Research Compliance  /  Compliance  /  Conflicts of Interest and Commitment  /  Research Management Plans

Research Management Plans

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:

  1. Guidelines for Managing Conflicts of Interest provides a general overview of managing particular conflicts you may have with startup companies.
  2. Template for Research Management Plan (doc)
  3. Guidance for Developing Generic Research Management Plan for Research Sponsored by Non-Federal Entities
  4. Guidance for Developing a Research Management Plan for an SBIR or STTR Award
  5. Disclosure Form to Graduate Student or Postdoctoral Fellow Regarding Advisor Conflict of Interest (doc)
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