OPACS
Frequently Asked Questions about the Reporting and Certification Process
This page addresses possible questions about Stanford's requirement for annual reporting and certification related to outside professional activities and financial interests. If you have a technical question about the operation of the new Outside Professional Activities Certification System (OPACS), see the page which provides FAQs about this tool.
The answers on this page are intended to help in understanding how to respond to the questions on the annual reporting and certification form. These questions and answers are not a substitute for the policy. To understand what the policy requires in any particular situation, see the Background page and review the Tips for Managng Outside Professional Activities linked to this site. Additional information is also available on the Conflict of Interest Resource Page.
When in doubt about any particular set of circumstances, it is a good idea to submit a report. Answering "Yes" to a question, and explaining the circumstances, does NOT mean that you have done anything wrong - in fact, you may be reporting a positive event or relationship. Appropriate reporting can help to avoid serious difficulties for you and for Stanford.
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Why does the form ask me to name the companies for whom I consulted last year?
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I have a publishing contract. Is this an outside financial interest?
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I've been asked to sign a non-disclosure agreement. Is this against Stanford's policies?
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I consult for a company and want to ask one of my students to do some of the work. Is this OK?
- How does this application handle certifications from faculty members with joint appointments?
- I am an emeritus professor. Why am I being asked
to file this certification?
- I do research in a particular field, and I also consult
for Company X. They develop and manufacture products
using the science that I study. I receive no funding
for my Stanford research from Company X. Do I need
to report this consulting income on my annual certification?
- I have other questions about my particular circumstances. Whom should I contact?
Each school dean has authorized a senior administrator or administrators to monitor this reporting and certification process and to review submissions within that school. In the Schools of Engineering and Medicine, Department Chairs will review submissions from the faculty in their departments. Designated administrators in the Office of the Dean of Research may also review reports to ensure that this policy is implemented with reasonable consistency across the University and to tabulate data for University-level statistical reports. A very few other University offices have access to these reports for legal or auditing purposes, but will not normally review them.
2. Why does the form ask me to name the companies for whom I consulted last year?
Transparency with regard to external consulting relationships has value to the individual faculty member when questions about conflicts of interest are raised. Reporting of these relationships in a restricted-access database provides protection to individual faculty members by making it possible for Stanford to state, on behalf of the faculty member, that the relationship was reported in the annual review of outside professional activities.
Asking for this information also makes it clear that Stanford proactively seeks to identify situations in which a conflict may exist, thus avoiding the appearance of turning a blind eye to potential bias in the conduct of the University's academic mission.
In addition, various federal regulations require Stanford to obtain disclosures when an individual faculty member's financial relationships could reasonably appear to be related to his/her research program. Having a list of consulting relationships which produce income above a stated threshold helps the University to meet this obligation. (The School of Medicine does not use a threshold.)
Finally, maintaining information about faculty consulting relationships with companies in a restricted-access database is useful if concerns arise about a particular company's business practices. The database makes it possible to quickly determine how such an situation might impact our faculty or the University.
3. Why does Stanford care about stock that I own?
Stanford cares about a faculty member's external financial holdings only to the degree that such interests could introduce (or appear to introduce) bias in the performance of the faculty member's research, interfere in faculty-student relationships, or otherwise conflict with one's University responsibilities. In order to protect against such real or apparent conflicts, Stanford requires that each faculty member report, for example, on equity ownership in companies that have sponsored research, provided gift or other support for the faculty member's university activities, or with whom the faculty member has a technology licensing agreement or has initiated certain types of procurements. If there is no association between the company and any of the faculty member's Stanford activities, or if the equity is managed by a third party - for example, if it is held in a mutual fund - then the faculty member need not report on it.
4. I am occasionally asked to serve as an expert witness in legal proceedings and am compensated for that service. Does this count as consulting?
Since service as an expert witness does take time away from your primary responsibilities as a Stanford faculty member, if that service is compensated, the time devoted should be considered and reported as outside consulting. If the service is not compensated, it may fall under the definition of pro bono public service and therefore not qualify as outside consulting. Questions should be addressed to your cognizant dean's office (see Help page).
5. What is different about research sponsored by the NIH or the NSF? Why does this application ask whether I've submitted proposals to those agencies?
Those two federal agencies (the National Institutes of Health and the National Science Foundation) have their own regulations regarding the disclosure of financial interests by faculty of the universities which they fund. Stanford's first line in complying with these requirements is by means of questions asked on the University's proposal routing sheet, the SU-42 form. Go to the Background page for specific references.
6. I travel extensively to professional meetings and for other University-related purposes. How should I answer the question about "extended or frequent absences from campus"?
Stanford's policy in this regard acknowledges that standards for absence from campus vary across disciplines. The policy therefore refers you to your department chair or school dean for guidance as to what constitutes an acceptable amount of absence. If you have a question in this regard, you should discuss your concerns with your department chair, including consideration of the impact of your absence on other faculty and students. This annual reporting tool provides a way to document that you had that conversation.
7. I am writing a textbook. Should I disclose the use of University resources involved in this activity?
Stanford expects its faculty to be involved with scholarly publications including the writing of texts or journal articles. The use of University time and other resources for this purpose does not need to be disclosed. However, it is always appropriate to balance the commitment of time and effort across all of the different tasks that are part of a faculty member's responsibilities. If the textbook involved is not something that would normally be characterized as "pedagogical, scholarly or artistic work," then you may wish to discuss with your department chair or dean whether it is appropriate work to be done at Stanford.
