Policy
A. Persons
Covered
B. Definitions
C. General Principles
1. Conflict
of Commitment Principles
2. Conflict of Interest
Principles
D. Specific
Responsibilities
E. Examples of Allowable
Income-Generating Activities
F. Examples
of Non-Allowable Activities for Those Requiring Prior Approval
and Potential Management
A.
Persons Covered
This Policy applies to all paid academic staff members,
whether part time or full time, of the University of Illinois.
The academic staff includes the faculty ranks of professor,
associate professor, assistant professor (and all of the
foregoing whose appointments contain such terms as "research,"
"adjunct," "visiting," or "clinical"),
instructor, and lecturer, as well as academic professionals
and postdoctoral associates. All covered persons are referred
to herein as "academic staff members". For the
purpose of this Policy, students, including medical residents,
are not considered academic staff.
B. Definitions
1. A "conflict
of commitment" exists when the external activities
of an academic staff member are so substantial or demanding
of the staff member's time and attention as to interfere
with the individual's responsibilities to the unit to which
the individual is assigned, to students, or to the University.
2. A "conflict of interest" arises when an academic
staff member is in a position to influence either directly
or indirectly University business, research, or other decisions
in ways that could lead to gain for the academic staff member,
the staff member's family, or others to the detriment of
the University's integrity and its missions of teaching,
research, and public service.
3. "Family",
for the purposes of this Policy, includes one's spouse and
children.
4. The "unit
executive officer" means the department head/chair,
or equivalent officer of other units, in whom primary authority
resides. For conflicts involving a unit executive officer,
the term refers to the administrator at the next higher
level in the normal reporting lines.
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C. General Principles
Conflicts of commitment and interest occur because of the
type and scope of activities engaged in by the University
and its academic staff members. The mere existence of a
conflict, real or potential, will not necessarily exclude
a particular activity since conflicts can span a wide spectrum,
from those that are minor and inconsequential to those that
have serious consequences and cannot be permitted. The University
and its academic staff members have ethical and legal obligations
to conduct themselves and their University activities in
accordance with the highest standards of integrity.
Although teaching
and research are primary functions of the University, public
service is an inherent responsibility. Employee contributions
to his/her profession and to the citizens and economic development
of the State of Illinois are not solely represented by functions
and activities performed on behalf of University programs.
Active participation
by academic staff members in outside activities that enhance
the professional skills of staff members, or constitute
a public service activity are encouraged. For example, donation
of professional services to outside organizations and participation
in professional societies, for reasonable periods of time
without substantial allocation of University resources,
are promoted. However, the University expects academic staff
members to accord a full professional commitment to the
University during the terms of appointment by meeting University
obligations first and foremost.
For reporting
and review purposes, conflicts of commitment only occur
during the contract period; conflicts of interest can occur
beyond the contract period.
1. Conflict of Commitment Principles
Interaction between academic staff members and external
entities for reasonable periods of time and for personal
remuneration is desirable and encouraged when the relationship
enhances the professional skills of staff members, or constitutes
a public service activity and is a benefit to the University.
The time allowable will vary among individuals, from discipline
to discipline, from one type of proposed activity to another,
and will be affected by specific departmental needs to meet
teaching, research, service, and governance functions. As
a practical guide and subject to prior approval, the University
may approve the equivalent of up to one day per week for
full-time faculty (40 days per academic year appointment
and 52 days per calendar year appointment). Such released
time is not an automatic entitlement and requires prior
written approval by the unit executive officer.
Assuming prior
approval has been given for an external activity, academic
staff members are expected to arrange the outside obligations,
financial interests, and activities so they do not impede
or conflict with their University duties and responsibilities.
Released time
is not normally available for activities that are primarily
personal in nature, that do not enhance the academic staff
member's professional skills, or that are not a potential
benefit to the University.
With the exception
of the types of activities indicated in Section III. E below,
remunerated activities must be reported whether related
to one's professional duties or not. Approval will be denied
only if a conflict of commitment or interest is present,
as elaborated in this Policy.
This Policy is
generally not concerned with unremunerated activities, whether
of a charitable or professional nature. However, when any
activity interferes with an academic staff member's responsibilities
to the University, including accessibility by students,
staff, and other clients, a conflict of commitment will
exist.
