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Executive Summary

This report presents the recommendations of the Joint Academic Senate-Administration Committee on University Interaction with Industry. The Committee was appointed to address the increasingly numerous, varied, and complex interactions between UCSD and private, for-profit companies. The report recognizes that these interactions have many positive benefits and addresses many questions that arise about the appropriate nature and limits of these interactions.

Benefits

The Committee concluded that University-industry interactions can generate many benefits.

  • They contribute to economic development of the local region, the state, the nation, and the world.
  • They facilitate the more rapid commercialization of the results of University research in a highly competitive economic environment.
  • They enhance and broaden the education of the next generation of scientists and engineers and provide industry with access to highly skilled students who are better prepared for careers in industry.
  • They provide a source of interesting ideas and challenging problems for the University researchers to address and for University faculty to incorporate into course instruction.
  • The expand the opportunities for mutually beneficial collaboration between University and industry personnel.
  • They help finance research programs at the University.
  • They facilitate the University's active involvement as a trusted member of the local community.

Guiding Principles

The Committee identified several principles to guide UCSD's interactions with industry and the transfer of UCSD-created technology for the benefit of the public:

  • An open academic environment, including freedom to publish, is fundamental to the University.
  • Outside professional activities, including interactions with industry, are an appropriate form of public service as long as they do not interfere with other University responsibilities, especially responsibilities to students.
  • Conflicts of interest are to be disclosed to the University.
  • University facilities and resources are to be devoted to activities that support University teaching, research, and University and public service.

Recommendations

The Committee makes many recommendations to clarify and improve University policies and practices. Some of the major recommendations are summarized below:

  1. Conflict of Commitment

    • University policy on outside professional activities should be extended to part-time faculty, faculty on sabbatical leave, and Research Scientists/Scholars.
    • Definition of activities that are excluded and included in the one-day-a-week limit on outside professional activities are proposed.
    • The additional requirements and restrictions placed on faculty in the School of Medicine compensation plan are noted.

  2. Conflict of Interest

    The following threshold should serve as the maximum level of financial interest in a company a researcher or the researcher's immediate family may have (without an approved exception) to participate in a University activity that involves that company:

    • an annual income in excess of $10,000 from the company, or
    • equity interest of more than 5% or $10,000 in the company, or
    • management responsibility in the company.

    This standard for determining a Significant Financial Interest should be applied to the following actions:

    • Acceptance of contracts, grants, and gifts from companies in which the Principal Investigator has a financial interest.
    • Acceptance of UC grants whose industrial partner is a company in which the Principal Investigator has a financial interest.
    • Conducting clinical trials for companies in which the Principal Investigator has a financial interest.
    • Acceptance of federal contracts and grants whose Principal Investigator or other researcher has a financial interest related to the project.
    • Subcontracting of work by UCSD to a company in which the Principal Investigator or other researcher has a financial interest.
    • Employment of a graduate student or postdoc in a company in which the student's or postdoc's advisor has a financial interest.

  3. Involvement of Students and Postdoctoral Scholars

    • Graduate Council policy should be modified to include postdocs and provide that graduate students may not undertake graduate training in or carry out dissertation research in a company in which their dissertation adviser has a Significant Financial Interest.
    • Students and postdocs are encouraged to participate in a variety of industrially sponsored activities on and off campus.
    • Industrial representatives are encouraged to participate on campus in student and postdoctoral educational programs where appropriate.

  4. Intellectual Property Policies and Practices

    • Certain individuals should be exempted from signing the patent acknowledgement.
    • Authority for exempting individuals should be delegated to the campus.
    • Copyright policies and practices should be clarified.

  5. Appropriate Use of University Facilities for Industry-Related Purposes

    University policy should be modified to:

    • Permit the use of University facilities for industrial projects which are related to the academic mission of the unit in which the work is performed, are for research and testing purposes and not for direct production or manufacturing, provide for recovery of full costs, and comply at all times with University policies.
    • Clarify that University research facilities may not be used for outside consulting projects.
    • Provide that University recharge activities and service agreements may not be utilized by companies if the UCSD head of the activity has any financial interest or management responsibility in the company.
    • Clarify that certain policies on the use of University facilities do not apply to facilities such as the libraries and the San Diego Supercomputer Center which have as part of their mission service to outside users.

  6. Incubator Companies Housed at UCSD

    • An Incubator Company housed at UCSD is defined as a new company carrying out early development of advanced technology from University inventions housed in a UCSD building that also houses UCSD core academic functions, such as teaching and research.
    • All UCSD personnel involved with Incubator Companies should comply with all University policies.
    • Incubator Companies should comply with relevant University policies.
    • Space should be leased to Incubator Companies only to develop technology from a UCSD invention.
    • Incubator Companies should pay the full costs associated with use of University facilities.
    • Occupancy by an Incubator Company should be limited to an initial 12 months, with the possibility of up to two additional 6-month extensions.
    • An Incubator Company in which a UCSD employee has a Significant Financial Interest may be housed at UCSD subject to review and approval by the Conflict of Interest Committee.
    • A UCSD employee with a Significant Financial Interest in an Incubator Company will be required to reduce the per cent time of his or her UCSD appointment unless the employee clearly establishes that his or her time commitment is within the normal limitations allowed by University policy.
    • An Incubator Company should be required to disclose in confidence all inventions it makes to UCSD.
    • The planned Technology Development Center in the Department of Bioengineering should be subject to ongoing monitoring by its advisory committee and the Administration, an annual formal review by the proposed new Committee on University Interaction with Industry, and an in-depth evaluation with participation by the Academic Senate three years after the first Incubator Company begins residence at UCSD.

  7. Guidance to the UCSD Community about Appropriate University Interaction with Industry

    • A brochure and web site should be developed to guide and educate members of the UCSD community.
    • Informational meetings and training sessions should be given.
    • Specific individuals in schools, divisions, departments, and ORUs should be assigned responsibility for advising faculty, students, and postdocs.

  8. Facilitating Better Interaction and Communication with Industry

    • CONNECT and industrial affiliates programs should be further developed.
    • Databases describing UCSD research personnel and activities should be integrated and enhanced.
    • A brochure and web site should be developed for industry to guide them in interactions with UCSD.
    • UCSD review procedures should be streamlined.
    • Long-term associations between UCSD and industry managers and researchers should be encouraged.
    • One person in each dean's office should be assigned to advise companies and departments on university-industry interactions.

  9. Organizational Structure and Process for Oversight and Management of University Interaction with Industry

    • The current campus committees on conflict of interest and technology transfer should continue.
    • A new standing Committee on University Interaction with Industry should be established to provide oversight, coordination, further policy development, and monitoring of University interactions with industry.
    • Authority for making final decisions about various aspects of University interaction with industry should be clarified.

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