Amened on 0314,2024. To be updated soon.

[Promulgated on December 20, 2018]

NATIONAL TAIWAN UNIVERSITY
Directives for Handling Conflicts of Interest in Technology Transfers

           June 03, 2014     Passed by the 2,814^th Administrative Meeting

December 11, 2018     Amended and passed by the 3,023^rd Administrative Meeting

Article 1     The National Taiwan University (NTU or “the University”) Conflict of Interest Avoidance Review Committee (“the Committee”) formulates the NTU Directives for Handling Conflicts of Interest in Technology Transfers (“the Directives”) in accordance with Article 11, Paragraph 1 of the University’s Directives for the Management of Research and Development Results and Technology Transfers to review the disclosure and conflict of interest.

Article 2     The Committee may exempt an involved party from recusal after reviewing the relevant conflict(s) of interest in accordance with the Directives and ensuring the protection of the University’s interests.

Article 3     A “technology transfer” herein shall refer to the licensing or transfer of technological research and development results (intellectual property included) belonging to the University for industrial use; this includes the provision of technological services or materials.

Article 4     “The involved parties” herein shall refer to inventors and undertakers of research and development results as well as persons who authorize the technology transfers of said research and development results; “The parties related to the involved parties” shall refer to the following:

1.  Spouses of the involved parties or family members domiciled with the involved parties

2.  Relatives of the involved parties within the second degree of kinship

3.  Trustees of property entrusted by the involved parties or their spouses

4.  Transferee(s) of the technology transfer from the University for which the involved parties or persons listed in Subparagraphs 1 and 2 herein serve as a responsible person, director, supervisor, or senior manager; however, other laws and regulations shall apply if the involved parties are appointed to the aforementioned positions by the government or the University.

Article 5     “Interest” herein shall include property and non-property interests.

Property interests shall refer to the following:

·      Personal and real property

·      Cash, deposits, foreign currency, and securities

·      Claims of obligations or other proprietary rights

·      Other interests with economic value or interests acquired through monetary transactions

Non-property interests shall refer to the interests of the involved parties or their related parties who have an employment or consulting relationship with a transferee company of the University’s technology transfers, or who have entered into an industry-academia collaboration or another technology transfer agreement with a licensed company.

Article 6     A “conflict of interest” herein shall refer to situations in which the involved parties or their related parties may benefit, whether directly or indirectly, from the involved parties’ action or inaction when performing a technology transfer agreement.

Article 7     When performing a technology transfer agreement, the inventors of research and development results shall fully disclose any potential conflicts of interest.

The manner of the aforementioned disclosure and the types of interest to be disclosed shall be established separately by the Committee.

In the event of a conflict of interest involving the involved parties or their related parties, the former shall recuse themselves or ask the latter to do so.

Involved parties with potential conflicts of interest or whose recusal is deemed necessary by the Committee may not participate in negotiations regarding the transfer of technologies arising from research and development results.

Article 8     Any personal data disclosed by an involved party in accordance with the Directives shall only be used for the scope defined herein, and such data shall be protected in accordance with the Personal Data Protection Act.

Article 9     The Committee shall be responsible for the internal control over matters related to the handling of conflicts of interest and the disclosure of relevant information as stipulated herein.

Article 10   The Committee shall organize appropriate training programs to help NTU personnel improve their knowledge and understanding of the conflicts of interest and recusal of involved parties, as well as information disclosure.

Article 11    Inventors, undertakers, and authorizers who violate the Directives in the execution of a technology transfer shall undertake all administrative and legal liabilities resulting therefrom.

Article 12   The Committee shall periodically publish the number and results of the conflict of interest review cases on the Office of Research and Development–Center of Industry-Academia Collaboration website.

Cases that violate the Directives shall be reported internally by the unit handling the technology transfer in question. The University may report a case externally to the competent authorities if the Committee identifies serious violations of the Directives.

Article 13   Unless otherwise required by applicable laws, regulations, or contracts or consented by the University, involved parties and their related parties may not provide the University’s research and development results to any businesses or participate in the incorporation of any for-profit undertakings.

Article 14   The Directives shall be passed by the Committee and the Administrative Meeting and then implemented on the date of promulgation.