of Time Commitment
||1.||Attempts to balance
University responsibilities with external activities, such as,
but not limited to, consulting, public service or pro bono work,
can result in real or apparent conflicts regarding commitment of
time and effort. Whenever a faculty or staff member’s external
activities exceed reasonable time limits, or whenever an
unclassified staff or faculty member’s primary professional
responsibility is not to the University, a conflict of time
|2.||Conflicts of commitment
usually involve issues of time allocation. Faculty members and
unclassified staff of state universities owe their primary
professional responsibility to their employing university, and
their primary commitment of time and intellectual effort must be
to the education, service, research and scholarship missions of
that university. Faculty and unclassified staff should maintain
a presence on campus commensurate with their appointments. The
specific responsibilities, position requirements, employment
obligations and professional activities that constitute an
appropriate and primary commitment of time will differ across
schools and departments, but said responsibilities,
requirements, obligations and activities should be initially
premised on a general understanding of full-time commitment for
full-time faculty or unclassified staff of the University.
Exceptions must be justified and shown to enhance the
|1.||A conflict of interest occurs when there is a divergence between
an individual’s private, personal relationships or interests and
his/her professional obligations to the university or to the
objectivity of research, such that an independent observer might
reasonably question whether the individual’s professional actions
or decisions are determined or substantially influenced by
considerations of personal benefit, gain or advantage.
||In addition, and without limiting
the foregoing definition of conflicts of interest, conflicts of
interest related to research that are in whole or part funded by
PHS-funded grant, cooperative agreement or contract, are referred
to in this policy as Financial Conflicts of Interest (“FCOI” or
“FCOIs”). FCOIs are types of “conflicts of interest” referenced in
this policy, and are distinguished from the more general conflicts
of interest only where necessary based on applicable regulations.
FCOIs exist where an Investigator’s significant financial interest
(“SFI”) could directly and significantly affect the design,
conduct, or reporting of PHS-funded research.
||Significant financial interests, or
SFIs, as used in this policy, may also exist, even though not
pertaining to PHS-funded research, when a faculty or unclassified
staff member holds greater than $10,000 or more than 5% ownership
in a company, in accordance with the Regents’ policy.
||An Investigator’s “institutional
responsibilities” include his or her professional responsibilities
on behalf of Wichita State University, including without
limitation, research, consultation, teaching, directed or
non-directed service, professional practice, institutional
committee memberships, service on panels such as institutional
review boards or data and safety monitoring boards, and other
administrative/programmatic service committees or panels.
||Whether a conflict of interest or
the appearance of one exists, depends on the situation and
foregoing guidelines and definitions, not on the character or
actions of the individual, and must be determined on a
case-by-case basis. The appearance of a conflict of interest can
be as damaging or detrimental as an actual conflict and thus, for
purposes of this policy, perceived and potential conflicts are
treated the same as actual conflicts. Whether or not a conflict of
interest exists is determined according to the process set forth
in Part D and Part E.
||Situations involving potential
conflicts of interest are not uncommon in a modern university and
must be addressed. State universities have as part of their
mission the promotion of the public good by fostering the transfer
of knowledge gained through university research and scholarship to
the private sector. Two important means of accomplishing this
institutional mission include consulting and the commercialization
of technologies derived from research. It is generally appropriate
that university personnel be rewarded for participating in these
activities through consulting fees and sharing in royalties
resulting from the commercialization of their work, but such is
subject to the mandates of the aforementioned federal regulations.
It is not appropriate, however, for an individual’s actions or
decisions made in the course of his or her university activities
and/or in PHS-funded research to be determined or substantially
influenced by considerations of personal financial gain and/or
SFIs. Such behavior calls into question the professional
objectivity of the decisions and research, as well as the ethics
of the individual. It also reflects negatively on the employing
university. State universities are institutions of public trust;
faculty and unclassified staff, as well as any other Investigator,
must respect that status and conduct their affairs in ways that
will not compromise the integrity of the university or the
objectivity of PHS-funded research.
||Except in purely incidental ways,
University resources, including but not limited to facilities,
materials, personnel, or equipment, may not be used in external
activities unless prior written approval has been received from
the University’s chief executive officer or his/her designee. Such
permission shall be granted only when the use of University
resources is determined to further the mission of the University.
