Ohio Admin. Code 3359-11-17 - Conflict of interest, conflict of commitment, scholarly misconduct, and ethical conduct - policies and procedures
(A) Introduction.
These policies and procedures represent an evolving set of documents. The complexity of the subject matter is such that the current policies and procedures will need a yearly formal review by the senior research officer of the university with the advice of the faculty senate and other bodies which have interest. This policy is intended to conform to all laws and regulations, state or federal, regarding funded research.
(B) Policies and procedures regarding
conflicts of interest and/or commitment.
(1)
Each university employee will review and comply with these policies by promptly
taking whatever steps are required to avoid, eliminate, remediate or manage an
actual conflict of interest and/or commitment. This also includes graduate
students, identified as investigators on externally funded grants.
(2) On the first day
of May
thirtieth of April, each
university employee will submit a potential conflict of
interest/commitment and request for preapproval of outside activities
form
questionnaire (yearly conflict
of interest and commitment report) to her or his immediate supervisor that
discloses any outside activities that could represent a conflict of interest
and/or commitment seeking preapproval for the upcoming
year. In addition, employees are required to update the form during the course
of the year seeking preapproval for any additional proposed outside
activities.
(3) Written
disclosure to the immediate supervisor is
required pursuant to this rule during the
individual's employment contract when additional outside consulting activities
arise that could represent a conflict of interest and/or commitment.
(4) Outside consulting activities of
full-time employees will be governed by the following:
(a) All forms of outside activities that
involve a time commitment at the expense of an employee's primary
responsibilities to the university during an individual's employment contract
must be disclosed.
(b) The maximum
allowable time permitted for outside consulting activities is one day per week
on average during the period of the university academic-year or calendar year
contract. Particular circumstances, including but not limited to teaching
assignments or other scheduled university duties and/or the terms and
conditions of support of university grants or contracts, will be taken into
account in approving such arrangements.
(c) The responsibilities and professional
activities that constitute an appropriate and primary commitment will differ
across colleges, schools, departments, and disciplines, but should be based on
an understanding among the employee, his/her department chair, dean or
administrative supervisor(s), and the executive vice
president and chief administrative officer
senior vice president and provost and chief operating
officer, and in accord with university policies.
(d) University resources both human (e.g.
students, support staff) and material, may not be used for any purpose that is
unrelated to the mission of the university and neither for outside consulting
nor for private gain. This shall not apply to use of material resources used in
a purely trivial and incidental way.
(5) Failure to pre- disclose and manage conflicts of interest and/or
commitment may subject the employee open to sanctions and possible legal
actions. (As defined in paragraphs (D)(3) and (D)(4) of this rule.)
(6) Outside activities in violation of state
or federal laws or regulations (including but not limited to: "PHS Promoting
Objectivity in Research,
42
U.S.C. 216,
289b-1,
299c-4;
Sec. 219, Tit. II, Div. D,
Pub.
L. 111-117 , 123 Stat. 3034 (2012)"; "national
science foundation investigator financial disclosure policy," 59 fed. reg.
33,308 (1994) and 60 fed. reg. 35,820 (1995); Ohio ethics law Chapter 102. of
the Revised Code; and section
2921.42 and section
2921.43 of the Revised Code),
subject an employee to discipline up to and including termination of employment
by the university.
(7) Managing
potential conflicts of interest and/or commitment requires timely and accurate
disclosure. Therefore, all university employees who engage in outside
activities are required to seek prior approval of
to disclose those activities as they are
encountered in accordance with the following guidelines:
(a) Some outside activities, which might be
considered conflicts in a technical sense, are routinely allowable without
permission but with timely notice to the immediate supervisor because they are
(i) accepted practices and (ii) generally minimal in their personal financial
impact and impact on the university. Examples of such activities: public
service in community service agencies, royalties for published scholarly works
or institutional royalty sharing, honoraria, prizes and awards for professional
recognition, or routine activities for professional organizations and
associations.
(b) All forms of
outside activities which do not fit the above category and do involve (i) a
time commitment of one day or less per week (on average) during the employment
contract during the period of the university academic year or calendar year
contract, and (ii) university employee remuneration of less than ten thousand
dollars from a single source during the employees university contract period
are to be reported to the employees immediate supervisor. Disclosure reports
are to be made in written form with simple statements of what is being done,
for whom, and at what level of compensation (e.g., less than ten thousand
dollars). If there is no significant conflict of interest or commitment and the
activities are common, the supervisor shall so certify and file the report with
signed certification in the department or equivalent level personnel file.
Certification is required prior to an employee engaging in any such activity.
Examples of such activities: extensive activities for professional
organizations and associations.
(c)
All other forms of outside activity which involve a time commitment in excess
of one day per week on average during the period of the university academic
year or calendar year contract or outside activities for which an employee
receives remuneration valued at ten thousand dollars or above from a single
source during the employees university contract period are to be reported to
the immediate supervisor (e.g., department chair or supervisor). Disclosure
reports are to be in written form with simple statements of what is being done,
for whom, and at what level of compensation (e.g., more than ten thousand
dollars). Preapproval
Certification is required prior to an employee
engaging in any such activity. If the immediate supervisor certifies, he/she
will, with signed certification forward the request to his/her immediate
supervisor (e.g., college dean or division director). If the intermediate
supervisor certifies, he/she will report the request to the appropriate central
administration officer (e.g., executive vice president
and chief administrative officer
senior
research officer or executive director for human resources). The
request will be kept on file at that location.
(8) All university employees are to complete
the yearly potential conflict of interest/ commitment
and request for preapproval of outside activities form
conflict of interest and commitment report
questionnaire on or before the first of May
and continue to update the form throughout the year
thirtieth of April. Completed reports are
to be sent for certification to the
employees'
employee's immediate supervisor
for preapproval of the activity.
