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Faculty Conflict of Commitment and Conflict of Interest
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Policy on Faculty Conflict of Commitment and Conflict of Interest
September 1, 2001
I. PREAMBLE
II. CONFLICT OF COMMITMENT
III. CONFLICT OF INTEREST
IV. IMPLEMENTATION
V. SANCTIONS
Northwestern University
POLICY ON FACULTY CONFLICT OF COMMITMENT AND CONFLICT OF INTEREST
Northwestern University believes that a great university should reach out to the world. Accordingly, Northwestern encourages its Faculty Members1 to seek and participate in sponsored research, to consult, and to engage in other activities that may benefit not only the participants, but also the University and the larger public.
The opportunities for such activities, compensation for them, the amount of time they may consume, and the substantive relationships they may bear to University duties vary greatly across disciplines, and within disciplines, according to the facts of each situation. The variety and complexity of the University and its various units make it necessary, on the one hand, to establish a general policy on faculty conflict of commitment and conflict of interest, and, on the other hand, to ensure that there will be flexibility in interpreting that policy.
The premise of this Policy is that each Northwestern University Faculty Member has a fundamental obligation to act in the best interests of the University and must not let outside activities or outside financial interests interfere with that obligation. The purposes of this Policy are to educate Faculty Members about situations that generate Conflicts of Commitment and Conflicts of Interest, to provide means for Faculty Members and the University to manage those conflicts, and to promote the best interests of students and others whose work depends on Faculty Members' direction. Every Northwestern Faculty Member has an obligation to become familiar with, and abide by, the provisions of this Policy. If a situation raising questions of Conflict of Commitment or Conflict of Interest arises, Faculty Members are urged to discuss the situation with the department chair, center director, school dean, or Vice President for Research.
[1] Terms capitalized in the text are used as defined in this policy.
I. PREAMBLE
In recent years the number of Faculty Members engaged in sponsored research, consulting, or other interactions with external entities has grown substantially. Increased research support from the private sector, changes in federal law and regulations encouraging technology transfer, and the continued need of the University and its employees to demonstrate public accountability have necessitated new approaches in the management of Conflict of Interest. The intent of this Policy is to enable Faculty Members to recognize situations that may be subject to question and to ensure that such situations are properly reviewed and, if necessary, supervised or monitored. Thus, an integral part of the Policy is a disclosure mechanism whereby Faculty Members regularly report their activities for review and approval by the department chair, center director, dean, or Vice President for Research (see "Reporting responsibility and approval authority"). As discussed in detail below, activities which may be subject to questions of Conflict of Commitment or Conflict of Interest must be approved before the activity is undertaken.
The Policy fulfills two other purposes as well. First, it provides Faculty Members with meaningful guidance for the continued development and future structuring of productive relationships with industry. Second, by virtue of its provision for full disclosure, the Policy provides assurance to Faculty Members, the University, and, most important, the public, that such relationships have been examined and will be conducted in a manner consistent with institutional and public values.
Conflicts of Interest are common and practically unavoidable in a modern research university. At Northwestern, Conflicts of Interest can arise because a mission of the University is to promote public good by fostering the transfer of knowledge gained through University research and scholarship to the private sector. Two important means of accomplishing this mission include Faculty Members' consulting and the commercialization of technologies derived from Faculty Members' research. It is appropriate that Faculty Members be rewarded for their participation in these activities through consulting fees and sharing in royalties resulting from the commercialization of their work. It is inappropriate, however, for actions or decisions made in the course of a Faculty Member's University activities to be determined by considerations of personal financial gain. Such behavior calls into question the professional objectivity and ethics of the Faculty Member, and it also reflects negatively on the University. Northwestern University is an institution of public trust; Faculty Members must respect that status and conduct their affairs in ways that will not compromise the integrity of the University.
Determination of whether a Conflict of Commitment or Conflict of Interests exists in a particular instance will always be a matter of judgment. There are certain cases in which the appearance of Conflict of Interest is present, even when no conflict actually exists. Because these apparent Conflicts of Interest must also be managed or avoided, it is important for a Faculty Member, in evaluating a potential Conflict of Interest, to consider how it might be perceived by others. A full written disclosure, reviewed and approved by the appropriate administrator (see "Reporting responsibility and approval authority"), is required in order to avoid any real or apparent conflict between the obligations of Faculty Members to the University and to their personal interests and other competing commitments.
