CHAPTER 6 / RESEARCH and SPONSORED
PROGRAMS
Revisions accepted by the General Faculty 5-10-05
6.1 / University Supported Grants
6.11 / University Supported Grants - URG
6.12 / Faculty Summer Research Awards - FSRA
6.22 / Copyright Procedures
6.23 / Subvention Policy
6.3 / Policy on Research Involving Human Subjects
6.5 / Intellectual Property
The University supports faculty research, scholarship, and creative activity with resources made available for allocation through the Faculty Support Committee, a committee of the Faculty Senate. This committee is composed of graduate faculty members representing each of the eight faculty divisions and Academic Services, the Provost and Vice President for Academic Affairs and Research, and the Associate Provost for Research and Director of the Office of Research Administration.
Two competitive grant programs are available for tenured and probationary faculty members. The University Research/Creative Projects Award (URCA) programs is intended to assist new probationary faculty in initiating research, and other faculty in re-establishing a productive research agenda. Up to $4,5000 may be granted for a successful proposal. Summer support is possible through the Award for Research/Creative Projects in Summer (ARCS) program, which provides a stipend of $3,000 to enable faculty to devoted full-time for two consecutive summer months to pursue research. Both grant programs are meant to stimulate the development of proposals for external funding in appropriate disciplines. Complete information on these programs, including material to be submitted and deadlines, can be obtained from ORA. Awards are made by the Associate Provost for Research and director of the Office of Research Administration based on recommendations from the Faculty Support Committee, and are subject to the availability of funds.
All University-supported research projects are administered in accordance with established fiscal procedures and research policies, including those relating to patents, animal care, hazardous materials, and human subjects. ORA provides necessary management assistance and related services for University grant recipients.
6.11 / University Research Grants (URG)
The UG awarded by ORS on a competitive basis, are relatively small grants intended to assist (1) new probationary (Tenure eligible with less than 2 years of service) faculty in initiating their research programs at WSU and (2) other faculty (over 2 years of service) in retooling or reestablishing a productive research agenda. In either category, it is expected that with the help of these grants the awardees will generate publishable and/or vital data on which proposals can be developed for submission to extramural agencies to see funds for their research programs.
All applications will be reviewed by the Senate Faculty Support Committee. The applicants are urged to avoid highly specialized terminologies and/or language in their proposals.
All tenured and probationary faculty members of WSU are eligible to apply. In the case of a faculty members applying for a second award within a 5 year period, the evidence of productivity and/or extramural grantsmanship following the first award (both attempts and successes) will play a heavy role in the award decision. Those who receive a University Research Grant during the last three years, as well as temporary and visiting faculty, are ineligible. Also, one my receive either a summer award or a research grants in a fiscal year, but not both.
The deadline for the receipt of all applications in ORA is the seconds Monday in October. Award for new faculty (less than 2 years service) are announced by mid December and are effective from January 1 to June 30 of the following calendar year. Awards for other faculty (over 2 years service) are announced by the following mid-February to be effective for the following fiscal year beginning July 1 or thereafter.
6.12 / Faculty Summer Research Awards (FSRA)
The FSRA is a stipends of $3000 awarded competitively to encourage faculty to devote full time in summer months to pursue their research and/or scholarly activity. Up to $1000 additional funds may be provided to cover other operating expenses, if adequately justified. No equipment or student assistance can be requested. The Senate Faculty Support Committee will review the applications. This committee is composed of faculty members from diverse fields. Applicants are, therefore, advised to write proposals in a language that avoids highly specialized terminology and treatment. If totally unavoidable, a suitable explanation should be provided for the terminology used.
All tenured or probationary faculty holding no more than a 10-month appointment are eligible. No recipient may teach or hold any other concurrent appointment or employment at WSU or elsewhere during the summer months. Those who receive a FORA during the last three years, as well as temporary and visiting faculty, are ineligible. Faculty who accept a summer award from their college are not eligible for a summer award from the University during that summer. Also, a faculty member may received either a summer award or a research grant in a fiscal year, but not both.
The deadline for receipt of applications in the Office of Research Administration (ORS) is the second Monday of December. The awards will be announced by mid-February of the following calendar year.