When such permission is granted, the faculty member or
unclassified staff member will make arrangements for reimbursement
of the University for institutional materials, facilities or
services used in the external activity. Such use may never be
authorized if it violates the Board of Regents policy on Sales of
Products and Services.
||Proprietary or other information
confidential to the University may never be used in external
activities unless prior written approval has been received from
the University’s chief executive officer or designee.
||Faculty or unclassified staff may
not involve University students, classified staff, unclassified
staff or faculty in their external activities if such involvement
is in any way coerced or in any way conflicts with the involved
participants’ required commitment of time to their University. For
example, a student’s grades or progress towards a degree may not
be conditioned on participation in a University employee’s
||At Wichita State University a
college or unit may, in consultation with the University’s chief
academic officer, add clarification to the above definitions of
actual, perceived, and potential conflicts relating to other
actions leading to conflicts of interest or time commitment that
are unique to the unit’s professional mission; provided however,
any such clarification shall be in accordance with the regulations
pertaining to FCOIs, if applicable. The final determination of
such clarification shall be by the chief academic officer or an
official designated by the chief academic officer.
||The University’s nepotism policy is
stated in Section
and Other Employment
||1.||Consulting for Other
State of Kansas Agencies
Consulting by faculty members and employees of institutions under the jurisdiction of the Board of Regents for another institution of the Board, as well as consultation for other state agencies, shall be approved in advance by both (i) the institution or agency seeking these services, and (ii) approved by the employee’s home institution. The home institution shall effect payment through the regular process and shall receive reimbursement through the interfund transfer process.
|2.||Consulting Outside the
For members of the faculty and unclassified professionals, the state university permits, and indeed encourages, a limited amount of personal, professional activity outside the faculty member’s or unclassified professional’s reasonable construed total professional responsibilities of employment by and for the University, provided such activity: (i) further develops the faculty member or unclassified professional in a professional sense or serves the community, state or nation in a professional capacity; (ii) does not interfere with the faculty member’s or unclassified professional’s teaching, research and service to the University; (iii) is consistent with the objectives of the University; and (iv) any such consulting or remuneration therefore is not a conflict of interest that cannot be satisfactorily managed. Regular instructional services to other educational institutions are normally regarded as an inappropriate personal, professional activity and are thus generally prohibited. Without prior written approval, faculty members or unclassified professionals on full-time appointments must not have significant outside managerial responsibilities nor act as principal investigators on sponsored projects that could be conducted at their employing university but instead are submitted and managed through another organization.
The Board of Regents expects faculty and unclassified staff employed by the state universities to give full professional effort to their assignments. It is therefore, considered inappropriate to engage in gainful employment outside the state university that is incompatible with institutional commitments. It is inappropriate to transact business for personal gain unrelated to the University from one’s University Office, or at times when it might interfere with commitments to the University. Uncompensated participation in academic conferences, workshops and seminars on matters relating to education or the other functions of the University does not usually constitute consulting or outside employment. However, organizing and operating such meeting for profit may be construed as consulting or outside employment as defined in this policy.
and Disclosure Requirements; Training; Duties of
|1.||Annual Reporting. All faculty and unclassified staff with
As part of the initial appointment process, all faculty and unclassified staff, who hold fractional appointments on an annual basis, and any other personnel who may qualify as an Investigator pursuant to the definition above, on an annual basis, must disclose to the University, at the applicable specified times, whether they or members of their immediate family (spouse and dependent children), personal household, or associate entities (e.g. corporations, partnerships or trusts) have any SFI and/or conflict of interest. Such disclosures are to be made on the annual Declaration for Conflict of Interest and Time Commitment Form and the Supplemental Declaration of Financial Conflict of Interest (FCOI) Applicable Only to Public Health Service-Supported Investigators and Their Staff.