If an item on the questionnaire is checked yes, then
the
The employee's
employees' immediate supervisor will
forward the report to his/her immediate supervisor (i.e., college dean,
division chair) for certification
preapproval who will, in turn, forward the report
to the appropriate central administrative officer (i.e.,
executive vice president and chief administrative
officer
senior research officer or executive
director for human resources) for final review
and approval or denial. Forwarded annual disclosure reports will be kept
in the appropriate central administrative office. Annual reports with all no responses will be kept at the
department level. Nothing in this paragraph shall be construed to
prohibit disclosures required as defined in paragraph (B)(17) of this rule.
University student assistants employed solely on an hourly pay basis, part-time teaching faculty, and employees working less than half-time are exempt from submitting the annual disclosure form but nonetheless are to comply with the university's conflict of interest and related policies. Questions or concerns of these persons on these matters are to be referred to their department chair.
(9)
University employees with knowledge of an impending arrangement between the
university and an outside entity with which they or their family members have
financial interests, employment, or other involvements are to disclose those
facts to their administrative superior before the university approves the
proposed arrangement. Examples of such arrangements: gifts in kind,
contributions; sponsored research or other sponsored programs; patenting,
licensing, or technology transfer or other intellectual property agreements;
procurement, contracts, and/or subcontracts, and similar agreements as defined
in paragraph (H)(5) of this rule.
(10) The president, vice presidents, deans,
and other officers, as may be designated by the board of trustees from time to
time, are to submit for review and approval an annual disclosure statement
which includes memberships on any corporate boards, partnerships, or
associations held by such officers. In addition to any proposed outside
activities, including consulting, such disclosures also are to identify any
office or fiduciary relationship with a not-for-profit corporation or public
board or agency.
(11) No university
employee is to use or attempt to use his/her public position or state property,
including property leased by the state, to secure or attempt to secure anything
or the promise or offer of a thing of value that is of such a degree to
manifest an improper substantial influence upon him/her with respect to his/
her duties.
(12) No university
employee is to solicit or accept from any person or organization anything of
value pursuant to an expressed or implied understanding that his/ her conduct
of university business would be influenced thereby.
(13) No university employee is to
intentionally use or disclose confidential or proprietary university
information and/or intellectual property in any way that could harm the
university or result in the receipt of anything of value for him/ herself, for
his/her family member, or for any other person or organization with which the
university of Akron employee is associated as defined in paragraph (H
G)(5) of this
rule.
(14) No university employee
is to receive private financial gain arising from the sale of textbooks or
other materials used in a course in which the employee is an instructor. When
the employee as instructor believes that such textbook or material is
appropriate for the benefit of the students, the employee must arrange either
to (i) waive royalties or other type of personal financial gain or (ii)
designate the university or a recognized professional organization or honorary
to receive such royalties or gain. The latter option must ensure that there
will be no potential for future personal financial gain by the employee from
this classroom use. All proposed plans are to be submitted to the university
for prior approval through the department chair.
(15) Inventions and patent rights of
university employees developed or obtained during the course of the
individual's employment contract with the university belong to the university
unless otherwise stipulated in a specific written university patent rights
agreement signed by an authorized university official delegated such authority
by the university board of trustees. Computer software developed by university
employees during the course of the individual's employment contract with the
university or using university resources is the property of the university.
Inventions or discoveries made using any university facilities or other university resources belong to the university even if the inventors are not university employees, unless otherwise stipulated in a specific written university patent rights agreement signed by an authorized university official delegated such authority by the university board of trustees.
University intellectual property, including inventions and computer software, is to be managed under rule 3359-02-05 of the Administrative Code. The university will share with inventors and software authors any net royalties or royalty-type income that may be gained as a direct result of licensing or attempting to license the intellectual property.
University employees are to disclose in a timely manner to the university:
(a) their own creation or
discovery of inventions and computer software which are developed using
university resources, regardless of sponsorship;
(b) any discoveries and inventions utilizing
university resources, including those resulting from their participation in
sponsored research or other sponsored programs, other remunerative outside
activities in their field of academic interest or specialization, or any other
activities of an outside commercial enterprise, including any university
employee-owned or employee-managed company; and/or
(c) the creation or discovery of inventions
of any others associated with them when that development involved any
university resources.
No university employee is to provide confidential or proprietary information including disclosures or other information regarding inventions or other intellectual property, to a company or other entity or its agents without prior disclosure to and specific permission from the university board of trustees upon recommendation of the vice president for research.
(16)
University employees who wish to propose or are involved in university
sponsored research or other sponsored programs are expected to review and
adhere to all university policies, procedures, and obligations related to
proposing, managing, reporting of results, and other aspects of such
projects.
(17) The university
requires that investigators disclose to the university's director of the office
of research administration any potential conflicts of interest prior to the
submission of a proposal for funding. If a new conflict of interest arises at
any time during the period after submission of the proposal through the period
of award, the filing of a disclosure and immediate action toward remediation is
required. Each investigator must disclose all significant financial interests
including those of family members if legally required, as well as any other
potential conflicts of interest as defined in paragraphs (H
G)(6) and (H
G)(21
20) of this rule.
(a) That would reasonably appear to be
directly and significantly affected by the research or educational activities
funded, or proposed for funding, by an external sponsor or
(b) In entities whose financial interests
would reasonably appear to be directly and significantly affected by such
activities.
(18)
Conflict policies regarding research projects:
(a) University employees are prohibited from
independently submitting or negotiating proposals or contracts for any
externally sponsored research or other sponsored programs on behalf of the
university. Proposals, and any subsequent negotiations, awards, other
agreements, or changes are to be processed through and require the prior
written authorization of the university through the office of research
administration.
