CASE STUDY #1: S-CORE
DESCRIPTION OF EXTERNAL RELATIONSHIP
Dr.Sizzle, a professor in the Department of Communications Disorders, is the sole owner of a company called S-Core and holds an executive position with S-Core. He created this corporation to develop print materials for education of clients with hearing loss. S-Core plans to sell these materials to hearing-impaired individuals through a national distributor. S-Core was also created to apply for a patent for an electronic test which, if funded, will be developed and evaluated by a Small Business Technology Transfer (STTR) grant. The Office of Patents and Technology Marketing has waived their interest in the invention. Dr. Sizzle holds the patent. At the moment, Dr. Sizzle is listed as the Principal Investigator for the University's section of the grant. There is also at least one graduate student who will be working under Dr. Sizzle on this project, if it is funded.
AREAS OF POTENTIAL CONFLICT OF INTEREST
It is the Committee’s view that Dr. Sizzle’s position with S-Core is a potential conflict of interest under the following provision of the Regents Policy:
An employee or immediate family member holding an executive position in a business engaged in commercial or research activities directly related to the employee’s University responsibilities. Regents Policy on Financial or Business Conflict of Interest (June 8, 2001), art. 5, sec. III, subd. 2(b).
In addition, it is the Committee’s view that serving as Principal Investigator and assigning a graduate student on the technology research, of which Dr. Sizzle owns the patent and is the sole owner of the company, would be a potential conflict of interest under the following provisions of the Regents Policy:
An employee participating in clinical trials or evaluation or development of a technology, process, or product owned or controlled by a business in which the employee, an immediate family member, or an associated entity has financial or business interests.
An employee assigning students, postdoctoral fellows, or other trainees to projects supported by a business (through sponsored research or a contribution) in which the employee, an immediate family member, or an associated entity has a financial or business interest, other than royalty income or the entitlement to future royalty income under University royalty-sharing policies. Regents Policy on Financial or Business Conflict of Interest (June 8, 2001), art. 5, sec. III, subd. 1 (a and b).
The Committee is supportive of the potential benefits to be gained by Dr. Sizzle’s work and does not wish to see it marred by conflict claims that could arise internally or publicly.
Conflict Management Plan
Dr. Sizzle has created the following plan to minimize a potential conflict from occurring:
The Committee approves the above management plan with the following clarifications: