Stanford University acknowledges the value of outside interests in fostering innovation and collaboration. In order to maintain the integrity of its reputation and research endeavors, Stanford has implemented Conflict of Interest and Commitment (COIC) policies, aligned with federal guidelines, to ensure the transparent reporting and management of potential COIC.

If you have any inquiries regarding COIC, please contact Derek Brown, School of Humanities and Sciences (H&S) COIC and Export Control Manager. Derek serves as the primary contact for H&S, assisting faculty, staff, Postdoctoral Scholars, and students in reviewing and managing their external professional activities related to sponsored activities, gifts, procurement actions, and Office of Technology Licensing cases.

 

COIC Review and Management Process

 

The COIC review and management process involves three stages:

  1. Disclosure in OPACS
  2. If needed, issuance of a COIC Management Plan
  3. Annual reporting

Derek is available to support all H&S personnel throughout this process.

 

Prior Approval Requirements for Outside Activities

 

As of September 2023, prior approval is required for faculty, Postdoctoral Scholars, relevant staff, and students before engaging in certain external activities:

  • Employment at any outside entity, including during leave periods, where the personnel’s responsibilities may be similar to their Stanford responsibilities.
  • Appointment or affiliation at any outside entity where personnel will undertake activities similar to their Stanford responsibilities.
  • Formation of a new entity, or acquisition of an ownership interest of 5% or more either in an outside entity related to personnel’s Stanford responsibilities or in an entity that licenses Stanford intellectual property.
  • Service on the board of directors, science advisory board, or other board of an outside entity, unless such service constitutes Professional Service.
  • Consulting activities:
    • For Faculty, consulting activities that substantially overlap with Stanford responsibilities (e.g., outside teaching commitments, same or similar research activities).
    • For Postdoctoral Scholars, students, and applicable Staff, all consulting activities.
  • Participation in a foreign government-sponsored talent program.
  • For Postdoctoral Scholars and applicable staff: All of the above and/or participation in Professional Service activities.

 

Prior Approval Process

 

Disclosures for prior approval of outside activities are made in OPACS:

COI Prior Approval Graphic

 

The approval process may involve multiple stakeholders depending on the nature of the request and escalation required. The typical approval routing is as follows:

 

  • For Faculty:
    • Requests will initially be routed through the Department Chair/Unit Director.
    • If the request is made by a Department Chair or Unit Director, or if the request is related to a foreign government-sponsored talent program, the request will be routed to the appropriate H&S Senior Associate Dean.
    • All requests then route to the H&S COIC Manager for final review. 
  • For Postdoctoral Scholars and Students:
    • Requests first route through the appropriate Faculty Advisor.
    • If the request is linked to a foreign government-sponsored talent program, requests will then be routed to the H&S Senior Associate Dean.
    • All requests will then route to the COIC Manager for final review. 
  • For applicable staff:
    • Requests first route through the appropriate supervisor or principal investigator on their research.
    • Requests then route through Department Chair/Unit Director.
    • If the request is linked to a foreign government-sponsored talent program, requests will then be routed to the Dept Chair or Program Director, and then to the H&S Senior Associate Dean.
    • All requests then route to the COIC Manager for final review.