(b) All university
employee involvement in proposals for sponsored research or other programs at
other institutions must be approved in advance through the office of research
administration. University employee involvement in a program or project at
another institution that might be conducted appropriately at the university of
Akron as part of normal employee duties could result in situations that place
students and staff in conflicts of interest, and deprive students and
colleagues of the faculty members or other employees primary intellectual
energies. A bona fide subgrant or subcontract agreement of equitable terms,
normally involving one institution as fiscal agent and the other(s) as
subgrantee(s), negotiated in advance between the university and the other
institution(s), and naming the university employee among the key personnel for
the project, is an appropriate means for a university employee or team to
participate in inter-institutional research projects or other sponsored
programs.
(c) University employees
must receive specific prior written approval from the senior research officer
to divert funded research opportunities or other sponsored program support from
the university to other institutions or external entities.
(d) A university employee will inform
students and all workers engaged in research or other sponsored programs to be
conducted under his or her supervision of all details, policies, and procedures
concerning the project needed for the students and workers to perform their
role. These include full disclosure of the terms of the agreement in support of
the activity, including concerning copyrights or patent rights arising from the
research; policies and procedures governing scholarly misconduct; and other as
applicable (e.g. health and safety regulations, protection of human rights,
ethical care and use of animals, radiation safety, biohazard safety).
(e) It is the responsibility of each
university employee to disclose promptly to the senior research officer any
situation or proposal in which the objectivity of a university employee or
participant in a research project could be reasonably questioned.
(19) Conflicts involving
university contracts:
(a) University employees
are prohibited from negotiating or entering into contracts or other agreements
which claim, imply, or appear to involve the university, unless such actions
are part of their official university duties and within the scope of their
employment. The board of trustees and president will specifically delegate in
writing those employees with such signatory authority to contractually commit
the university.
(b) University
employees are prohibited from entering into a contract (other than their
employment contract) or lease (other than by student employees for student
housing) with the university, whether or not the contract or lease derived in
whole or part by university funds, except as otherwise provided by
law.
(c) No university employee, in
their official capacity, in a position to approve or influence a contract or
lease may enter into such a contract or lease which involves the university
employees' family members, business associates, or any organization with which
the university employee is associated whether or not the contract or lease
derived in whole or in part from university funds. It is the duty of each
university employee to disclose promptly any such proposed contract, lease, or
similar relationship or agreement to the university through the department
chair or equivalent immediate supervisor as defined in paragraph (H)(5) of this
rule.
(20) Maintaining
the university as a community of scholars requires the free and open exchange
of ideas and the results of scholarly activities. To this end:
(a) University students and scholars involved
in research have the right to pursue topics of interest, have access to
available information and facilities, and to communicate the results of their
work in accordance with the law and university policies.
(b) University employees with outside
business interests or outside consulting activities must ensure that the
activities of university students, staff, post doctoral fellows, visiting
scholars, and other employees are not exploited by those outside interests and
activities.
(c) All university
employees have a right to know the source(s) of funding that support their
work.
(21) Employee
pursuit of a degree, when presenting a situation in which a possible conflict
of interest or conflict of commitment could reasonably be thought to exist
requires prior approval by the employee's immediate supervisor.
(22) No university employee may give or
accept anything of value that may substantially or improperly influence him or
her with respect to his or her university duties.
(23) The university seal, logo, trademarks,
and all other university intellectual property may not be used by any person,
including any university employee outside his or her scope of employment; not
by any firm, corporation, or other entity without the express written
permission of the president or the president's designee.
(24) The university's name will not be used
by any employee for the purpose of advertising outside the scope of one's
employment by the university or in relation to commercial ventures for private
financial gain. In situations when it is not clear whether or not the use of
the university's name is appropriate, the employee must obtain the written
permission of the president.
(25)
All equipment, apparatus, museum materials, scientific collections, books, and
other university property are in the immediate care of the university employees
of the respective departments to which such materials belong. University
employees are expected to practice good stewardship in the use and care of
university property.
(26) Nepotism
is an impermissible conflict of interest as defined in paragraph (H
G) (5) of this rule.
(a) No university employee may participate,
formally or informally, in the decision to hire, retain, grant tenure to,
promote, determine salary of, discipline, renew, modify or terminate a family
member's individual employment with the university, or to renew, modify, or
terminate any other condition of employment.
(b) No university employee may give
preferential or favored treatment in the supervision or management of another
university employee who is a family member.
(c) No university employee may authorize or
use his or her authority, formally or informally, to secure authorization of
any public contract in which he or she or a family member has an
interest.
(27) Service as
an expert witness in any civil or criminal case can be undertaken only when
there is no conflict of interest or conflict of commitment. If the university
is involved in the case as a named party, there must be prior disclosure and/
or approval.
(28) While executing
their university duties, university employees may not use their authority in an
exploitative manner in relationships with others.
(29) A whistle blower, who raises or wishes
to raise an allegation against a university employee/employees, of a conflict
of interest and/or conflict of commitment, related wrongdoing, or of
institutional conflict(s) of interest, must respect the confidentiality of
sensitive information and give legitimate institutional structures an
opportunity to resolve the matter. Whistle blowers and other witnesses have the
responsibility to raise their concerns honorably and with foundation. The
university has a duty to undertake review and actions as appropriate and not to
tolerate or engage in retaliation against whistle blowers. This duty includes
providing appropriate and timely relief to ameliorate the consequences of
actual or threatened reprisals, and holding accountable those who
retaliate.
(30) Responsibilities of
the department chair or equivalent are:
(a) To
maintain a record of any outside activity disclosed by a university employee
under his/her direction.
(b) To act
in good faith to assist the university in implementation of this
policy.
(c) To convey to the dean
or administrative supervisor the concerns they, or others, have with this
policy.
(d) To review and forward
to the dean and senior research officer with his or her comments any case which
appears to have a potential conflict of interest or conflict of commitment.
