Managing Conflicts of Interest? The UCSD Experience
by: Robert C. Dynes
Chancellor, University of California, San Diego
Chancellor Dynes' talk elaborated on the ideas and issues outlined in the
following slides. Digital video of his
forum presentation is available.
Scenario 1
--Researcher has consulting agreement with a company and performs accordingly.
--During a consulting visit, the company mentions an interesting question; researcher
performs related experiment in university lab, using university students.
--Should researcher share the results of the lab experiment with his client?
Researcher's
consulting agreement conforms to university policy.
Researcher discloses
consulting agreement.
Students are free to
publish results of research.
Scenario 2
--Researcher makes an invention as a result of federally funded grant.
--Researcher starts his own company in his/her garage and secures license for his
invention.
--Researcher continues basic research at the university and works at his company.
--Should researcher's continuation federal grant be funded?
Researcher is a
full-time faculty member.
Invention was disclosed
to the university TT office.
Researcher's
family members staff the company; researcher is VP-Research at the
company.
In lieu of license
fees, researcher offers the university an equity stake in company.
Scenario 3
--Researcher is about to conduct clinical trials at the university; trials are
related to a product under development in a company in which researcher has substantial
stake.
--Researcher's work is being funded by a federal grant.
--Researcher holds position of Chief Scientist at the company and receives
consulting income.
--Should researcher be allowed to conduct trials?
Researcher's
relationship with the company is public.
Product promises
significant, long-awaited benefits to the public.
What Conflict?
--Ethics in the Research Environment
--Individual versus Institutional Conflicts of Interest
--Actual versus Perceived Conflicts of Interest
An Overview of COI Activity
--An Historical Perspective
--Why Have Things Changed?
--Public Perceptions
UCSD Model
--Philosophy & Principles
UCSD Practice
--Independent Review Committee (IRC)
Faculty Involvement
Administrative
Oversight
Management Strategies
--Negotiated strategies include:
Consulting agreement
appropriately structured
PI required to resign
from management or scientific advisory board
PI required to divest
equity holdings
Find another PI to
manage the project
--Charge ad hoc panels for ongoing monitoring
Ad Hoc Panels
--Charge
--Number
--Monitoring Activities
A Look at the Numbers
|
FY90 |
|
FY97 |
|
FY99 |
|
|
No. of Dollars |
Awards |
No. of Dollars |
Awards |
No. of Dollars |
Awards |
| Total |
1,721 |
240.6 |
2,125 |
351.4 |
2,493 |
446.1 |
| DHHS |
540 |
102.6 |
525 |
134.0 |
556 |
166.0 |
| NSF |
279 |
29.7 |
307 |
48.1 |
378 |
89.8 |
| Industrial |
69 |
8.2 |
320 |
29.7 |
455 |
40.3 |
|
|
|
|
|
|
|
|
FY90 |
FY97 |
FY99 |
| Disclosures |
333* |
1,669 |
2,090 |
| Positives |
35 |
123 |
148 |
| % Positive |
10.5% |
7.4% |
7.1% |
| *Represents industrial only; federal disclosure
requirement was not implemented until October 1995 |
The Future
--Increased complexity & uncertainty
--Redoubled efforts to refine polices and practices
--Ongoing scrutiny from the public
Entrepreneurial scientists overcome conflict issues
Final slide was an article by this title from the San Diego Union-Tribune
(October 29, 2000).
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