6.2 / University Ownership
WSU Policies and Procedures -
http://webs.wichita.edu/inaudit/ch9_09.htm
All books and materials purchased with grant or contract funds become the property of the University. These items should be held by the principal investigator during the operation of the project. At the conclusion of a project or if the principal investigator leaves the University, all books and materials purchased with grant and contract funds must be transferred to either the appropriate academic department or the University Library.
Any equipment items purchased or acquired during an externally-funded project must be inventoried as University property. In most cases, the equipment will become the property of WSU at the conclusion of the project, although some grants and contracts may include specific provision for the return of the equipment to the granting agency. If grant or contract-acquired equipment becomes the University property, it is transferred to the inventory of the appropriate academic department and its use will be determined by normal department procedures. If a faculty or staff member leaves the employment of WSU, no equipment may be taken from the campus without prior approval of the Vice President for Administration and Finance.
6.21 / Patent Policy
Any faculty member believing that an invention developed from a research project sponsored by the University should be patented, must report that information in a letter to the director of the ORA who in turn will forward it to the Faculty Support Committee for review and action. The Committee will decide if the University should file a patent application or if the project does not warrant patenting. In the latter case, the invention will be returned to the inventor who is free to file a patent. If that is done, the University will continue to maintain its position that the results of the research should be freely available to the public. The Board of Regents Handbook should be consulted for more information on patent policy.
6.22 / Copyright Procedures
When a product to be copyrighted is the result of full or partial support from a public or private agency through a grant or contract administered by ORA, the principal investigator shall report this intent to the director of ORA. This office is the agent of the University that represents a sponsored project to a granting agency in all cases. It is the legal responsibility of ORA to insure that both the external agency and the person wishing to copyright are fairly represented. ORA can provide information concerning the copyright policies of external agencies, contracts with publishers in which copyrights are involved, and copyrighting in general. Although the publication of journal articles or single chapters in books is exempt from the above reporting procedure, appropriate credit must always be given when state, federal, or private support has been received. The University's copyright policy is available from ORA or the Office of Academic Affairs.
6.23 / Subvention Policy
It is the policy of Wichita State University to encourage publication of books authored or co-authored by members of the faculty in fulfillment of the responsibility to engage in scholarly activity. To that end, recognizing the increased frequency of requests by publishers for subventions, the Wichita State University may in some circumstances provide subventions from non-state funds to aid members of the faculty engaged in substantive negotiations with publishers. The University reserves the right to recover the sum of the subvention when such recovery is possible.
I. Eligibility
A. Subvention may be requested by an author(s) who is full-time tenured or probationary member of the
faculty of WSU.
B. If a member of the faculty co-authors a book with a member(s) of the faculty of another institution(s),
the institution(s) shall negotiate concerning shared responsibility for subvention.
II. Application Procedures
A. The author(s) shall prepare a written request for subvention, and include a letter from the editor stating
that the book has undergone professional evaluation and that substantive negotiations are under way.|
B. The application must be submitted to the appropriate department chair(s) for review and approval. If
approved, the chair(s) submits the application, with a letter of approval, to the dean(s) for review and
approval. If approved, the dean(s) will submit the application, the chair(s) approval letter and his/her own
letter of approval to the Faculty Support Committee.
C. The Faculty Support Committee shall evaluate the proposal for the relevance of the book to the area or
areas of expertise of the author(s), the scholarly merits of the book, and the quality of the press. The
committee may invite an additional reviewer(s) to participate in the discussion of the merits of the book or
of the press. If the committee approves the application, it will be transmitted to the
Provost and Vice President for Academic Affairs and Research, along with a letter of recommendation, for final action.
D. Should the application be rejected at any level, the author(s) will receive an explanation in writing. The
applicant(s) may seek a review of a negative recommendation by the Faculty Support Committee from the
Provost and Vice President for Academic Affairs and Research.
E. Should the application be approved, the Provost and Vice President for Academic Affairs and Research or her/his designee will
negotiate with the author(s) and the publisher. An agreement stating the exact terms of the subvention,
including the amount of the subvention and terms for recovery of that amount, when recovery is possible,
will be added to the contractual record of the book by adding an addendum to the contract or by an
exchange of letters of understanding added to that record.