Such comments should include actions recommended by the chair to manage or
remedy the conflict(s).
(31) Responsibilities of the dean or other
administrative supervisor are:
(a) To maintain
a record of any outside activity disclosed by a university employee under
his/her direction.
(b) To act in
good faith to assist the university in implementation of this policy.
(c) To convey to the executive vice president and chief administrative
officer
senior vice president and provost and
chief operating officer the concerns they, or others, have with this
policy.
(d) To review and forward
to the executive vice president and chief
administrative officer
senior vice president
and provost and chief operating officer and senior research officer
with his or her comments any case which appears to have a potential conflict of
interest or conflict of commitment. Such comments should include actions
recommended by the dean to manage or remediate the conflict(s).
(32) The office of research
administration under this policy is responsible for providing employees with
the annual reporting form for each eligible employee under their
supervision.
(C)
Procedures for reports, certifications, disclosures, and approvals.
(1) Disclosures and requests for approvals
are to be directed first to the immediate administrative supervisor, as well as
to the next higher level.
(2)
Regardless of whether the disclosure is disallowed or
approved, the completed reports are to be sent to the employee's immediate
supervisor for preapproval. The employee's immediate supervisor will forward
the report to his/her immediate supervisor (i.e., college dean, division chair)
for preapproval who will, in turn, forward the report to the appropriate
central administrative officer (i.e., executive vice president and chief
administrative officer) for final review and approval or denial. The executive
vice president and chief administrative officer shall use best efforts to
complete such review within thirty days from the date of receipt of the
conflict disclosure forms. Forwarded annual disclosure reports will be kept in
the appropriate central administrative office. Nothing in this paragraph shall
be construed to prohibit disclosures required as defined in paragraph (B)(17)
of this rule
For a matter of disallowed
approval a department chair or equivalent will communicate a report and
recommendation to the intermediate supervisor. If the intermediate supervisor
confirms the disallowance, he or she will communicate the report and
recommendation to the senior research officer. In the event the senior research
officer determines that the matter may be managed effectively and the
management plan suggested is agreed to by the university employee, the senior
research officer may authorize the activity.
(D) Procedures for
appeal.
(1) An inquiry committee will be
convened with five appropriate members as defined in paragraph (G)(4) of this
rule.
(2) Procedure for determination in
potential conflict situations by employees:
(a) Requests by employees for
university review and determination will be signed and submitted in writing to
the senior research officer in order to initiate a review.
(b) The senior research officer is
responsible for the timely review (ten business days), maintenance of records,
and preservation of confidentiality to the extent permitted by law of: requests
for review, annual certifications and disclosures, any ad hoc disclosure
reports of employees, and all other related documents received or
created.
(c) The inquiry committee will
collect relevant documentary materials, and thereafter, in a timely manner (ten
working days), analyze and render a report to the senior research
officer.
(d) The inquiry committee may
suggest appropriate oversight or management procedures to ensure no conflict of
interest or commitment or may recommend other forms of
amelioration.
(e) The senior vice president and
provost and chief operating officer can extend these timelines up to ten
additional working days.
(f) Procedure for resolution of
conflict situations by employees.
(i) The senior research officer will
submit to the senior vice president and provost and chief operating officer the
inquiry committee report and its recommendation for resolution of the conflict.
Additional or subsequent action may be recommended by the senior vice president
and provost and chief operating officer or office of general
counsel.
(3) Procedure for determination in
potential conflict situations when initiated by the senior research officer,
senior vice president and provost and chief operating officer,
president.
(a) The senior research officer,
senior vice president and provost and chief operating officer, president, or
board of trustees may initiate a review without a written report when, in their
judgment, there is sufficient concern to warrant it. The senior research
officer will inform all appropriate administrators, as well as the faculty or
staff who are subject to this investigation. The senior research officer will
submit to the provost a recommendation for resolution of the conflict.
Additional or subsequent action may be recommended by the provost or office of
general counsel.
(b) The senior research officer will
convey promptly to the provost any concerns or those raised by others related
to matters covered by this policy. The senior research officer will forward to
the general counsel a copy of any request for review or disclosure for legal
review and comment. The senior research officer may forward a copy also to
other administrators, on a need-to-know basis, for review and
comment.
All reviews and comments either by
the office of the general counsel or by other solicited administrators will be
returned to the senior research officer within seven working
days.
(c) The senior research officer or
designee will meet with all relevant individuals within seven working days from
the reception of the report and forward the materials immediately to the office
of the provost with the pertinent recommendations.
(d) If necessary, after consultation
with the office of general counsel and any others, the senior research officer
may ask the provost to refer the matter to the Ohio ethics commission for
further determination.
(e) The senior research officer will
give the results of any review comments from the Ohio ethics commission or
other appropriate body in writing to those who simply requested a
determination, or to those who were alleged by another to have a conflict of
interest. The senior research officer will also send a copy of the results to
the general counsel; dean or administrative supervisor; department chair; to
the person who requested the review, as the case may be, if not the principal
party; and to other responsible university administrators as the senior
research officer deems appropriate.
(f) Procedure for resolution of
conflict situations.
The senior research officer will
submit to the provost a recommendation for resolution of the conflict.
Additional or subsequent action may be recommended by the provost or office of
general counsel.
(1) In cases in which an allegation of
misconduct by a university employee is made, the senior research officer,
general counsel or his designee(s) will take the following steps:
(a) Notify the appropriate dean or vice
president of the person in question.
(b) Take appropriate interim actions to
protect government and university funds and assure that the purposes of any
governmental financial assistance are being carried out in the interim during
the review process, as defined in paragraph (E
D)(6) of this
rule.