The reporting form also asks about situations in which you may be producing distance learning materials (such as web-based courses). Such situations pose problems when the materials might be marketed by third-parties, and need to be reported here.
8. I have a publishing contract. Is this an outside financial interest?
It may be a financial interest, but it doesn't need to be disclosed unless there is a connection between your publisher and your other Stanford responsibilities, e.g., if you are authorizing the purchase of texts for your department, or if your publisher is supporting your research or funding your students.
9. I've been asked to sign a non-disclosure agreement. Is this against Stanford's policies?
Non-Disclosure Agreements (NDAs) may come up in the context of consulting work (and therefore fall generally outside of your Stanford responsibilities), or, less frequently, in the context of University research. Where the agreement concerns your Stanford research activity, Stanford may negotiate an NDA as long as it will not substantially limit the opportunity for others to be engaged in the intellectually significant portions of your research, and as long as it does not restrict the publications of your results (see Stanford's Openness in Research policy). The annual reporting and certification form asks you to disclose any such agreements that you have entered into on your own, without the involvement of appropriate University offices.
10. I consult for a company and want to ask one of my students to do some of the work. Is this OK?
This could lead to potentially serious conflicts, and you should therefore exercise caution. If you would like to give your students the opportunity to earn extra money by doing work for a company for whom you consult (or have any other relationship), you should seek advice from the individual in your school dean's office who deals with conflict disclosures. In other words, you are best advised to discuss this beforehand, not retrospectively on your annual report.
In any case, it must be clear that the work is not part of the student's academic responsibilities. Whether the student does, or does not, do the consulting work, and whether they do it well or not, must not interfere with the relationship between the teacher/advisor and student, nor with the student's academic progress. If your students, postdocs, or other staff were involved with your consulting work, or with any other outside entities with whom you have a relationship, this reporting and certification form asks you to disclose it, and to identify those at Stanford with whom you discussed those arrangements.
11. Stanford has licensed my invention to a company, and that company now wants to sponsor my research related to that technology. Is this a problem? What if the company wants to give one of my students a fellowship?
These kinds of relationships can present real conflicts of interest, and therefore require review ahead of time. They should be disclosed whenever they arise, by means of an ad hoc disclosure (do not wait to report them after-the-fact on your annual certification). One of the concerns to be guarded against is inappropriate access by a company to the results of work done at Stanford. For example, the fact that this company may wish to provide student support (fellowships or gifts) will not convey to the company any rights to ownership of property produced by the student.
12. I've already spoken with my dean about my consulting work. Do I need to report anything else about it here?
In cases where your consulting exceeded the amount allowed by policy (13 days per quarter for a full-time faculty member), you should report the amount and document here the discussion you had with your department chair or school dean. If the dean's office has already requested, and you have provided, a formal ad hoc disclosure regarding this consulting relationship, you can mention that here and do not need to report further.
13. This application asks about my outside interests and those of my immediate family. How should I define "immediate family"?
This application asks you to report potential financial conflicts on the part of your spouse or domestic partner, or members of your immediate family, such as parents or children.
14. How does OPACS handle certifications from faculty members with joint appointments?
Each faculty member's annual disclosure is filed in OPACS within the school where that faculty member holds his or her primary appointment. In the case of joint appointments, the disclosure should be copied to the non-primary department and school, and reviewed by both department chairs or Deans' offices.
15. What is an "ad hoc disclosure"? How does it differ from this annual OPACS disclosure, and when should I be concerned about filing one?
OPACS allows you to fulfill the University's requirements for all faculty members to (1) report annually on their prior academic year's outside professional activities and/or significant financial interests in outside organizations that support their University teaching or research programs, and (2) certify their compliance with Stanford's policies related to conflict of commitment and interest.
In addition, faculty are required to disclose, on an ad hoc basis, proposed relationships with outside entities that may lead to conflicts of interest. "Ad hoc disclosures" are called for whenever a current or prospective relationship (including submission of a proposal or acceptance of a gift) creates the potential for conflict of interest. For additional information on what situations require ad hoc disclosures, and how to file such a disclosure, see http://www.stanford.edu/dept/DoR/ad_hoc.html.
16. I am an emeritus professor. Why am I being asked to file this certification?
Emeritus faculty who were on active duty and engaged in research during the prior year will be asked to complete this certification. If you were recalled to active duty for research activities, whether paid by Stanford or not, you will be expected to complete this certification about your outside activities. When emeritus faculty are involved in the conduct or reporting of research, or with the guidance of students or staff in the conduct of research, outside professional activities can raise issues related to conflicts of interest, just as they would for any other faculty member.
17. I do research in a particular field, and I also consult for Company X. They develop and manufacture products using the science that I study. I receive no funding for my Stanford research from Company X. Do I need to report this consulting income on my annual certification?
Yes. Even though Company X does not fund your research, if they have products or research interests that could reasonably appear to be related to your Stanford research, they could have a financial interest in the results of your research, and you therefore need to report this outside activity to Stanford on your annual certification. In addition, after you file this certification, if Company X wants to sponsor your research, license a technology that you invented, or provide funding for one of your students, you would need to file an ad hoc disclosure with your school dean's office which will review the proposed relationship with company X to determine whether it can be permitted.
18. I have other questions about my particular circumstances. Whom should I contact?
Start by reviewing the text of Stanford's Faculty Policy on Conflict of Commitment and Interest (see Background page). The policy is detailed and explanatory, and may address your questions. After that, you should contact the individual in your school dean's office who handles this process (see the Help page for those names). Further questions may be referred to the Dean of Research Office (anngeo@stanford.edu).
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