III. Recovery of Costs
A. The University shall recover the amount of its subvention, when recovery is possible.
B. If the University provides the entire subvention, it shall recover the sum of the subvention before the
author(s) receives royalties.
C. If the University and the author(s) share in the subvention, the University shall receive a share of the
royalties proportional to its share, until the amount of the University's contribution to the subvention has
been recovered.
IV. Taxation
The author(s) acknowledges and agrees that s/he will be solely responsible for any and all tax
consequences which may result or arise as a result of the payment of subvention support.
V. Acknowledgment
The author(s) shall acknowledge the University's subvention in the preface, introduction, or
acknowledgments.
6.3 / Policy on Research Involving Human Subjects
In general, "subjects at risk" are involved. This phrase is interpreted to mean "any individual who may be exposed to the possibility of injury, including physical, psychological, or social injury, as a consequence of participation as a subject in any research, development, or related activity which departs from the applications of those accepted methods necessary to meet his/her needs, or which increases the ordinary risks of daily life, including risks inherent in a chosen occupation or field of service."
Responsibility for review of all research involving human subjects has been placed with the Institutional Review Board with secretariat in the ORA. At least nine persons representing varying backgrounds related to the research activities of the University, including at least one person from a non-scientific area such as the law or ethics and one person who is not affiliated with the University, serve on the Board. To discover whether the proposed research requires filing a protocol statement with the Institutional Review Board, the principal investigator should contact the ORA.
Details concerning the format for the protocol statement and other matters pertaining to research involving human subjects, including classes exempt from review, may be obtained from the ORA.
6.4 / Misconduct in Research
WSU Policies and Procedures --
http://webs.wichita.edu/inaudit/ch9_13.htm
POLICY STATEMENT: For the purposes of this policy, the definition of "misconduct in research" means fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research. It does not include honest error or honest differences in interpretations or judgments of data. Standards of scholarly and creative conduct in nonscientific areas will be based on commonly accepted standards of those areas.
PROCEDURE: When a specific allegation is made in good faith or when evidence of possible misconduct in research is discovered, the Affirmative Action Officer shall immediately conduct an inquiry. Written notification of the allegation will be provided to the individual suspected and to the chief administrative officer in charge of research (henceforth referred to as the Research Officer). Information will be gathered to determine whether an allegation or apparent instance of misconduct warrants an investigation. To the maximum extent possible, the privacy of those who in good faith report apparent misconduct will be protected. The inquiry will be conducted in such a way as to provide the affected individual(s) confidential treatment, a prompt and thorough investigation, and an opportunity to comment on all allegations and findings of the inquiry and/or allegations.
An inquiry must be completed within 60 days of its initiation unless circumstances clearly warrant a longer period. A written report shall be prepared by the Affirmative Action Officer that summarizes the evidence reviewed and relevant interviews, and states the conclusions of the inquiry. The individual(s) against whom the allegation was made shall be given a copy of the report of the inquiry. If suspected individual(s) comment(s) on the report, those comments will be made part of the record. If the inquiry takes longer than 60 days to complete, the suspected individual and the Research Officer will be notified in writing and the record of the inquiry shall include documentation of the reasons for exceeding the 60-day period.
If the Affirmative Action Officer's inquiry does not substantiate the allegation, the written report and supporting files will be kept for three years in a secure location designated by the Research Officer and then destroyed. For projects funded by the Department of Health and Human Services (DHHS), copies of the report will be given to authorized DHHS personnel upon their request.
If the Affirmative Action Officer's inquiry does uphold the allegation, the Affirmative Action Officer will submit a written report on the inquiry to the Research Officer for initiation of an investigation. The investigation will commence within 30 days of the completion of the inquiry and will be completed in totality within 120 days of commencement. If federally funded research is involved, a written report will be made to the appropriate federal agency on or before the date the investigation begins. All investigations of DHHS funded research or other federally funded research must comply with pertinent regulations issued by the respective federal agency.