The responsibility for disclosing potential Conflicts of Commitment or Conflicts of Interest rests with the individual Faculty Member. It is the responsibility of the University to determine if the disclosed interests could directly and significantly affect the Faculty Member's performance of University responsibilities and, if so, to require the management, reduction, or elimination of the conflict. The activities of Faculty Members must be governed by thoughtful and shared consideration of individual circumstances, rather than rigid rules; sound administrative discretion is an integral part of the University's Conflict of Interest system.
Within this framework, any review of a potential conflict will be undertaken in light of four general propositions.
- First, Conflicts of Commitment and Conflicts of Interest are inevitable.
- Second, Faculty Members must disclose activities that may give rise to Conflicts of Commitment and Conflicts of Interest for administrative review and approval.
- Third, Faculty Members may act in dual roles as long as the proposed activity has been disclosed and approved.
- Fourth, a conflict may be so profound that the Faculty Member will not be allowed to participate in a particular transaction and/or activity, or to make a decision for the University, or to attempt to influence a decision made or to be made by the University.
For purposes of this Policy, "Faculty Member" means any person possessing either a full- or part-time academic appointment in Northwestern University, including faculty-level research appointees, but normally excluding adjunct and contributed service faculty. The immediate family of a Faculty Member includes his/her spouse, dependent children as determined by the Internal Revenue Service, or domestic partner.2
[2] Definitions appear in bold italics and pertain to the capitalized terms throughout the policy.
II. CONFLICT OF COMMITMENT
A. Definition and disclosure requirements
Northwestern University Faculty Members owe their primary professional allegiance to the University; their primary commitment of time and intellectual energies is to the education, research, and scholarship programs of the University. A "Conflict of Commitment" occurs when the time devoted to external activities adversely affects a Faculty Member's capacity to meet University responsibilities. Any outside employment, and even activities such as pro bono work and government service in the public interest, must be managed so as not to take precedence over a Faculty Member's primary commitment to the University.
The Northwestern University Faculty Handbook describes the responsibilities of the faculty and stipulates that faculty members holding full-time appointments may not hold full-time appointments of any type in any other organization, nor may they hold faculty appointments at other educational institutions without written approval from their dean. It is important to recognize, however, that the obligations of Northwestern faculty members move beyond the letter of these policies to their spirit. The University requires that its faculty members meet their classes; but it also expects that they will be available to students outside of the classroom, will carry their share of committee responsibilities, will meet any clinical obligations, and will remain productively involved in their research and other scholarly or artistic pursuits. External activities that compromise or diminish a Faculty Member's capacity to meet these obligations represent a Conflict of Commitment. Accordingly, Compensated Professional/Commercial Activities, including outside consulting activity, should not generally exceed, on the average, one day per calendar week during that portion of the year when a Faculty Member is drawing academic year or summer salary. Guidelines for accepted standards for Non-compensated Professional Activities will be established by each school dean in consultation with the Vice President for Research.
Each Faculty Member is to disclose any existing or potential Conflict of Commitment situation on an annual basis following procedures established by the school in conformity with this Policy. (See "Implementations.")
A Faculty Member intending to engage in an activity that may present a Conflict of Commitment must provide written notification to the department chair, center director, dean, or Vice President for Research (see "Reporting responsibility and approval authority"). The Faculty Member will be advised in writing, within ten business days, whether the activity has been approved and may be undertaken.
B. Non-compensated Professional Activities
"Non-compensated Professional Activities" are those outside activities that extend and enhance a Faculty Member's normal institutional responsibilities of teaching, research, and service to serving public institutions, educational organizations, and professional societies. Faculty Members are encouraged to engage in Non-compensated Professional Activities as long as such activities do not interfere with the Faculty Member's teaching, research, and service responsibilities to the University. Professional activities are considered non-compensated even though an honorarium may be provided. The following are typical examples of Non-compensated Professional Activities. These activities should be reported following established school procedures, but need not be approved unless the activity represents a Conflict of Commitment.
- Occasional lectures, colloquia, and seminars given at colleges, universities, meetings of professional societies, and organizations with which the Faculty Member has no research relationship.
- Preparation of monographs, chapters, and editorial services for educational or professional organizations.
- Peer review of articles and grant proposals.
- Membership on editorial boards.
- Service on advisory committees or evaluation panels for government funding agencies (e.g., National Institutes of Health study panels), nonprofit foundations, and educational organizations.
- Leadership positions in professional societies.