The annual Declaration of Conflict of Interest and Time Commitment form (“Declaration”), must be filled out annually. Two additional forms have also been developed to implement this policy as it pertains to federal regulations, which are currently available to be filled out in hard copy: the annual Supplemental Declaration of Finance Conflict of Interest (FCOI) Applicable Only to Public Health Service (PHS)-Supported Investigators and Their Staff (including any necessary Supplemental Disclosure and Management Plan) (“Supplemental Declaration”), and the Sponsored Travel Form (defined below). The 2012-13 Supplemental Declaration and related documents must be filed by each investigator within 30 days of the posting of this policy and must be reviewed as set forth in Part E below, prior to any expenditure of funds under the PHS-funded research project; thereafter, the declaration shall be filed annually, or sooner if updates are necessary as required by this policy.
If the faculty or unclassified staff member, or other Investigator, answers yes on any question on the Declaration or Supplemental Declaration, he or she shall submit along with the Declaration of Supplemental Declaration a completed “Disclosure Statement of Significant Financial and/or Time Commitment Interests” (“Disclosure”), or “Supplemental Disclosure Statement of Significant Financial and/or Time Commitment Interests Pursuant to Federal Public Health Service Regulations” (“Supplemental Disclosure”) with the applicable Declaration form. If the faculty or unclassified staff member, or other Investigator, believes there to be a perceived, potential or actual conflict of interest, he or she shall also submit along with the above documents the applicable Management Plan. Additionally, when the University, through the review process in Part E determines that the information submitted indicates that a perceived, potential or actual conflict of time commitment or conflict of interest does or may exist, the University may require that the faculty or unclassified staff member, or other Investigator, submit additional information and explanation regarding such conflict, including without limitation, an additional Declaration, Supplemental Declaration, Disclosure, Supplemental Disclosure, and/or a Management Plan.
||Ongoing Duty to Report SFIs and
Conflicts As They Occur
In addition to the initial and annual report that must be filed, such individuals must also disclose to the direct supervisor, department head/chair or dean on an ad hoc basis any current or prospective situations that may raise questions or conflict of time commitment, conflict of interest, or SFI, including without limitation new conflicts of interest of SFIs and updated information from a previously disclosed conflict of interest or SFI, as soon as such situations become known, and in any instance, not later than thirty (30) days after discovery or acquisition of the SFI. To make such a disclosure, a new Declaration and/or Supplemental Declaration, as applicable, shall be filled out and submitted to the direct supervisor and through the review process.
||Sponsored and Reimbursed Travel
Investigators must report travel reimbursements and sponsored travel relating to their institutional responsibilities that are directly reimbursed to them or where travel costs are paid on behalf of the employee by another party other than those exempted entities expressly excluded in this paragraph. Reports must include purpose of the trip, sponsor/organizer, destination, and trip duration, and shall be submitted within 30 days of travel. Provided however, travel that is reimbursed or sponsored by a federal, state, or local government agency, an institution of higher education, an academic teaching hospital, a medical center, or a research institute does not have to be reported. Such disclosures shall be made on the Sponsored Project Personnel Report of Direct Reimbursed/Sponsored Travel Received Form (“Sponsored Travel Form”). After disclosure of information, the form shall be submitted to the immediate supervisor and the review process shall be followed to determine if there is an SFI and if so, a conflict of interest based on such reimbursed or sponsored travel.
||Federal Reporting Requirements
State universities are required to adhere and implement any additional policies and procedures and disclosure requirements that are imposed by applicable federal conflict of interest laws. As set forth above, policies pertaining to federal PHS-funded research conflicts of interest are included with this policy. The University has created additional form(s) regarding conflicts of interest to comply with federal regulations without specific review or approval of the Council of Presidents, as permitted by BOR policy. These are in addition to the information required on the form(s) developed by the Council of Presidents.
||Reporting of Consulting
Aside from the exception specified below, the faculty member or unclassified professional must report the proposed arrangements for personal professional activities and secure written or electronic approval prior to engaging in these activities. For all activities concerned, the report should indicate the extent and nature of the activities, the amount of time to be spent in the activities, and the total amount of time spent or expected to be spent on all such outside activities during the current academic year. To the extent applicable, if the consulting presents an SFI or conflict of interest, such SFI and conflict shall also be disclosed on the applicable Declaration and Disclosure form(s).