(c) Meet with both the
complainant(s) and the subject(s) thereof. Subject(s) of the allegations will
be told, with specificity, the nature of such allegations and be given full
opportunity to respond. They will be encouraged to supply any documentary
information supportive of their position and given a reasonable time (ten
working days) within which to do so. They will be encouraged to supply the
names of any individuals or entities that could supply information helpful to
their position or to the full and complete investigation of the matter. The
individual who is charged may be accompanied by legal counsel or other advisor
during interviews with the committee and/or individual members of the
committee. The role of counsel or other advisor is limited to observation and
advising his/her client on responding to questions.
(d) At this time the subject of investigation
will be responsible for all fees or expenses in his/her defense of
allegations.
(2)
Although a whistleblower enjoys a privilege to report allegations of
misconduct, the office of research integrity states (position paper #1, the
whistleblower's conditional privilege to report allegations of scientific
misconduct, 1993), that abuse of the privilege may leave the whistleblower
liable for defamation. In addition, this may subject a whistleblower who abuses
the privilege to administrative action by the university as defined in
paragraph (G
F)(11) of this rule. If the allegation of misconduct
by the whistleblower proves unfounded, the university should take specific
steps for redress of the rights of the unjustly subject of investigation. Among
compensatory actions:
(a) The university will
become responsible for the defense expenses of the subject of investigation, if
so ordered by a court of competent jurisdiction.
(b) The subject of investigation will be
given the option to take legal action when appropriate, interview any
identified witness(es) and review any and all documentation that might have a
bearing on the outcome of the investigation.
(c) The university will report to appropriate
federal or state agencies and university officials in accordance with federal
and state requirements.
(3) If a university employee is indeed found
to have violated university policy or to have violated the terms of a
memorandum of understanding or other terms which were required by the
university in order to manage or eliminate a potential conflict of interest or
conflict of commitment, the provost, in consultation with the senior research
officer, the dean or administrative supervisor, the general counsel, and the
inquiry committee, may recommend to the president one or more of the following
disciplinary sanctions, for action by the university board of trustees:
(a) Formal reprimand.
(b) Suspension from the university for a
definite period.
(c) Dismissal from
the university.
(d) Other remedial,
corrective, or other action which is deemed appropriate.
(4) Illegal acts under this policy may also
be subject to prosecution by state and/or federal authorities separate from any
university disciplinary sanctions. A university employee may appeal a negative
decision and/or disciplinary sanctions in writing to the president, with a copy
to the provost, within fifteen days of receipt of the notice of the decision.
The president will consider the appeal in consultation with the inquiry
committee; chair, dean or administrative supervisor, senior research officer,
and/or provost as he or she deems appropriate; and with the general counsel and
any other upper management that he or she deems appropriate. The president will
provide a decision on the appeal to the employee with a copy to the provost and
general counsel, within thirty days of receiving the appeal. The decision of
the president will be final, subject to the approval of the board of trustees.
(5) In cases of
allegation/accusation of wrongdoing, if as a result of this investigation the
allegations are found without merit, the matter will be expunged from all
personnel records of the subject of investigation, and the
allegation/accusation files will be sealed and delivered to the custody of the
office of general counsel. The university recognizes its responsibility to
report promptly to those involved, in public and/or in private as may be
appropriate, those allegations which prove to be unsubstantiated or
substantiated.
(6) All proceedings
and actions should be conducted in conformity with Revised Code and code of
federal regulations. If it becomes apparent during the course of any review,
inquiry, or investigation that there is illegal conduct or activity and/or that
the conduct indicated or complained of may be criminal in nature, the
university's general counsel will be immediately notified and provided all
information and documentation gathered during the investigatory process to
date. The decision of how the investigation should proceed, whether the
investigation is taken over by the general counsel or whether outside
authorities, including police or other law enforcement agencies, should be
notified and involved will be determined by the general counsel. Criminal
investigations, when necessary, take precedence over normal university academic
or advisory reviews. Sequencing of all other reviews which may be needed will
be coordinated among the senior research officer, provost, general counsel, and
president.
(7) If a violation of
this policy involves a collateral proceeding under university policies
regarding scholarly misconduct, then the provost will defer a final decision on
sanctions until the scholarly misconduct inquiry and/or investigation process
is also completed.
(8) The detailed
documentation of any allegation/accusation, investigation, and determination
will be maintained by the office of general counsel of the university for at
least three years from the date of the determination, from the date of
acceptance of a final report by the federal office of research integrity or any
inspector(s) general involved, or at least three years from the termination
date of any related grant or contract, whichever date is later. Documentation
must be provided when required by law or upon request to authorized government
authorities.
(9) Departmental,
college, committee, and other university records are to be retained under
suitable confidentiality and may not be destroyed without the permission of the
university's general counsel and the university archivist.
(1) The university will deal legally and
ethically with external sponsors of research and sponsored programs in ways
that avoid institutional conflicts of interest. The same is expected of project
personnel and sponsors.
(2) The
university will not enter into agreements contrary to its mission.
(3) The university will not accept an award
for a project that is unacceptable to the principal investigator. Once an award
is accepted by the university, all parties are expected to fulfill their
respective obligations under that agreement.
(4) The university, its faculty, and its
students will retain the right to use all data for research and educational
purposes and to publish results in scholarly publications in accord with
university policies. A delay of no more than one year may be mutually agreed
upon to permit patent filings or other legal filings. To restrict student
theses or dissertations from public access for up to one year to permit patent
or other legal filings, a written request must be submitted to the dean of the
graduate school along with the final draft. The dean of the graduate school
will then forward all copies of the thesis or dissertation to the university
archivist with a request to withhold it from public access and the open library
shelves for up to one year.
(5)
Meaningful participation of university students in sponsored research is
expected.
(6) In all cases, and at
a minimum, the university will retain a perpetual, irrevocable, royalty-free
right to practice and use patents, copyrights, all other intellectual property,
information and/or materials resulting from or related to any sponsored project
for research, testing, and educational purposes only.
