2006 Lab of the Year -R&D Magazine Arizona’s First Platinum LEED Certification: August 2007

1. The Biodesign Institute at Arizona State University Presentation to Brian and Kelly Swette February 25, 2008 2006 Lab of the Year -R&D Magazine Arizona’s First Platinum LEED Certification: August 2007 -U.S. Green Building Council

2. Conduct of Research: On Living a Conflicted Life

3. The Story So one day a colleague of mine, Stephen Johnston, had an idea… He thought of a way to take a picture of the immune system This was a pretty cool idea, so a number of us started to help him… Brain Cancer Normal Eventually, it became clear that this had the potential to be a comprehensive diagnostic system

4. The IP Thickens… The idea gets disclosed to AzTE A provisional patent is filed Meanwhile research goes on and it looks better and better… Valley Fever Breast Cancer Influenza

5. Reality Strikes But how do you make lots of these test systems exactly the same, really cheaply and really fast? Enter JJ Rajasekaran, our masked hero (well, I think that is JJ) JJ figures out how to make the diagnostic test systems using an electronics fabrication system on silicon wafers… and a company is born  HealthTell, LLC

6. Let the Conflict Begin! Neal, Stephen and JJ are co-founders and have financial interest in the company. Stephen and Neal remain ASU professors. Potential conflicts abound… • Being a professor and a HealthTell officer • Doing related research • Being involved in ASU administration • Ordering materials from HealthTell for research • Writing grants that use HealthTell technology • Negotiating with AzTE on a license • Deciding how state funds should be spent • Managing IP (what belongs to whom?)

7. Managing the Conflicts: Who am I? HealthTell The Hat Game… ASU Inevitably, you will find yourself in situations where you are wearing more than one hat. What now?

8. Managing the Conflicts: Guiding Principles Two things seem paramount: • Transparency: disclose now, disclose often • Oversight: enlist appropriate conflict management

9. Managing the Conflicts: Disclosure • Start with Debra Murphy’s Office: • What is your company involvement? • How is related research funded? • How are research decisions made? • What IP is involved? • How does your ASU research influence the company?

10. Arizona State University • Investigator’s Disclosure of Financial Interest Form I • You have filed an “Annual Objectivity in Research Questionnaire” that indicates a possible financial conflict of interest in connection with your sponsored projects activity. Federal regulations and University policy require an independent review of all disclosures. This addendum will provide necessary information for that review, although you are encouraged to provide any other information that you believe is important. • Please complete a separate copy of this Form I for each different commercial or private entity referred to in your “Annual Objectivity in Research Questionnaire.” Once you have completed the necessary form(s), please send a copy of each to the Office of Research Integrity and Assurance, campus mail code 1103. • If your interest under this disclosure is deemed to be a potential or real conflict of interest, you will be asked to submit RSP 206 Investigator’s Disclosure of Financial Interest Form II.” • Disclosure of Financial Interest • Investigator Name: Neal Woodbury • Department: The Biodesign Institute and Chemistry and Biochemistry • Date: 2/28/2010 • Commercial or Private Entity • Name: HealthTell, LLC • Address: 2053 E Loma Vista Dr., Tempe, AZ 85282 • Contact Name: Neal Woodbury • What is the specific nature of your financial interest in the commercial or private entity? Include any investment or other income received within the last 12 months by you, your spouse or domestic partner, dependent child(ren) and any other family members living in your household. Please indicate the specific interest(s) from Consulting fees, Honoraria, Stocks(1), Stock Options(2), Gifts of $50.00 or more, Salary, Per diem, Dividends, Other. Indicate cumulative amounts, and identify the title holder/recipient. Do not include any interest in any payments directly by the University or in any funds held by the University to make payments in the future. You may attach additional pages to support your response.

11. Managing the Conflicts: Oversight • You need a conflict manager: • Someone whose job status you do not control • Someone that understands your general area • Someone that wants this to work! • Someone with the authority to make decisions you can’t • Someone who understand conflict of interest In my case, as CSO of Biodesign, the obvious person is Alan Nelson • He understands the research area • He has run a company based on university IP • He can make decisions that I must recuse myself from • Alan & Biodesign win if the HealthTell/ASU relationship succeeds

12. Final Thoughts • Don’t try to avoid or conceal conflict, just manage it openly • Be creative… always look for the win/win • Remember, translation is one of ASU’s goals as well as yours