Conflicts of Interest and Commitment

Requirements for Disclosing and Avoiding Conflicts of Interest

Conflicts of interest occur when employee outside activities could influence their professional conduct, including allocation of time and energy, due to considerations of personal gain (financial or otherwise).  SLAC employees are subject to applicable Stanford University policies on disclosing and avoiding conflicts of interest, as supplemented by DOE requirements. In addition to these policies, SLAC employees must obtain approval from SLAC management and the SLAC Director before starting certain outside employment or outside professional engagements as discussed in Section II.

In addition, University and DOE policies on conflict of interest generally prohibit of the following situations:

  • Use of privileged or proprietary information for personal gain or other unauthorized purposes
  • Use of SLAC or University-supported work, products, results, materials, property records, or information without authorization
  • Defining contract terms or specifications, obtaining procurement sensitive information, or serving as an evaluator or initiator relating to a requisition in which the employee has a personal interest
  • Acceptance (or giving) of gratuities or special favors from (or to) the DOE or private organizations or individuals with which SLAC or the University conducts business
  • Direct participation in career-related decisions of a relative, spouse, or member of one’s household who is also a SLAC employee
  • Current, future, or expected participation in a Foreign Government Talent Recruitment Program of a Foreign Country of Risk, or in a Foreign Government or Entity Sponsored or Affiliated Activity of a Foreign Country of Risk (for more information, please see DOE Definition of "Foreign Country of Risk" and Attachment 1- DOE Order 486.1A (SLAC login required))
  • Non-compliance with or performance of work outside the parameters of other sponsor disclosure requirements, if applicable to the employee's work

SLAC/DOE requirements are in addition to Stanford requirements and in some ways are more stringent than Stanford requirements. SLAC/DOE requirements apply to all SLAC faculty and staff, Stanford/SLAC joint appointments, principal investigators (PIs) for SLAC/DOE projects, and Stanford faculty who receive funding through SLAC/DOE.

For more information, please see SLAC Guidelines for Avoiding Personal Conflicts of Interest and Frequently Asked Questions (SLAC login required).

 

Required Disclosure and Pre-Approval of Concurrent Employment or Professional Engagement

Concurrent outside employment or professional engagements can raise conflict of interest and conflict of commitment concerns.  SLAC employees who wish to engage in concurrent outside employment or a professional engagement must obtain pre-approval from their managers and the SLAC Director (or designee) before engaging in outside employment and professional engagements (including acquiring a significant financial interest in a firm) and demonstrate that the work poses no conflict of interest or commitment.  

To request pre-approval, go to your Outside Professional Activities Certification System (OPACS) Dashboard and “Add/Modify/Inactivate Outside Relationship.” New hires can access OPACS once assigned a SUNet ID; before then, be sure to discuss desired concurrent outside employment or professional engagements with the hiring manager, as pre-approval is required. Following pre-approval, approval is needed each year.

Before proceeding with concurrent outside employment or a professional engagement:

Stanford faculty working at SLAC are also subject to guidelines for outside consulting/engagements provided for in the Stanford Research Policy Handbook.

Please email conflictsofinterest@slac.stanford.edu with any questions.

Further Information

The following types of activities require pre-approval: 

  • Employment, consulting, compensation (whether monetary or in-kind), or a leadership position with an organization.
  • Accepting or acquiring a significant ownership stake in an outside entity with which SLAC may do business or currently does business (defined as greater than or equal to a 5% share).
  • Service on science advisory boards when outside of SLAC duties.
  • Service on a board of directors (including for a nonprofit organization).
  • Honorary titles (without compensation) at a university if the university is a not a U.S. entity and/or is located outside the U.S.
  • Work for which the employee is responsible for the operation or oversight of an organization or company.
  • Work involving an entity with which SLAC does business or has the potential to do business (e.g., licensing, sponsored research, collaborations, and subcontracts).
  • Outside work or consulting that is in a subject area related to the employee’s SLAC work.
  • Outside work paid by federal funds and/or another national laboratory. 
  • Any other work with the potential to interfere with SLAC employment obligations.

 

The following types of activities generally do not require pre-approval, provided that they do not interfere with SLAC employment obligations:

  • Work within the scope of and as part of the employee’s SLAC duties.
  • Commenting on publications by collaborators in the employee’s field of expertise (without compensation or titles).
  • Faculty serving as an editor on a journal that is closely related to the faculty role (unless the faculty member receives compensation for work on the journal from a non-U.S. entity, in which case the activity must be disclosed and reviewed for approval). 
  • Volunteer community service for a school, church, or youth sports team.
  • Part-time work entirely unrelated to work at SLAC, such as housecleaning, babysitting, restaurant server, etc.

Please email conflictsofinterest@slac.stanford.edu with any questions.