(7) The university will not enter into
activities or agreements which could jeopardize its nonprofit tax-exempt status
or conflict with its required state of Ohio or federal cost principles and/or
accounting methods, including but not limited to United States code of federal
regulations title 2 part 220 regarding federal cost principles for educational
institutions and related administrative or subsequent applicable governing
regulations.
(8) The university
will not enter into activities or agreements which could jeopardize its
eligibility to receive federal or state funds.
(9) The university will not enter into
contracts which are not to be governed or construed under Ohio law.
(10) The university will not accept
contractual terms that require the university to indemnify or hold harmless
other parties.
(11) Title to
intellectual property rights resulting from sponsored projects is to vest with
the university. Any transfer of these rights to non-governmental entities is
subject to specific approval by the board of trustees of the university. An
option or a license may be negotiated in good faith and under reasonable terms
and rates to share rights through a license with the sponsor, on a
non-exclusive, exclusive-by-field-of-use, or similarly limited basis.
(12) The university will not enter into
agreements in which the names of the parties or the facts and terms of the
agreement cannot be revealed, but the specific topic of the research may be
kept confidential.
(13) The
university will not make any warranties, express or implied, including but not
limited to, implied warranties of merchantability and fitness for a particular
purpose.
(14) The university
prohibits use of its name or marks or intellectual property by another without
its specific prior written permission.
(15) The university will take title to all
equipment and supplies acquired under any sponsored agreement, unless covered
under a specific and separate written agreement executed by an authorized
representative of the university and that sponsor.
(16) The university routinely utilizes the
personal services of university employees, visiting professionals, students and
others who may not be United States citizens or permanent resident aliens of
the United States. Sponsoring or collaborating agencies must assume
responsibility for inquiry and/or waivers, in advance of entering into any
agreement with the university, under the federal export administration
regulations, international traffic in arms regulations, and/ or similar or
subsequent regulations concerning participation in research by or dissemination
of data to foreign nationals.
(1) While encouraging freedom of
inquiry, the university of Akron is committed to the scientific method and the
ethical conduct of research. Scholarly misconduct by employees, visiting
scholars, or students in research and scholarship broadly construed as applying
to scientific experimentation, artistic expression, and all other areas of
scholarship in any disciplines not in the spirit of the mission of the
university and therefore is not acceptable. The scholarly misconduct policy
governs any type of research or scholarship that is publicly disseminated,
either by presentation (formal or informal) or publication.
(2) Investigations of alleged scholarly
misconduct are conducted within the scope of the law and limited to the
discovery of information that would support or refute the allegation. Adverse
findings may provide grounds for disciplinary action, up to and including
dismissal from the university.
(3)
Inquiry and investigation procedures for scholarly misconduct relating to
university-related research or scholarship that is publicly disseminated.
(a) Reports of alleged scholarly misconduct
may be submitted in writing to, and will be investigated under the direction
of, the senior research officer. In addition, the senior research officer, the
provost, the president, or board of trustees may themselves initiate such an
investigation without a written allegation.
(b) Investigations of alleged scholarly
misconduct are conducted by an impartial inquiry committee formed by the senior
research officer. The inquiry committee is advised by the office of the general
counsel. Members of the inquiry committee are individuals with no real or
potential conflict of interest with regard to the alleged misconduct, and with
the necessary background to investigate it.
(c) If the subject of investigation is an
employee or assignee of an academic unit, the inquiry committee consists of two
full-time faculty members from the college of primary appointment of the
subject of investigation and one full-time faculty member from each of three
different colleges or universities.
(d) If the subject of investigation is not an
employee or assignee of an academic unit, the inquiry committee consists of two
members appointed by the vice president to whom the subject of investigation
reports and three members appointed by the senior research officer.
(e) The composition of the inquiry committee
is not necessarily limited to university of Akron employees.
(f) The subject of the investigation may
object to the selection of specific members, with foundation, in writing to the
senior research officer.
(g)
Inquiry committee chairs are elected by the committee. If the subject of
investigation is a faculty member, the chair's primary appointment must be in a
different college.
(h) If the
inquiry raises questions about the protection of human subjects, ethical animal
care and use, radiation safety, biohazards, and/or campus safety, the inquiry
committee will contact the appropriate university standing committee for
assistance. At the request of the inquiry committee or the senior research
officer, a member of each appropriate standing committee may be added as an
ex-officio but non-voting member of the inquiry committee.
(4) The guidelines for the operation of the
inquiry committee are as follows:
(a) The work
of the inquiry committee is divided into two processes. The process that occurs
first is the preliminary review of charges of scholarly misconduct to determine
if a charge of misconduct will stand. The second process that may occur is a
formal investigation of charges of scholarly misconduct.
(b) When charges of scholarly misconduct are
filed against an individual the senior research officer notifies the individual
of the substance of the charges in writing.
(c) The inquiry committee conducts interviews
with appropriate individuals and collects relevant information. The senior
research officer provides the committee with all information provided to
him/her in the filing of the charge. The provost or senior research officer
shall provide assistance and support to the inquiry committee when
requested.
(d) The individual who
is charged may be accompanied by legal counsel or other advisor during
interviews with the committee and/or individual members of the committee. The
role of counsel or other advisor is limited to observation and advising his/her
client on responding to questions.
(e) After collection, review, and discussion
of factual information, the committee submits a written report of their
findings to the senior research officer and the individual charged with one of
two recommendations:
(i) The charges are
without merit and the matter should be expunged from all personnel records of
the individual charged and the files of the committee sealed and delivered to
general counsel or
(ii) The charges
have merit and warrant a formal investigation.
(f) The written report of the committee
following the preliminary review must be completed within thirty days of the
notification of charges to the individual by the senior research officer. The
formal investigation must begin within fifteen days from the completion of the
preliminary review. A written report of the formal investigation must be
completed and submitted to the senior research officer within sixty days of the
notification of the charges to the individual.