The faculty member or unclassified professional staff must inform the University’s chief academic officer, through the direct supervisor, department chair or head and the dean, of all external personal, professional activities. For faculty members only, personal, professional activities that occur within a single 24-hour period need not have prior approval but must be reported annual in writing on the annual Declaration for Conflict of Interest and Time Commitment.
Unclassified professionals must inform the appropriate vice president or the chief academic officer, through the unit head and appropriate supervising administrator, of all external personal professional activities. Unclassified professionals must obtain written approval prior to engagement in all external personal professional activity regardless of the length of engagement.
||Disposition of Reports:
Maintenance of Records
All required documentation and reports shall be submitted in accordance with institutional requirements and shall be included in individual personnel files to be used for the determination of whether an individual is in compliance with this policy. Such documents and reports will also be available to institutional research officers to permit certification and/or verification of compliance with federal regulations. The University must maintain these records and reports for a minimum of three years. Regarding PHS-funding through grants or cooperative agreements, the University shall maintain records relating to all Investigator disclosures of financial interests and the University’s review of, and response to, such disclosures (whether or not a disclosure resulted in the Institution’s determination of a financial conflict of interest) and all actions under the Institution’s policy or retrospective review, if applicable, for at least three years from the date the final expenditures report is submitted to the PHS or, where applicable, from other dates specified in federal regulations for different situations. Regarding PHS-funding through contracts, the University shall maintain records relating to all Investigator disclosures of financial interests and the University’s review of, and response to, such disclosures (whether or not a disclosure resulted in the University’s determination of a FCOI), and all actions under the University’s policy or retrospective review, if applicable, for at least three years from the date of final payment or, as specified in the applicable federal regulations.
Each Investigator shall complete training regarding SFIs and FCOIs prior to engaging in research related to PHS-funded research and at least every four years, and immediately when any of the following circumstances apply:
The Vice President for Research and Technology Transfer is
responsible for the training and any questions about the
training, the requirements, or the frequency shall be directed
to him or her. As part of such training and as part of the
Supplemental Declaration, each person shall certify receipt of
the federal guidelines found at 42 CFR Part 50, and 45
CFR Part 94.
State University Review Process
Upon submission of any Declaration or Supplemental Declaration, or other related information or disclosures, or any updates related to any of the foregoing, a review process shall take place as follows:
|1.||Responsibilities of Direct Supervisors and Unit Heads
||Responsibility of the Chief
In the event that agreement is not reached by all parties concerned with the management of a case of conflict of interest or potential or perceived conflict of interest, the aggrieved parties may pursue a grievance following the procedures in the University Handbook, but in no circumstances shall such appeal delay any time limitations with which the University must comply pursuant to federal regulations.
of University Name
The name of the Board of Regents, a Regents institution, or the Regents System may never be used as an endorsement of a faculty member or unclassified staff member’s external activities without expressed and advance written approval of the University chief executive officer and/or the Board’s President and Executive Officer, as appropriate. Faculty members or unclassified staff members may list their institutional affiliation in professional books, articles and monographs they author or edit and in connection with professional workshops they conduct or presentations they make without securing approval.
Failure to make an annual report or other disclosure required herein, and any updates thereto, may result in a temporary moratorium on expenditure of federally sponsored project funding until compliance is achieved and may result in discipline in accordance with University procedures, ranging, for example, from the loss of the privilege of submitting grant proposals and receiving extramural support to, in extreme cases, dismissal for cause.
The policy statement will be distributed upon initial appointment of all applicable faculty and unclassified staff members by the University and to all Investigators as defined herein, and when any revisions to this policy are made.
Questions concerning this policy should be addressed to the Vice President for Research and Technology Transfer.
The Vice President for Research and Technology Transfer shall have primary responsibility for publication, dissemination and implementation of this University policy.
April 4, 2013