There are a number of criteria governing concurrent employment and professional engagements. For example, employees generally may not:

  • Sacrifice, hamper, or impede their normal duties at SLAC.
  • Perform work for the outside entity on SLAC work time or using Stanford, SLAC, and/or DOE resources or property (including, for example, SLAC email, computers, network, copiers, phones, etc.).
  • Serve as a principal investigator (PI) or any other participant (compensated or uncompensated) in a proposal to DOE that is submitted by the outside entity.
  • Perform work at SLAC that overlaps with work the employee performs for the outside entity. To the extent the employee performs technical work at SLAC and for the outside entity, the employee shall not perform similar technical work without prior written approval of SLAC.
  • Perform duties at SLAC that involve them in any way with the outside entity. For example, the employee may not enter into a Nondisclosure Agreement (NDA) with the outside entity on behalf of SLAC. As another example, the employee may not recommend the outside entity as a vendor/supplier for SLAC or Stanford, or direct SLAC/Stanford procurements to the outside entity.
  • Advise the outside entity on a proposal for which SLAC and/or Stanford qualifies or a proposal for which the employee is also advising DOE.
  • Perform work on behalf of both SLAC/Stanford and the outside entity pursuant to a proposal or other collaboration between SLAC/Stanford and the entity.
  • Use their position at SLAC to provide an unfair competitive advantage to the outside entity, such as:
    • advising the outside entity regarding preparation of a bid, offer, or unsolicited proposal to SLAC,
    • using work performed as a SLAC employee for the benefit of the outside entity, or
    • sharing non-published information generated at SLAC with the outside entity.
  • Participate in a Foreign Government Talent Recruitment Program of a Foreign Country of Risk, or in a Foreign Government or Entity Sponsored or Affiliated Activity of a Foreign Country of Risk (for more information, please see DOE Definition of a Foreign Country of Risk and Attachment 1 - DOE Order 486.1A  (SLAC login required). DOE Order 486.1A Frequently Asked Questions also contains good information.
  • Work for another DOE national laboratory (this is generally impermissible consulting; the work should be done through an MPO/Memorandum Purchase Order to SLAC).
  • Appear to subject DOE or SLAC to public criticism or embarrassment. 

Additional considerations include (but are not limited to):

  • Avoidance of unfair competitive advantage for the outside firm/entity;
  • Separation of SLAC and private interests;
  • Protection of information not yet in the public domain;
  • Non-competition with SLAC projects (e.g., no conflict between the scope of work for the entity and current or future SLAC research activities; the work for the entity is not work that SLAC could be performing; etc.); and
  • Prohibition against the use of SLAC facilities, equipment, or work time for any purpose other than official SLAC business.

The Checklist for Review of Proposed Outside Activity can be used to help assess a proposed outside activity.

Please email conflictsofinterest@slac.stanford.edu with any questions.

If it appears that the outside activity may create a conflict of interest, the activity may be prohibited entirely. In some cases, the activity may be permitted to a limited extent, subject to a management plan and/or subject to DOE review and approval. The following are examples of activities that may be prohibited, may be permitted subject to a management plan, or may require DOE review and approval:

  • The outside activity is related to the employee’s Stanford/SLAC research (work for Stanford/SLAC must be separable from any work the outside entity may be doing).
  • The outside entity is funding the employee’s Stanford/SLAC research.
  • The outside entity is providing data, material, a device, or licensed technology for use in Stanford/SLAC research.
  • The employee’s Stanford/SLAC work could benefit the outside entity.
  • The employee is listed on a SLAC proposal involving the outside entity.
  • Technology is being licensed to or from an entity in which the employee has an interest. Per the prime contract, prior to any assignment, exclusive licensing, or option for exclusive licensing of SLAC/DOE-funded intellectual property to conflicted individuals or entities, SLAC must evaluate such proposed assignment, license, or option, and DOE review and approval is required. In many such cases, a management plan will also be required, if the proposed assignment, license, or option is deemed permissible.
  • The employee's Stanford/SLAC research/work could benefit or affect the outside entity or could be benefitted or affected by the outside entity. 
  • The outside entity has a current or prospective business relationship with SLAC (e.g., an option or license, a provider of goods or services, or a sponsor of research).

Please email conflictsofinterest@slac.stanford.edu with any questions.

If you are approved to work with an outside entity, the entity may require that you sign a Nondisclosure Agreement (NDA) and/or consulting agreement. Please be advised:

  • SLAC Legal cannot provide you with legal advice regarding the NDA or consulting agreement.
  • You are encouraged to review any such agreement to be sure that it will not prevent or limit your work at Stanford/SLAC. For example, the agreement may specify that you cannot work for a competitor. You may want to consult with your own personal attorney, at your own expense, before entering into any such agreement. 
  • For Faculty, the Stanford Addendum must be attached to any outside consulting agreement you sign, in accordance with University Policy (see Research Policy Handbook 4.3). 

Please email conflictsofinterest@slac.stanford.edu with any questions.

SLAC faculty should also consult the Stanford University Faculty Handbook, Chapter 2, Section 2.7.8 Close Relatives of the Faculty.

Please email conflictsofinterest@slac.stanford.edu with any questions.