Ohio Administrative Code › Title 3359 - University of Akron › Chapter 3359-11 - Polilcies on Hiring Policies and Benefits › Section 3359-11-17 - Conflict of interest, conflict of commitment, scholarly misconduct, and ethical conduct - policies and procedures

Current through all regulations passed and filed through July 1, 2024
(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
									, each
			 university employee will submit a potential conflict of
			 interest/commitment and request for preapproval of outside activities
			 form
									 (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  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
										, 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
									 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
										 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
										). 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
									 on or before the first of May
			 and continue to update the form throughout the year
									. Completed reports are
			 to be sent  to the
			 
									employee's immediate supervisor
			 for preapproval of the activity.
			 
									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. 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.
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 (
									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 (G)(6) and (G)(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 (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
										 the concerns they, or others, have with this
			 policy.
(d) To review and forward
			 to the executive vice president and chief
			 administrative 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.