Academia Sinica
Principle of Avoiding and Managing Conflicts of Interests in
Technology Transfer
Promulgated by Office of Public Affairs No.1010506126 on August 14, 2012
Amended and Promulgated by Office of Public Affairs No.1020502042 on March 20, 2013
1.
The research and development result management committee ("Management
Committee") of the Academia Sinica ("Academy") establishes this Principle in
accordance with Subparagraph5, Paragraph2, Article 3 of Academia Sinica Regulations
for Ownership and Utilization of Scientific and Technological Research and
Development Achievements.
2.
Technology transfer under this Principle shall mean the licensing to enterprises to use
scientific and technological research outcomes or the assignment of such outcomes to
enterprises for industrial exploitation, including provision of technical services or
materials.
3.
I. The parties under this Principle shall mean creators of research outcomes and
persons in charge of or deciding technology transfers.
II. The affiliates of a party under this Principle shall include the following people:
(1) The party's spouse or family members living with the party.
(2) The party's relatives within the second degree of kinship.
(3) Trustees who are trusted by the party or his/her spouse with property
management.
(4) A recipient of technology transfer from the Academy at which the party or any
person under Subparagraph (1) or (2) is the representative, or a director,
supervisor, or managerial officer; but where the party or the person is assigned
by the government or the Academy to the above post, other laws or regulations
shall apply.
4.
I.
The interests under this Principle include proprietary interests and non-proprietary
interests.
II. Proprietary interests shall refer to interests in the following property:
(1) Personal property and real estate.
(2) Cash, deposits, foreign currencies, and marketable securities.
(3) Creditor's rights or other proprietary interests.
(4) Other interests having economical values or acquirable through monetary
transactions.
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III. Non-proprietary interests refer to appointments, promotions, job transfers and other
personnel measures in favor of a party or any of his/her affiliates at the Academy
or an enterprise receiving a technology transfer from the Academy.
5.
The term "conflicts of interest" under this Principle refers to any situations that allow a
party or any of his/her affiliates to directly or indirectly gain interests through any act
or omission of the party in the course of performing his/her official duties.
6.
I. When a party conduct a technology transfer, he/she shall disclose situations in
which conflicts of interests may occur.
II.
Interests to be disclosed under the preceding paragraph and the method of
disclosing such interests shall be stipulated by the Management Committee.
III. A party or his/her affiliate shall recuse himself/herself or have his/her affiliate
concerned recuse himself/herself as soon as the party is aware of a conflict of
interest.
IV. If the Management Committee determines that a party should recuse
himself/herself under any of the following situations, the Committee shall submit
its advice on how to handle such situation to the President of the Academy for
approval:
(1) A party is aware that he/she or any of his/her affiliates is likely to be involved in
a conflict of interests in a technology transfer, and reports the conflict to the
Management Committee; and the Management Committee determines that the
party or the affiliate shall recuse himself/herself.
(2) A party fails to recuse himself/herself or reports the conflict to the Management
Committee, while the Management Committee determines that the party or the
affiliate shall recuse himself/herself.
7.
Unless otherwise provided in laws or regulations, or contracts, or the consent of the
Management Committee has been granted, a party or any of his/her affiliates shall not
personally provide any technological research outcomes of the Academy to any
enterprise or participate in the preparatory incorporation of a profit-seeking enterprise.
8.
Where a party or any of his/her affiliates is in charge of or decides a technology
transfer, within two years of the signing of the technology transfer contract, he/she
shall not invest in the enterprise that accepts the technology transfer, unless the
enterprise taking the transfer is listed in a stock exchange or an over-the-counter
market.
9.
This Principle or any revision thereof shall come into practice as soon as it is passed at
a General Assembly of the Academy and promulgated by the President of the
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Academy.
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