2. Conflict of Interest Principles
Because a role of the University is to create and disseminate
knowledge, an academic staff member must avoid external
commitments which would encumber one's choice of subject
matter and/or research strategies. In addition, a delay
in disseminating information (i.e., publication of research
results, seminars, etc.) for inappropriate periods of time
must be avoided.
When consulting
privately with external entities, academic staff members
are acting in their individual capacities and must make
it understood that they are not acting on behalf of the
University. To this end, academic staff members may wish
to include in private consulting arrangements reference
to this Policy and to refer questions to the Vice Chancellor
for Research. An academic staff member may use his/her University
title when signing reports and letters pertaining to outside
work so long as it is clear to the recipient that the University
title is used for identification only. Official University
stationery shall not be used in private outside work.
In general, University
facilities and resources should not be used for non-University
activities. Such use is limited to those activities that
enhance the academic staff member's University-related professional
skills and requires prior written agreement from the unit
executive officer.
It is improper
for an academic staff member, without prior written approval,
to divert to external entities or other institutions opportunities
for research support that could have been obtained by the
University.
In order to protect
the University's intellectual property rights and comply
with federal guidelines and the University commitment to
technology transfer, an academic staff member must make
University obligations known to external entities with whom
business is contracted and provide them with a statement
of relevant University policies governing inventions and
discoveries. University intellectual property may not be
assigned to other entities without prior approval through
established University procedures.
Careful scrutiny
is required when the academic staff member's financial interests,
or the assumption of outside executive or administrative
responsibilities, appears to be incompatible with the individual's
duties and obligations to the University.
Likewise, such
financial interests and activities merit additional monitoring
when the academic staff member may be in a position to influence
University research or business decisions in ways that could
lead to the staff member's direct or indirect personal financial
gain or give improper advantage to the staff member's family
or others. If the proposed activities are to be approved,
appropriate control mechanisms must be established in writing
prior to the commencement of the activity and continuously monitored.
Research agreements
with external entities, especially entities with which academic
staff members have a financial, managerial, or executive
relationship, are of special concern. The terms and enactment
of such agreements must maintain basic academic values and
promote the development and open dissemination of knowledge.
Likewise, the educational experience of the University's
students and postdoctoral fellows should not be diminished
or impeded in any way. In order to maintain the University's
credibility and public trust, neither interference in the
choice by academic staff members of the scientific or scholarly
subjects they pursue, nor diversion of their energies or
University resources from its primary missions should occur.
All research agreements between the University and external
sponsor are subject to prior approval through established
University review procedures.
The involvement
of University students or employees in the outside professional
activities of an academic staff member can be beneficial.
However, such involvement must be disclosed, reviewed, and
approved in writing by the unit executive officer i n advance
to assure that exploitation or unreasonable interference
with University duties and responsibilities, including course
and thesis work, does not occur. Students and staff involved
in these outside professional activities shall be made fully
aware of the circumstances, University policy regarding
these activities, and the precautions instituted by the
academic staff member and the unit executive officer in
its regard. Additional situations of concern include those
that might prejudice an academic staff member with respect
to judging other staff in issues of rank, pay, and tenure
by virtue of collaboration in outside activities. The unit
executive officer may need to implement appropriate monitoring
depending on the facts of specific cases.
State and federal
agencies have legitimate concerns that any research they
sponsor is free of bias due to financial interests of the
investigator and institution, that funds provided be expended
as intended, and that the commitment of time and effort
be appropriate for the project supported. Most governmental
agencies have required institutions to assume the responsibility
for ensuring that these concerns are addressed. Failure
to comply may jeopardize existing or future funding. Accordingly,
acad emic staff members must cooperate fully with the University
to ensure that the institution can resolve and/or manage
potential and actual conflicts of commitment and interest
in conformity with regulations of governmental granting
agencies.
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D. Specific Responsibilities
The academic staff member is required and expected to take
the initiative to promptly report in detail to the unit
executive officer, asking for prior written approval for
all activities or situations that may involve, or appear
to involve, a conflict of commitment or interest, and to
respond fully and in a timely manner to inquiries from the
unit executive officer in connection with that report.
The unit executive
officer has the duty and responsibility to evaluate carefully
all potential conflict situations reported or known before
acting to approve or disapprove the activities. As a state
institution, the University is entitled to posses s sufficient
information and control to discharge its obligations of
public accountability. Accordingly, in a specific conflict
situation, it may be appropriate for the unit executive
officer to inquire into a number of factors, including the
extent of the time commitment, the income derived by an
academic staff member from consulting or management activities,
or the extent of financial or other interests in external
entities over which the academic staff member or his/her
family have sufficient influence to be able to affect its
general policy or specific decision.