- Preparation of textbooks and other pedagogical materials.
- Delivery of continuing professional education.
C. Consulting and other Compensated Professional/Commercial Activities
Northwestern encourages Faculty Members to facilitate the transfer of knowledge gained through academic research to applications that can benefit the general population. Moreover, experience gained by Faculty Members in the course of Compensated Professional/Commercial Activities can enhance their teaching and research or scholarship within the University. But Compensated Professional/Commercial Activities, including outside consulting, can create the potential for Conflicts of Commitment and/or Conflicts of Interest, particularly when there is opportunity for personal gain on the part of the Faculty Member.
"Compensated Professional/Commercial Activity," including outside consulting, refers to paid service as a technical or professional adviser or practitioner. It is the use of one's professional capabilities to further the agenda of a third party for personal financial gain, whether one is on the payroll of the organization, working as an independent contractor, or serving as director or manager.
D. Reduction in University responsibilities and compensation and leaves of absence
When involvement in Non-compensated Professional Activities and/or Compensated Professional/Commercial Activities may compromise or diminish a Faculty Member's ability to fulfill his/her obligations to the University, an appropriate reduction in University responsibilities and compensation should be arranged. Arrangements for part-time status to accommodate professional or commercial activities must be approved by the appropriate administrator (see "Reporting responsibility and approval authority") and should normally be of limited duration. Depending on the needs of the school and department and/or center, as well as to protect the University's interests, it may be necessary to deny some requests for such arrangements.
When involvement in Non-compensated Professional Activities and/or Compensated Professional/Commercial Activities substantially impairs a Faculty Member's ability to fulfill his/her obligations to the University, an unpaid leave of absence from the University should be arranged. Except in extraordinary circumstances, a leave of absence should not exceed one year, and the frequency and duration of leaves of absence should not be such as to impair a Faculty Member's contribution to the University. (See provisions on leaves of absence in the Northwestern University Faculty Handbook.)
III. CONFLICT OF INTEREST
A. Definition and disclosure requirements
In general, a "Conflict of Interest" occurs when there is a divergence between a Faculty Member's private interests and his/her professional obligations to the University, such that an independent observer might reasonably question whether the Faculty Member's professional actions or decisions are determined by any considerations other than the best interests of the University.
Disclosure of consulting and other Compensated Professional/Commercial Activities is required if the amounts received from these activities total more than 10% of the Faculty Member's University salary, except under special circumstances as defined by the school dean and the Vice President for Research. External Financial Interests, as described later in this section, must be disclosed as well.
Whenever a Conflict of Interest exists, the Faculty Member involved will not make a decision for the University, or in any way attempt to influence a decision made or to be made by the University, if that decision could affect the private interests of the Faculty Member.
A Faculty Member intending to engage in an activity that may present a Conflict of Interest must provide written notification to the department chair, center director, dean, or Vice President for Research (see "Reporting responsibility and approval authority"). The Faculty Member will be advised in writing, within ten business days, whether the activity has been approved and may be undertaken.
Each Faculty Member is to disclose any Conflict of Interest or potential conflict situation, as described below, on an annual basis following procedures established by the school in conformity with this Policy. (See "Implementation.")
B. Situations that may create a Conflict of Interest
The following are examples of situations in which a Conflict of Interest may arise and which must be disclosed to the appropriate administrator (see "Reporting responsibility and approval authority") for approval.
1. External Financial Interests
External Financial Interests create Conflicts of Interest when they provide, or appear to provide, an incentive to the Faculty Member to affect a University decision or other University activity (for example, because of the possibility for personal gain), and when the Faculty Member has the opportunity to affect the University decision or other University activity (for example, because he/she is the principal investigator for a research project). If there is both sufficient incentive from the External Financial Interest and opportunity to affect the University activity, a Conflict of Interest exists.
For purposes of this Policy, "Financial Interest" means that a Faculty Member or any members of his/her immediate family (spouse, dependent children as determined by the Internal Revenue Service, or domestic partner) have an interest in a business consisting of:
(1) any stock, stock option, or similar ownership interest, excluding any interest arising solely by reason of investment in such business by a mutual, pension, or other institutional investment fund over which the Faculty Member does not exercise control; and/or
(2) receipt of, or the right or expectation to receive, any income from such business, or from an agent or other representative of such business, whether in the form of a fee (e.g., outside consulting), salary, allowance, forbearance, forgiveness, interest in real or personal property, dividend, royalty derived from the licensing of technology, rent, capital gain, real or personal property, or any other form of compensation, or any combination thereof.
