1. YNU
  2. Research
  3. Research Policy
  4. Conflict of Interests Management Policy

Conflict of Interests Management Policy

April 1, 2004

Partially revised on January 20, 2011

Partially revised on April 1, 2018

1. Purpose

Yokohama National University (YNU) seeks to make social contributions both to international and local communities, while fulfilling its main duty for promoting education and research.

As a form of social contribution expected for universities, YNU promotes to transfer research outcomes to industry and others, through Industry-university-government collaboration. In addition, it supports start-up companies, those use beneficial technologies developed by joint researches and/or contract researches at YNU.

In pursuit of partnerships with industry and governments, a conflict of interests or a conflict of responsibilities may irreversibly impair the fair and efficient research activities conducted by YNU, as well as by its faculty members and students. In particular, the issue takes more importance on fostering and supporting university-based startups. It also should consider in case of side businesses by faculty members.

Therefore, YNU has established the Conflict of Interests Management Policy (hereinafter called the "Policy") as a set of rules and attitudes that all university members must bear in mind to realize fair and efficient education and research activities, in order to achieve appropriate management in the University.

2. Definition of conflict of interests

A conflict of interests in the broad sense includes a narrowly defined conflict of interests and a conflict of responsibilities.

A conflict of interests in a narrow sense is a situation in which any interests of faculty members or YNU from their involvement in a partnership with industry or governments (e.g., license fee, payment for part-time assignments, and private equities) act against their professional responsibilities in conducting educational or research activities at YNU. The concept includes a personal conflict of interests, in which a faculty member's interests act against their responsibilities at YNU, and an organizational conflict of interests in which YNU's interests act against the social responsibilities of YNU. A conflict of responsibilities is a situation in which the professional responsibilities of faculty members towards YNU are incompatible with their professional responsibilities towards companies, and it is mainly associated with part-time assignments.

3. Basic approach to managing a conflict of interests

  1. The faculty members of YNU have a duty to encourage technology transfers as their social contributions, to the extent that it does not obstruct the educational and research activities by YNU.
  2. YNU encourages to transfer research outcomes and/or inventions toward industry, and encourages to promote startups creation. Toward this end, YNU tries to prevent conflicts of interests involving its employees, and it takes the necessary measures to address any conflicts that may emerge.
  3. Faculty members must avoid any conflicts of interests while they transfer technologies in collaboration with industry and governments. They must manage conflicts of interests even if their actions are considered to be legal. They should be guided by the principles to ensure the appropriateness of their choices in compliance with the rules established by YNU, to ensure that there are no doubts about YNU's fairness as an educational and research institute operated mainly with public funding.
  4. Conflicts of interests must be handled, on condition that educational and research activities benefit students.

4. Targets and criterion for managing conflicts of interests

  1. Targets
    Faculty members (including part-time employees)
  2. Criterion
    The basic criterion is whether a faculty member's choice casts doubts about YNU's fairness in conducting educational and research activities by putting their personal interests ahead of their professional responsibilities at YNU (conflicts of interests in the narrow sense), or by prioritizing time allocation for activities outside of YNU regardless of personal interests (conflicts of responsibilities).
  3. Mostly, the following activities may result in conflicts of interests:
    1. Part-time assignments (including technical guidance)
    2. Professional assignments involving payments, shareholding, and other economic interests
    3. Direct licensing of inventions by YNU faculty members to companies or other universities
    4. Participation in joint research or contract research
    5. External donations of money, equipment, or goods
    6. Offering the use of facilities or equipment by counterparts who offer any benefits in circumstances 1. through 5.
    7. Purchases of goods from counterparts who offer any benefits in circumstances 1. through 5.
    8. The actual or possible receipt of benefits in relation to research activities that are considered inappropriate under normal social conventions

5. Responsibilities of faculty members

  1. Faculty members must faithfully perform their professional responsibilities toward YNU during their working hours, unless otherwise set forth by other University rules.
  2. Faculty members may not misappropriate confidential information, gained during the performance of their professional assignments, in pursuit of their personal gain.
  3. Faculty members, who engage in activities classified as 3) in the above Section 4, must report this fact regardless of whether the activities are carried out during or outside of their working hours at YNU.

6. System for managing conflicts of interests

  1. Administrative tasks involving conflicts of responsibilities are handled by the Personnel and Labor Affairs Division in the General Planning Department that oversees the duties of faculty members, whereas administrative tasks involving narrowly defined conflicts of interests are handled by the Industry-University and Local Collaboration Division in Research and Academic Information Department.
  2. Administrative tasks involving conflicts of interests in the broad sense are handled by the Industry-University and Local Collaboration Division in the Research and Academic Information Department, in cooperation with the Personnel and Labor Affairs Division in the General Planning Department.
  3. Other aspects of the system for managing conflicts of interests are established separately.

7. Other matters

Other necessary matters related to conflicts of interests are established separately.

This Policy will be effective from April 1, 2004.

The revised Policy will be effective from January 20, 2011.

The revised Policy will be effective from April 1, 2018.

(Industry-university and Local Collaboration Division)