(g) Written reports of the committee must
contain evidence reviewed, summaries of all interviews conducted, and the
conclusion/ recommendation of the committee.
(h) The senior research officer provides a
copy of the committee's report(s) to the individual charged.
(i) The individual charged can provide
written comments on the proceedings of the committee and these comments become
part of the permanent records of the committee's proceedings.
(j) If the recommendation of the committee,
at the conclusion of the preliminary inquiry, is that the charges are without
merit and the matter should be expunged from the personnel records of the
individual charged and the senior research officer does not agree with this
recommendation, the senior research officer informs the provost of such and
directs the committee to begin a formal investigation of the charges.
(k) The individual charged must be notified
in writing that a formal investigation is to be conducted. This notification
includes details of the charges of misconduct, summary of the general nature of
the evidence supporting the charges, and statements as to the rights of the
individual charged to i) have a hearing, ii) confront and cross-examine adverse
witnesses, iii) be heard in person and iv) present witnesses and documentary
evidence, and to have legal counsel at his or her expense with the same
limitations as in the preliminary review.
(l) If a formal investigation is to be held,
the senior research officer or designee takes appropriate administrative
actions to protect federal funds and to ensure that the purposes of any federal
financial assistance is being carried out. The federal office of research
integrity, located within the national institutes of health of the public
health service, is notified that an investigation is being conducted.
(i) The subject of investigation may have
private legal counsel, but the role of the subject of investigation employee's
legal counsel will be limited in the same manner as in the initial
inquiry.
(ii) The inquiry committee
will inform the senior research officer, who will promptly notify the federal
office of research integrity of:
(a) Any
reasonable indication of possible criminal violation.
(b) Any developments during the investigation
that disclose facts that may affect current or potential federal funding for
the individual(s) under investigation or facts that the federal agency needs to
know to ensure appropriate use of federal funds and otherwise protect the
public interest.
(iii)
In executive session the inquiry committee will seek, examine, and evaluate all
relevant facts, including but not limited to the charges, consider any written
responses to the charges by the subject of investigation, report by experts,
advice of consultants, etc. However, the subject of investigation has the right
to request a public hearing or a private hearing before the committee at which
time the subject of investigation will have the right to present any
explanation or rebuttal, to question any complainant, and to question the
committee.
(iv) For allegations
substantiated by the formal proceedings, the senior research officer will
inform appropriate funding agencies of the allegations and findings regarding
the scholarly misconduct.
(v) The
senior research officer will report findings and recommend further action to
the provost.
(vi) The provost may
recommend to the president one or more of the following disciplinary sanctions,
for action by the university board of trustees:
(a) Formal reprimand.
(b) Suspension from the university for a
definite period.
(c) Dismissal from
the university.
(d) Other remedial,
corrective, or other action that is deemed appropriate.
(vii) Illegal acts may also be subject to
prosecution by state and/or federal authorities.
(viii) A university employee may appeal a
negative decision and/or disciplinary sanctions in writing to the president,
with a copy to the provost, within fifteen days of receipt of the notice of the
decision. The president may consider the case in consultation with the
committee, senior research officer, provost, chair, dean or administrative
supervisor, as he/she deems appropriate; and with the general counsel. The
president will provide a decision on the appeal to the subject of
investigation, with copy to the provost, senior research officer, and the
general counsel, within thirty days of receiving the appeal.
(ix) The decision of the president will be
final, subject to the approval of the board of trustees.
(5) If, as a result of this
investigation the allegations are found without merit, the matter will be
expunged from all current personnel records of the subject of investigation,
and the accusation file will be sealed and delivered to the custody of the
office of general counsel.
(6) The
university will report promptly to those involved, in public and/or in private
as may be appropriate, those allegations that prove to be unsubstantiated and
those allegations that are substantiated.
(7) If it becomes apparent during the course
of any review, inquiry, or investigation that there are illegal issues and/or
that the conduct indicated or complained of may be criminal in nature, the
university's general counsel should be immediately notified and provided all
information and documentation gathered during the investigatory process to
date. The decision of how the investigation should proceed will be determined
by the general counsel. Criminal investigations take precedence over normal
university academic or advisory reviews. Sequencing of any other reviews will
be coordinated among the senior research officer, provost, general counsel, and
president.
(8) If a violation of
this policy involves a collateral proceeding under university policies
regarding a conflict of interest or conflict of commitment, then the senior
research officer will institute the conflict of interest and/or conflict of
commitment review(s), but the provost will defer a final decision or sanctions
on that matter until the scholarly misconduct inquiry and/or investigation
procedure is completed.
(9) The
detailed documentation of any allegation, accusation, inquiry, investigation,
and determination will be maintained by the office of general counsel of the
university for at least three years from the date of determination, date of
acceptance of a final report if any from the federal office of research
integrity and/or any inspector(s) general involved, or at least three years
from the termination of any related grant or contract, whichever date is later.
Documentation must be provided when required by law or upon request of
authorized government authorities.
(a)
Departmental, college, committee, and other university records are to be
retained confidentially to the extent permitted by law and may not be destroyed
without the permission of the university's general counsel and the university
archivist.
(10) A
whistleblower who raises or wishes to raise an allegation against a university
employee of scholarly or scientific misconduct or related wrongdoing must
respect the confidentiality of sensitive information and give legitimate
institutional structures an opportunity to function in resolution of the
matter. Whistleblowers and other witnesses have responsibility to raise their
concerns honorably and only with foundation. The university has a duty to
undertake review and actions as appropriate and not to tolerate or engage in
retaliation against good-faith whistleblowers. This duty includes providing
appropriate and timely relief to ameliorate the consequences of actual or
threatened reprisals, and holding accountable those who retaliate. Although a
whistleblower enjoys a privilege to report allegations of misconduct, the
office of research integrity states (position paper #1, the whistleblower's
conditional privilege to report allegations of scientific misconduct, 1993),
that abuse of the privilege may leave the whistleblower liable for defamation.