Financial Interest does not include current or pending ownership interests in an entity that, when aggregated for the Faculty Member and members of his/her immediate family, amounts to less than $100,000 in financial interests and also represents less than one-half percent (0.5%) of the company's equity. Financial Interest does not include ownership interests such as mutual funds that are managed by an independent third party.
"External Financial Interests" are those Financial Interests that do not involve the University as an institution. The receipt of royalties from a patent license is a Financial Interest, but a Faculty Member's receipt from the University of a share of royalties from a University license of his/her invention/creation is not an External Financial Interest for purposes of this Policy.
Faculty Members' External Financial Interests are of concern if, for example:
- The outside entity's activities compete with those of the University, and the Faculty Member or members of his/her immediate family are in a position to control, direct, or influence the relationship between the outside entity and the University.
- The outside entity has a present or prospective relationship with the University ¡ e.g., as supplier of goods or services or as party to research contracts - and the Faculty Member or members of his/her immediate family are in a position to control, direct, or influence the relationship between the outside entity and the University.
- The outside entity is engaged in activities that are inconsistent with the standards and purposes of the University and that may bring discredit to the University.
2. Consulting and other Compensated Professional/Commercial Activities
Compensated Professional / Commercial Activities, including outside consulting activity, can generate Conflicts of Interest, regardless of the time involved. An example is submitting research proposals through channels other than Northwestern to support work that could be performed at the University. First, the use of Northwestern resources in the course of that work is practically unavoidable. Second, it becomes difficult, if not impossible, for the University to review and reward the contributions of Northwestern Faculty Members if work is managed and/or conducted elsewhere. Third, the action can result in situations that place students and support staff in Conflicts of Interest. For these reasons, absent express approval by the appropriate administrator (see "Reporting responsibility and approval authority"), Northwestern Faculty Members may not serve as principal investigators on sponsored projects submitted and managed through other academic, federal, or commercial institutions.3 This stipulation does not apply to subcontracts awarded to Northwestern University; it is not intended to limit Faculty Members' participation in multi-site training or research programs, nor is it intended to apply to circumstances in which the Faculty Member's research requires access to facilities not available at Northwestern.
[3] C.f. Northwestern University policy Applicant Organization and Submission of Proposals for Research or Sponsored Programs.
Whenever Faculty Members are involved in research as part of their Compensated Professional/Commercial Activities, including outside consulting activity, they must establish clear boundaries that separate their University and outside obligations so as to avoid questions about their appropriate use of resources and attribution of products of their work.
Significant management roles ¡ those that involve supervision of the work of others and/or day-to-day responsibility for operating decisions ¡ in private business typically are demanding in terms of both time and energy. It is unlikely that such roles can be fulfilled by a manager working only one day per week, the maximum time generally permitted for full-time Faculty Members to engage in Compensated Professional/Commercial Activities. Accordingly, Faculty Members may not accept significant managerial responsibilities without an appropriate reduction in University responsibilities and compensation and approval of the appropriate administrator(s). (See "Reporting responsibility and approval authority" and "Reduction in University responsibilities and compensation and leaves of absence.") Special arrangements for funding Faculty Members' Compensated Professional/ Commercial Activities, including compensation from either Northwestern or non-Northwestern sources, must be approved by the appropriate administrator (see "Reporting responsibility and approval authority").
Faculty Members holding full-time appointments may not hold full-time appointments of any type in any other organization, nor may they hold faculty appointments at other educational institutions without written approval from their dean.
3. Use of students/support staff on outside activities
The integrity of the University as a community of scholars requires the free and open exchange of ideas and results of scholarly activities. Faculty Members are obligated to maintain an atmosphere free from unwarranted external influences. Students, including postdoctoral scholars, and collaborators must be able to pursue topics of interest, have access to available information and facilities, and be able to communicate the results of their work to other scholars and the public. Therefore, Faculty Members must ensure that the activities of students are not subordinated to the personal commercial interests of the Faculty Member, and that the work of students, support staff, and collaborators is not exploited in the course of a Faculty Member's outside obligations. It is inappropriate for a Faculty Member to assign University tasks to students or support staff for purposes of financial gain for the Faculty Member, rather than for the advancement of the scholarly field or to meet the students' educational needs.