On each campus,
the Vice Chancellor for Research has the responsibility
for implementing this Policy. In matters of conflicts of
commitment or interest, he/she is advised by a Conflict
Review Committee made up of at least three academic staff
members. All reports of potential conflicts, remedies for
managing them, and sanctions for violation of this Policy
shall be transmitted through normal reporting channels to
the Vice Chancellor for Research for review and approval.
In some cases, final approval by the President or the President's
designee may be required. All communications with governmental
entities relative to conflicts involving individual academic
staff members will be made by the Vice Chancellor for Research.
When a conflict
is identified, and a decision is made to allow the activity
to proceed, the appropriate University officer may install
appropriate monitoring procedures and restrictions to minimize
and control the conflict. Mutually agreeable remedies are
encouraged. The academic staff member must be afforded an
opportunity to respond to a proposed remedy and to appeal
it to the next higher administrative level.
When an academic
staff member violates this Policy or the remedies imposed
under this Policy, sanctions may be imposed, subject to
appeal.
For purpose of
this Policy, academic staff members of the Central Administration
will be treated as members of the campus on which they are
housed. Reports, remedies, and sanctions for such staff
shall be routed to the respective Vice Chancellor for Research.
All parties to
the evaluation, management, and approval of conflicts are
to make diligent efforts to keep disclosures, remedies,
and sanctions confidential to the extent allowed by law.
When required by a granting agency, the Vice Chancellor
for Research will report a conflict and its management to
that agency. Failure to satisfactorily resolve or manage
a conflict may require that it be divulged. The granting
agency will have access to relevant documents as part of
an investigation or audit. The granting agency may also
stipulate that significant conflicts of interests must be
disclosed at each public presentation of research results.
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E. Examples of Allowable Income-Generating
Activities
The following are offered as examples of external, income-generating
activities that are not considered conflicts of interest.
They are exempt from reporting requirements, unless they
are so extensive in time and effort that they constitute
a potential conflict of commitment.
1. Receiving honoraria, stipends, and/or royalties for published
scholarly works and other writing, creative works, lectures,
and/or presentations.
2. Participating
at professional conferences for the purpose of making scholarly
presentations, conducting seminars or workshops.
3. Receiving
honoraria for serving as a special reviewer or on a review
panel for academic, governmental, or not-for-profit organizations.
4. Participating
in a clinical practice plan approved by the University of
Illinois Board of Trustees.
5. Receiving
royalties under the University's or another academic institution's
royalty distribution policies.
6. Preparing
books, articles, software and other creative works relevant
to University duties.
7. Earning income
from passive investments such as interest or dividends from
banks, mutual funds, or stocks and bonds.
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F. Examples of Non-allowable Activities
or those Requiring Prior Approval and Potential Management
The following activities represent examples of potential
or actual conflicts of commitment or interest. The list
is not inclusive and is intended to provide guidance.
1. Failing to fully meet University responsibilities (e.g.,
conducting classes, assisting students outside of class,
conducting research, serving on committees) due to involvement
in external activities.
2. Using University
resources to conduct research that is sponsored by an entity
in which the academic staff member or his/her family member
holds a substantial financial interest.
3. Serving in
an executive or managerial capacity or holding significant
financial interests in for-profit or not-for-profit entities
doing business with the University.
4. Serving on
the board of directors or major advisory committee of an
external entity which sponsors the academic staff member's
research or provides gift funds for the use of the academic
staff member or his/her department.
5. Utilizing
University students or employees in consulting activities,
activities supported by gift funds, and/or research sponsored
by an entity in which the academic staff member has financial
interests.
6. Conducting
testing or clinical trials of products, devices, or services
owned or controlled by a business in which the academic
staff member or a member of his/her family has a financial
interest or receives remuneration.
7. Diverting
research opportunities from the University to another academic
institution, federal laboratory, business, or consulting
entity.
8. Directing
purchasing opportunities to a family-owned company or an
associated entity.
9. Making professional
referrals to a business in which an academic staff member
or a member of his/her family has a financial interest,
while acting in the context of his/her University duties.
10. Conducting
business activities involving students or staff.
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