In addition, this may subject a whistleblower who abuses the privilege to
administrative action by the university.
(1) Business associate- Any person legally
linked with the employee in business contracts, partnerships, firms,
enterprises, franchises, trusts, joint ventures, finances, real estate, or in
other for-profit legal entities or agreements.
(2) Compensation- money, financial benefit or
things of value. Compensation does not include reimbursement for actual and
necessary expenses incurred in the performance of official duties or for actual
and necessary expenses reimbursed for services to non-profit organizations and
outside professional associations and related organizations.
(3) Conflict of commitment- a real or
apparent competition of outside activities such that an independent observer
might reasonably question whether the employee's professional actions or
decisions are or will be adversely affected by competing outside activities and
interests to the detriment of the employee's specific and primary duties to the
university and its mission.
(4)
Conflict of interest- a real or apparent divergence between a university
employee's private interests and his or her professional obligations to the
university, such that an independent observer might reasonably question whether
the individual's professional actions or decisions are or could be determined
by considerations of private gain rather than by potential benefit to the
university mission.
(5) Family
member- conflict of interest/commitment/nepotism- the "family" shall have the
same meaning as defined by section
2921.42 of Revised Code
(grandparents, parents, spouse, children, whether dependent or not,
grandchildren, brothers and sisters, or a person related by blood or marriage
residing in the same household). This will not apply in financial
disclosures.
(6) Family member-
financial disclosure in connection with external funding - for purposes of
considering issues of disclosure of financial interest and financial
relationships, "family" shall be deemed to mean employee, spouse and dependent
children.
(7) Financial interest-
anything of monetary value, including but not limited to salary or other
payments for services (e.g., consulting fees); equity interests (e.g., stock
options or other ownership interests); intellectual property rights (e.g.,
patents, copyrights, trademarks, trade secrets and royalties from such rights);
and any other interest which an employee has in a business enterprise outside
the university.
(8) Intellectual
property- an all-encompassing term now widely used to designate as a group at
least all of the following: patents or patentable inventions, trademarks,
copyrights, trade secrets, and the rights of publicity.
(9) Invention- a discovery or development
which may be patentable (novel, useful, and non-obvious), and certain types of
computer software.
(10)
Investigator- a principal investigator, project director, co-investigator, or
any other person at the university who is responsible for the design, conduct,
or reporting of research or educational activities funded by an external
sponsor.
(11) License- a permission
to use a right to intellectual property under defined conditions.
(12) Mission- the university's mission,
including teaching; research; scholarly and creative activities; and community
and public service.
(13) Outside
activities- outside professional association activities and outside consulting
activities.
(14) Outside consulting
activities- activities of university employees, other than their employment
obligations to the university, performed for compensation above actual and
necessary expenses or honoraria. These do not include outside professional
association activities. These may or may not involve conflict of interest or
conflict of commitment, which may need management.
(15) Outside professional association
activities- uncompensated activities (except for actual and necessary expenses
and honoraria) such as, but not limited to, those involving recognized
professional associations and societies or scholarly or advisory bodies related
to academic work or disciplines; serving on public commissions or boards of
philanthropic organizations; presenting guest lectures or scholarly papers at
academic or professional conferences; leading or participating in seminars,
workshops, or short courses sponsored by academic, government, or nonprofit
organizations; serving on review panels or accreditation teams; visiting
colleagues or model programs at other universities or public or nonprofit
institutions. Such uncompensated activities are not considered outside
consulting activities.
(16) Private
gain- acquiring something of value, profiting, receiving payment, or otherwise
receiving some form of personal financial or material increase or compensation
for self or family member(s), from the university of Akron.
(17) Provost- the senior vice
president and provost and chief operating officer.
(a)
Plagiarism.
(b) Falsification of
discovery.
(c) Theft of another's
discoveries, scholarly work, or creations.
(d) Violation of accepted scientific
procedures in making discoveries.
(e) Falsification of data.
(f) Abuse of confidentiality.
(g) Practices that seriously deviate from
those that are commonly accepted within the scientific or academic community or
discipline for proposing, conducting, or reporting research (not including
honest error or honest differences in interpretations or judgments of data) or
in publication, except that this is not intended to cover research or proposals
or publications that may be protected as an exercise in academic
freedom.
(h) Material failure to
comply with federal requirements, including protection of researchers, human
subjects, and the public; and/or to ensure the welfare and ethical care and use
of laboratory animals.
(i) Failure
to meet other material legal requirements governing research or sponsored
programs.
(a) An equity interest in an entity that does
business with the university of Akron that, when aggregated for the employee
and the employee's family members, meets one of the following tests: exceeds
ten thousand dollars in value as determined through reference to public prices
or other reasonable measures of fair market value, and represents more than a
five per cent ownership interest in any single entity as defined in paragraph
(H
G)(6) of
this rule.
(b) Salary, royalties,
or other payments that, when aggregated for the employee and the employee's
family members, exceeds ten thousand dollars in an entity doing business with
the university of Akron.
(c) A
significant financial interest does not include:
(i) Royalties or royalty-type
income/remuneration from the university itself.
(ii) Income from seminars, lectures, or
teaching engagements sponsored by public or nonprofit entities.
(iii) Income from service on advisory
committees or review panels for public or nonprofit entities,
Notes
Promulgated Under: 111.15
Statutory Authority: 3359
Rule Amplifies: 3359.03
Prior Effective Dates: 07/05/2000, 06/25/2007, 06/28/2012, 02/01/2015
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
No prior version found.