Faculty Members must disclose and receive approval from the department chair or center director for any anticipated use of students' or support staff's time, work, or ideas. A Faculty Member must inform students, support staff, and collaborators if he/she has a personal commercial interest in the research project.
Students. Part-time involvement of students in the Compensated Professional/Commercial Activities of Faculty Members (including, for purposes of this section, activities leading to the development of Compensated Professional/Commercial Activities of Faculty Members) may, under certain conditions, offer the potential for substantial benefits to the education of the student. In each case of such involvement, the Faculty Member must obtain prior approval from the school dean after discussion with the department chair, student's thesis advisor (if other than the Faculty Member), and the student. In this context, "involvement" means any substantive activity, whether paid or unpaid.
In considering such arrangements, the Faculty Member will be guided by the need to avoid infringement upon the student's academic duties and rights. Generally, if the Faculty Member has a role in supervising the student's thesis or in supervising the work of the student as a graduate teaching assistant, such outside involvement should not be undertaken. If the Faculty Member does not have a role in supervising the student's thesis and/or the student's work as a teaching assistant, such involvement may be undertaken once approval is obtained from the school dean after discussion with the department chair, student's thesis advisor, and the student.
If Faculty Members are already associated with students in Compensated Professional/ Commercial Activities ¡ e.g., common involvement in a start-up company ¡ they should disqualify themselves from becoming research supervisors, academic program advisors, or examiners for an advanced degree of those students. Within a Northwestern research laboratory or academic unit, Faculty Members should take care not to give the impression of favoritism to those students with whom they are associated in outside activities. Generally, full-time research assistants should not be involved in Faculty Members' Compensated Professional/Commercial Activities. A part-time research assistant may engage in such activity, once approval is obtained, if the outside work is not thesis-related and if the Faculty Member is not his/her supervisor.
Support staff. It may be appropriate for support staff to assist Faculty Members in their Compensated Professional/Commercial Activities, depending upon the nature and extent of the support staff involvement. However, because such involvement is a potential source of conflict between Faculty Members and their support staff, any support staff involvement must be approved by the department chair or center director and discussed with the staff person.
- It is normally appropriate for support staff to assist Faculty Members in their Non-compensated Professional Activities. If the effort required to provide such support is likely to be substantial and long term, however, a Faculty Member must reach agreement on appropriate arrangements with the department chair or center director.
- Faculty Members may not require support staff to perform duties related to their personal and nonprofessional activities.
4. Use of University resources
The University's name, facilities, and equipment are to be used solely for the furtherance of University goals and not for the benefit of, or to imply the University's support of, non-University activities. Faculty Members may not use University resources, including facilities, equipment, or confidential information, for non-University purposes. The University may grant permission to a Faculty Member to use University facilities in his/her pursuit of outside activities or interests, but only where there is evidence that the work of the Faculty Member, supported by University resources, will be of significant benefit to the University, and where the initial period of the work is limited to one year, renewable for not more than an additional two years.
Inappropriate uses of University resources include the following:
- Using the name of the University or its letterhead in sponsoring or recommending any commercial service or product, regardless of whether the Faculty Member has any interest in the promotion, or in connection with an outside organization that the Faculty Member established or of which he/she is a director, unless the participation in that organization is at the request of the University or is otherwise a part of the Faculty Member's normal University duties.
- Granting external entities access to Northwestern facilities or services for purposes outside the University's missions, or offering favors to outside entities in an attempt to influence them unduly in their dealings with the University.
- Using confidential information acquired through conduct of University business or research activities for personal gain, or granting to others unauthorized access to such information.
- Providing preferential access to research results, materials, or products generated from University teaching or research activities to an outside entity for personal financial gain. (Appropriate licensing arrangements for inventions/creations or consulting on the basis of sponsored project results in accordance with this Policy would not be precluded.)
5. Clinical trials
Clinical trials involve particularly sensitive issues in cases where the investigator has a personal Financial Interest in the outcome. The processes that must be followed in the testing and development of new therapeutics raise an inherently contradictory situation for Faculty Members, since frequently the inventors of therapies or medical devices are those who do research on the disease in question, are the leaders in the field, and are the most qualified to carry out pre-clinical and clinical testing. Also, the laboratories and Faculty Members most qualified to conduct trials may receive, or be candidates to receive, research support from the external organization. In neither case could the Faculty Member be disinterested with respect to the outcome of the trials.