The Research Office in consultation with the President of the Faculty Senate and the Provost and Vice President for Academic Affairs and Research will appoint an ad hoc committee of not fewer than three members chosen for their objectivity and competence to conduct an investigation. The investigation shall provide for due process for the suspected individual. The ad hoc committee will be responsible for:
1. Examining all documentation relevant to the allegation and conducting interviews with individuals involved in the allegation,
2. Securing necessary expertise to carry out the evaluation of the relevant evidence,
3. Taking precautions against real or apparent conflicts of interest on the part of those involved,
4. Preparing and maintaining the documentation necessary to substantiate the investigation's findings,
5. Ensuring confidentiality of all proceedings, documentation and records of the investigation unless this confidentiality is waived in writing by the accused, and
6. Making a final recommendation to the Research Officer as to validity of the allegation.
RESOLUTION: If the investigation does not substantiate the allegation, no further action will take place and the suspected individual will be notified in writing of the findings. Records from the investigation will be retained in a secure location designated by the Research Officer for three years and then destroyed.
If the investigation supports the allegations, the Research Officer will notify the VPAAR who will make a determination as to whether the case should be the basis for dismissal for cause as provided for in the Faculty Handbook, or if other appropriate sanctions will be imposed. Documentation associated with a substantiated investigation will be retained by the University and a summary of the actions of the VPAAR will be placed in the individual's personnel record. The University will undertake to protect at all times the professional reputation of individuals accused of scientific misconduct and to protect the positions and reputations of those persons who, in good faith, make allegations.
When DHHS funded research is involved, a final report of the investigation will be sent to the Office of
Scientific Integrity. If, at either the inquiry stage, or the investigation stage involving DHHS funded
research, the inquiring Affirmative Action Officer or investigating committee believe that there are
reasonable indications of possible criminal activity, this will be reported to the VPAAR who will report it to
the Office of Scientific Integrity within 24 hours of receipt. Other misconduct investigations concerning
federally funded research will be reported as required by the granting agency.
6.5 / Intellectual Property Preamble: For the purposes of this policy, “work-for-hire” is defined as scholarly and
creative/artistic activity that either is supported by a direct allocation of
institutional funds for a designated project, is expressly commissioned by the
University, or is otherwise subject to specific contractual obligations.
“Substantial use” means that the creator receives from the University either
more than normal support for the work or time and/or resources specifically
dedicated to the project. When revenues are to be shared pursuant to this policy, unless otherwise
negotiated, the creator(s) shall obtain his/her share only after the University
has recouped any direct costs incurred for equipment and materials and costs
paid to third parties. The portion of the revenues to be shared among creators
shall be shared equally, unless otherwise negotiated. Policy Statement: 1. General Copyright Policy The ownership associated with copyright is dependent upon the specific type
of intellectual property and federal law. The University shall assert limited
ownership rights as set forth below. Since the University has a fiduciary
responsibility for the appropriate use of state funds, unless otherwise provided
for under this policy, all rights associated with works-for-hire or other works
that make substantial use of institutional resources belong to the University.
2. Scholarly and Creative/Artistic Works Notwithstanding any use of University resources or the work-for-hire
principle, the ownership of scholarly and creative/artistic works remains with
the creator(s). Any revenue derived from such work belongs to the creator(s).
If requested by the University, the creator(s) shall seek permission to provide
the royalty-free right to manuscripts published in professional journals for use
solely within the University’s teaching, research and service programs. 3. Student Academic Creations The ownership of student works submitted in fulfillment of academic
requirements shall be with the creator(s) with the following exception: upon
request of the creator(s), the University shall determine ownership of works
created from research or developmental activities that are collaborative efforts
involving students, faculty, or staff, or spanning several semesters. The
student, by enrolling at Wichita State University, gives the University a
nonexclusive royalty-free license to mark on, modify, retain the work as may be
required by the process of instruction, or otherwise handle the work as set out
in this policy or in the course syllabus. The University does not have the
right to use the work in any other manner without the written consent of the
creator(s). 4. Mediated Courseware (a) The University shall assert limited rights to mediated courseware (that
is, course materials disseminated through electronic media). Self-initiated
courseware, developed without a specific work-for-hire contract, shall remain
the property of the creator(s), unless otherwise negotiated; provided, however,
that no royalty, rental fee, or other consideration shall be paid to the
creator(s) when that mediated courseware is used for instruction at Wichita
State University. Such mediated courseware shall not be used or modified
without the consent of the creator(s), nor shall it be sold, leased, rented, or
otherwise used in a manner that competes in a substantial way with the
for-credit offerings of Wichita State University, unless otherwise negotiated.
