國立臺灣大學技術移轉利益衝突處理要點NATIONAL TAIWAN UNIVERSITY Directives for Handling Conflicts of Interest in Technology Transfers
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[Promulgated on March 14, 2024]
NATIONAL TAIWAN UNIVERSITY
Directives for Handling Conflicts of Interest in Technology Transfers
June 03, 2014 Passed by the 2,814th Administrative Meeting
December 11, 2018 Passed by the 2,023rd Administrative Meeting
October 31, 2023 Passed by the 3,157th Administrative Meeting
December 01, 2023 Promulgation of all amended articles
January 16, 2024 Passed by the 1st Recusal Review Committee Meeting of 2024
February 18, 2024 Passed by the 3,163rd Administrative Meeting
March 14, 2024 Promulgation of amended Articles 1 through 4, 6 and 7
Article 1 National Taiwan University (NTU or “the University”) Recusal Review Committee (“the Committee”) formulates the NTU Directives for Handling Conflicts of Interest in Technology Transfers (“the Directives”) in accordance with the Government Scientific and Technological Research and Development Results Ownership and Utilization Regulation in order to handle matters concerning the review of conflict-of-interest recusal and information disclosure pertaining to the University's technology transfers.
Article 2 “Technology transfer” herein shall refer to the licensing or transfer, for industrial use, of the University's achievements in technological research and development (including intellectual property rights) to government agencies, enterprises, civil society organizations, and academic institutions (hereafter “collaborating partners”), as well as the provision of technological services or materials.
Article 3 “Involved Parties” herein shall refer to persons responsible for the conception and undertaking of technological research and development results, as well as persons responsible for the deliberation and authorization of the relevant technology transfer.
“Related Parties” herein shall refer to the following:
1. Spouses of or family members residing with the Involved Parties
2. Relatives of Involved Parties within the second degree of kinship
3. Trustees of property entrusted by Involved Parties or their spouses
4. Collaborating Partners of the University’s technology transfer for which the Involved Parties or persons listed in Subparagraphs 1 and 2 above serve as a responsible party, director, supervisor, or senior manager
Article 4 “Interest” herein shall refer to both property and non-property interests.
Property interests shall refer to the following:
1. Personal and real property
2. Cash, deposits, foreign currency, and securities
3. Claims of obligations or other proprietary rights
4. Other interests with economic value or interests acquired through monetary transactions
Non-property interests shall refer to the interests acquired by Involved Parties or Related Parties who are serving or consulting at a Collaborating Partner, or who have entered into an industry-academia collaboration or another technology transfer agreement with a Collaborating Partner.
In the event that a funding agency has other regulations governing the matters prescribed in the preceding two Paragraphs, said regulations shall prevail.
Article 5 “Conflict of interest” herein shall refer to situations in which Involved Parties or Related Parties may benefit, whether directly or indirectly, from the Involved Parties' action or inaction when performing a technology transfer agreement.
Article 6 Involved Parties shall fully disclose any potential conflicts of interest when performing a technology transfer agreement. All Involved Parties shall voluntarily disclose all instances within the past year in which they or Related Parties have received, from Collaborating Partners, property interests with a total value exceeding NT$ 150,000, or circumstances in which they or Related Parties were in possession of more than 5% of a Collaborating Partner’s shares.
Article 7 In the event of a conflict of interest concerning Involved Parties or Related Parties, the former shall recuse themselves or ask the latter to do so, and may not participate in negotiations relating to the revenue derived from any relevant licensing activities. Involved Parties and Related Parties who fail to recuse themselves when deemed necessary shall be dealt with in accordance with Article 10 herein.
Article 8 Any personal data disclosed by an Involved Party in accordance with the Directives shall only be used by the Committee for the resolution of conflicts of interest relating to technology transfers. Such data shall be protected in accordance with the Personal Data Protection Act.
Article 9 The Committee shall organize appropriate training programs to facilitate NTU faculty and staff in enhancing their knowledge and understanding of conflict-of-interest recusal and information disclosure pertaining to technology transfers.
Article 10 In the event that an Involved Party or Related Party has potentially violated the stipulations herein, the case shall be forwarded to the Committee for deliberation, and the Involved Party shall be required to provide a statement in relation to the case.
In the event that an Involved Party is deemed by the Committee to have violated the stipulations herein, the case may be reported internally by the University.
In the event that Involved Parties or Related Parties violate the stipulations herein, the Involved Parties shall undertake all resulting legal liabilities.
Article 11 The Committee shall periodically publish the number and results of conflict-of-interest review cases on the website of the Center of Industry-Academia Collaboration, Office of Research and Development.
Cases involving a violation of the Directives shall be reported internally by the unit handling the technology transfer in question. The University may make an external report to a relevant agency in the event of a proven serious violation of the Directives.
Article 12 The Directives shall be passed by the Committee and the Administrative Meeting and then implemented on the date of promulgation.