Therefore, the Faculty Member must take appropriate steps to guarantee objective evaluation of the agent or device, especially for advanced clinical trials (FDA phase II and phase III). Testing might involve other members of the department or division, but if the Faculty Member is a department chair or division chief, referring the therapy/device to another Faculty Member, particularly to a junior Faculty Member, for testing may carry implied coercion.
The school dean must approve any proposed activity, and integrity must be protected by the establishment of an independent oversight group for evaluation and monitoring of the research (e.g., an ad hoc committee appointed by the school dean) whenever:
- a Faculty Member is involved in clinical trials of his/her inventions/creations;
- a company licensed to use a Faculty Member's invention/creation is sponsoring the trial;
- there is any reason to question a Faculty Member's objectivity;
- the outcome of the trial could be seen as influencing existing or potential research support;
- such testing is referred to other members of the Faculty Member's department or division.
6. University dealings with entities with which Faculty Members have a relationship
Arrangements between Northwestern University and outside entities in which a Faculty Member or members of his/her immediate family have Financial Interests, or any employment or consulting roles, raise particular questions of potential or apparent Conflicts of Interest which require special ad hoc disclosures, review, and approval.
Before the University enters into any of the following arrangements, the involved Faculty Member must submit to the school dean or Vice President for Research a complete written disclosure of his/her current or pending Financial Interest/relationship with the outside entity, the relationship of the proposed University activity to the entity, and the means by which the Faculty Member will ensure separation of his/her University role from the role or interests of the Faculty Member or members of his/her immediate family in the outside entity.
- Gifts to Northwestern of cash or property that will be under the control of, or will directly support the teaching or research activities of, a Faculty Member from an entity in which that Faculty Member or members of his/her immediate family have an employment or consulting relationship or a Financial Interest.
- Sponsored project proposals in which any of the involved investigators or members of their immediate families have an employment or consulting relationship or a Financial Interest in the proposed sponsor or with proposed subcontractors, vendors, or collaborators.
- University technology licensing arrangements with companies for which the faculty inventor or members of his/her immediate family have an employment or consulting relationship or a Financial Interest.
- Procurement by the Faculty ember of materials or services from an outside entity in which the Faculty Member or members of his/her immediate family have an employment or consulting relationship or a Financial Interest.
- Any other arrangements in which a proposed activity involves an entity in which the Faculty Member or members of his/her immediate family have a Financial Interest.
If proposed arrangements are approved by the school dean, the Faculty Member's disclosure and the dean's findings and recommendations are submitted to the Vice President for Research for approval. Either the school dean or the Vice President for Research may convene an ad hoc committee to advise him/her on any such proposed arrangements. The committee may include other members of the faculty and/or faculty members not otherwise affiliated with Northwestern, as long as none of them has vested interests in the outcome of the proposed arrangements.
C. Publications of non-University organizations
A company with which a Faculty Member has a connection may from time to time release publications to the public concerning itself and its activities. In such publications it may be desirable, and, in some cases required by law, to disclose the Faculty Member's affiliation with the University.
The impact of such disclosure will depend on the circumstances. At one extreme, a Faculty Member might serve as a member of the board of directors of an established company where there is not even a remote implication that the company is in any way connected with the University. At the other extreme, all or a large number of the principals of a company (officers, directors, promoters, and substantial shareholders) may be Faculty Members. In such cases, outsiders may be likely to infer that the company may be connected with the University, and possibly that the University bears some responsibility for its activities. In these latter cases, the participating Faculty Member must assure that an express statement disclaiming any relation to the University is included in all publications released by the company.
D. Federal regulations
Conflict of interest, particularly in the research area, is a matter of concern to the federal government; the University provides notice of federal regulations as they are promulgated. To the extent that federal policies and guidelines are more stringent than this Policy statement, they will take precedence. The Policy on Conflict of Interest for Sponsored Programs Supported by the Department of Health and Human Services or National Science Foundation is a supplement to this Policy. It is intended to comply with regulations issued in the July 11, 1995 Federal Register regarding mandated disclosures by faculty members having certain responsibilities with respect to National Institutes of Health or National Science Foundation sponsored projects.
IV. IMPLEMENTATION
The Vice President for Research is responsible for interpreting and overseeing implementation of and compliance with this Policy. School deans are responsible for ensuring implementation of the Policy. Deans and University research center directors provide the Vice President for Research with a summary of the results of their review of the reports submitted to their offices.