(b) Mediated courseware developed as a specifically contracted
work-for-hire, unless otherwise negotiated, shall be the intellectual property
of the University. In such cases, when the University expressly directs the
creation of mediated courseware and provides materials and time to develop the
mediated courseware, the University shall reserve the right to revise and decide
who will utilize such mediated courseware for instructional purposes. 5. Patent and Copyrightable Software Policy Unless otherwise negotiated by the creator(s) and the University, patents
obtained on inventions or copyrightable software resulting from
University-sponsored research with an actual or projected market value in excess
of $10,000 annually, shall be retained by the University or may be assigned to
an organization (hereinafter called “the Organization”) independent of the
University and created for the purpose of obtaining, administering, or disposing
of patents; receiving gifts; and promoting research and the development of
intellectual property. Unless otherwise negotiated, these guidelines shall be
followed with respect to inventions or copyrightable software: (1) Anyone who develops, under the sponsorship of a University-funded
research project, an invention or copyrightable software that is not included in
mediated courseware, shall report the matter to the Provost and Vice President for Academic
Affairs and Research, or his/her designee. (2) If the University or the Organization decides, in a timely fashion, that
the invention does not warrant patenting, the inventor is free to patent it.
If the University or the Organization decides, in a timely fashion, not to
further the use of copyrightable software, it shall assign the rights therein to
the creator(s). In such cases, however, the University does not relinquish its
right to publish any of the data obtained in the research project. (3) When any revenue is obtained by or on behalf of the University from the
development or assignment of any patent or copyrightable software, not less than
fifty percent (50%) of revenues shall be paid to the inventor(s) or creator(s)
after the University recoups costs as set forth in this policy. (4) The remainder of any revenues discussed in paragraph (3) above shall be
used to sponsor further research and research-related activities within the
University, although the University may permit the Organization to retain a
portion of the funds. (5) In cases of cooperative research sponsored partly by an outside entity
or individual(s), a written contract shall be made between the University and
any such sponsor(s). This contract should include a statement substantially
equivalent to the following:
WSU Policies & Procedures --
http://webs.wichita.edu/inaudit/ch9_10.htm
The purpose of the Wichita State University Intellectual Property policy is to
foster the free and creative expression and exchange of ideas and knowledge; to
preserve traditional academic practices and academic freedom with respect to
scholarly and creative/artistic work; and to establish principles and procedures
for distributing income from copyrightable and patentable research. This policy
applies to all full-time, part-time, and student employees.
| “It is agreed by the parties to this contract that all results of experimental work, including inventions and copyrightable software, carried on under the direction of the University, belong to the University and shall be used and controlled so as to produce the greatest benefit to the public. It is understood and agreed that if patentable inventions or copyrightable software develop from this research and such inventions or software have commercial value, the sponsor(s) shall receive preferential consideration as prospective licensee(s), with a view to compensating said sponsor(s) in part for their assistance. It is further agreed that the name of the University shall not be used by any sponsor in any advertisement, whether with regard to the cooperative agreement or any other related matter without the advance and specific written authorization of the University.” |
(6) In cases of a research project where it is proposed that all costs, including salaries, equipment, overhead, etc., are to be paid by an outside entity or individual(s), the sponsor(s) and the University shall negotiate the appropriate assignment of all patentable or copyrightable software rights.
(7) Changes in these guidelines shall be made by the University to conform to the laws and requirements of the United States government.
6. Disputes
Any disputes that arise under this policy shall be reviewed by the Faculty Support Committee. Final decisions on disputed matters will be made by the University President.
Implementation:
This policy shall be included in the WSU Policies and Procedures Manual
and shared with appropriate constituencies in the University.
The Provost and Vice President for Academic Affairs and Research shall have primary responsibility for publication and distribution of this University policy.
Wichita State University
Faculty Senate
1845 Fairmont
Box 111
Wichita, Kansas 67260-0111
(316) 978-3504
Email: bobbi.dreiling@wichita.edu