Disclosure is the first important step in managing conflicts of interest. A determination of a perceived or potential conflict of interest will require a researcher to manage or mitigate the conflict before proceeding with the research. The following guidance documents are provided to aid the Caltech researcher in developing a research management plan which contemplates all of the areas in which a perceived or potential conflict of interest may impact the project. These guidance documents can be particularly helpful in situations where a faculty member or his/her department receives research support from a business in which the faculty member or immediate family member has a financial or business interest. Two sets of guidance are provided:
- Guidelines for Managing Conflicts of Interest provides a general overview of managing particular conflicts you may have with startup companies.
- Template for Research Management Plan (doc)
- Guidance for Developing Generic Research Management Plan for Research Sponsored by Non-Federal Entities
- Guidance for Developing a Research Management Plan for an SBIR or STTR Award
- Disclosure Form to Graduate Student or Postdoctoral Fellow Regarding Advisor Conflict of Interest (doc)