A. Reporting responsibility and approval authority
On an annual basis, all full- and part-time Faculty Members, including research faculty, must provide information on the nature and extent of their Non-compensated Professional Activities and Compensated Professional/Commercial Activities, not including the amount of income derived from such activities (see "Annual disclosure reports ¡ disclosure and certification of compliance"). In addition, ad hoc disclosure reports must be submitted as appropriate (see "Ad hoc disclosure reports"). At the discretion of the school dean, Non-compensated Professional Activities may be disclosed as part of an annual report of academic activities, rather than on the annual disclosure/certification report. If, for reasons of confidentiality, a Faculty Member wishes to have his/her disclosure/certification reviewed and approved personally and exclusively by the school dean or the Vice President for Research, that option will be made available. In such instances, the dean or Vice President will provide to the department chair and/or center director information regarding the Faculty Member's outside time commitments that should be taken into account in assigning classes and department/center responsibilities.
1. Faculty Members in schools with departments
In schools with departments, Faculty Members submit disclosure/certification reports to their department chairs, who in turn advise the school deans. Each school dean determines whether approval authority will reside with the dean or be delegated to department chairs, in consultation with the dean as appropriate.
2. Faculty Members in schools without departments
In schools without departments, disclosure/certification reports are submitted directly to the dean for review and approval.
3. Faculty Members who receive salary through research centers
Faculty Members who receive part of their academic year salary through a research center submit disclosure/certification reports to both the research center director and the department chair and/or dean. In the case of school-based research centers, approval authority resides with the school dean. For University research centers, approval authority resides with the Vice President for Research.
Any Faculty Member who receives all of his/her academic year salary through a research center submits disclosure/certification reports to the research center director and school dean (in the case of school-based research centers) or Vice President for Research (in the case of University research centers). Approval authority resides with the school dean or the Vice President for Research.
4. Faculty Members who are deans or directors of University research centers
Faculty Members who are deans or directors of University research centers submit disclosure/certification reports to the Vice President for Research for review and approval. If, for reasons of confidentiality, a Faculty Member who is a dean or director of a University research center wishes to have his/her disclosure/certification reviewed and approved personally and exclusively by the Provost, that option will be made available.
B. Ad hoc disclosure reports
Faculty Members must disclose the following information to the appropriate administrator (see "Reporting responsibility and approval authority") on an ad hoc basis.
• Current or prospective situations that may raise questions of Conflict of Commitment or Conflict of Interest as soon as such situations become known to the Faculty Member. For these situations, Faculty Members must provide all information required on annual disclosure/certification reports (see "Annual disclosure reports ¡ disclosure and certification of compliance.")
• Changes in Financial Interests or external activities, including changes that alter the nature of or eliminate an actual or potential conflict previously disclosed.
Ad hoc disclosure reports may be submitted in writing or via e-mail. The Faculty Member will be advised in writing or via e-mail, within ten business days, whether the activity has been approved and may be undertaken. Activities which may be subject to questions of Conflict of Commitment or Conflict of Interest must be approved before the activity is undertaken.
C. Annual disclosure reports ¡ disclosure and certification of compliance
Faculty Members' annual disclosure/certification reports must:
- certify compliance with Northwestern University's Policy on Faculty Conflict of Commitment and Conflict of Interest;
- report the number of days or percent of time above designated thresholds (see "Responsibilities of the school dean" and "Responsibilities of the Vice President for Research") spent on Non-compensated Professional Activities;
- report the number of days or percent of time above designated thresholds (see "Responsibilities of the school dean" and "Responsibilities of the Vice President for Research") spent on Compensated Professional/Commercial Activities, including outside consulting activity;
- disclose prior year's employment, consulting, or other Financial Interests of the Faculty Member or members of his/her immediate family in outside entities that support the Faculty Member's University teaching or research activities; that have relationships with Northwestern that involve the Faculty Member; or that contribute gift funds to Northwestern that are under the Faculty Member's control or of direct benefit to the Faculty Member's teaching or research activities;
- disclose any proposals to or awards from any funding agency that could benefit outside entities in which the Faculty Member has employment, consulting, or other Financial Interests;
- disclose if the Faculty Member has served as principal investigator or manager of outside research or business activities in his/her professional field;
- disclose any inventions/creations licensed through Northwestern to any outside entity in which the Faculty Member or members of his/her immediate family have employment, consulting, or other Financial Interests;
- disclose any inventions/creations developed using University resources to which title has not been assigned to the University;
- disclose if the Faculty Member has involved his/her students or support staff in Compensated Professional/Commercial Activities.
Faculty Members supply this information for confidential review by the appropriate University administrators (see "Reporting responsibility and approval authority"). If there is doubt about the existence of an actual or apparent Conflict of Commitment or Conflict of Interest, the Faculty Member should err on the side of disclosing it for review and approval.
Each school of the University designs its own annual disclosure/certification form, which may request more, but not less information than that specified above. All forms must be approved by the Vice President for Research.
D. Responsibilities of department chairs
It is the responsibility of department chairs to:
- ensure that department Faculty Members are familiar with University policies and procedures relative to Conflict of Commitment and Conflict of Interest;
- advise Faculty Members so that they may avoid Conflicts of Commitment and Conflicts of Interest or situations that may adversely affect the University;
- maintain an overview of Compensated Professional/Commercial Activities in which Faculty Members and students in the department are associated together and ensure that all parties understand the necessity of safeguarding the academic relationship;
- consult the school dean and/or Vice President for Research in situations where they or Faculty Members wish such advice;
- ensure that each department Faculty Member submits a disclosure/certification form annually on a schedule determined by the school dean and approved by the Vice President for Research
- review the department Faculty Members' disclosure/certification forms, report findings and recommendations to the school dean, transmit individual Faculty Member's forms to the school dean;
- collect and review ad hoc disclosure reports, forward recommendations and reports to the school dean.
E. Responsibilities of center directors
It is the responsibility of center directors to:
- ensure that center Faculty Members are familiar with University policies and procedures relative to Conflict of Commitment and Conflict of Interest;
- advise Faculty Members so that they may avoid Conflicts of Commitment and Conflicts of Interest or situations that may adversely affect the University;
- consult the school dean (in the case of school-based centers) or Vice President for Research (in the case of University research centers) in situations where they or Faculty Members wish such advice;
- ensure that each center Faculty Member submits a disclosure/certification form annually on a schedule determined by the school dean (in the case of school-based centers) or by the center director (in the case of University research centers) and approved by the Vice President for Research
- review the center Faculty Members' disclosure/certification forms;
- report findings and recommendations to the school dean and transmit individual Faculty Member's forms to the school dean (in the case of school-based centers);
- report findings and recommendations to the Vice President for Research no later than December 15 of each year and retain individual Faculty Member's forms (in the case of University research centers.
F. Responsibilities of the school dean
Each school dean is responsible for establishing guidelines for accepted standards for Non-compensated Professional Activities, including reporting thresholds; for developing disclosure/certification forms for the school; for the timely collection and review of annual disclosure/certification forms, as well as ad hoc disclosure reports, by the department chairs; and for approving or rejecting activities proposed to be engaged in by Faculty Members. Individual schools may have more, but not less, restrictive internal policies than those set forth by the University in this Policy, and individual school disclosure/certification forms may request more, but not less, information that that specified in "Annual disclosure reports - disclosure and certification of compliance." The dean should use his/her discretion and knowledge of local conditions to set up a system that works well for the school. Each school's disclosure/certification forms, guidelines, and plans for distribution, receipt, processing, review, and approval of disclosure/certification forms by the dean, or the dean's designee, must be submitted to and approved by the Vice President for Research.
The school deans will provide the Vice President for Research with a summary of the results of their reviews of the reports submitted to their offices no later than December 15 of each year. Copies of all Faculty Members' disclosure/certification reports will be retained by the deans for three years and then either destroyed or, if so requested in writing, returned to the Faculty Member.
G. Responsibilities of the Vice President for Research
The Vice President for Research is the University officer responsible for interpreting and overseeing implementation of and compliance with this Policy. He/she is responsible for reviewing and approving each school's mechanisms for implementing this Policy and reporting annually to the University President and Provost on the effectiveness of the Policy throughout the University.
For Faculty Members who are deans or directors of University research centers, the Vice President for Research is responsible for establishing guidelines for accepted standards for Non-compensated Professional Activities, including reporting thresholds; for developing disclosure/certification forms in accordance with this Policy; for the timely collection and review of annual disclosure/certification forms, as well as ad hoc disclosure reports; and for approving or rejecting activities engaged in by Faculty Members. The Vice President for Research is also responsible for approving or rejecting activities of Faculty Members who choose to submit their disclosure/certification forms directly to him/her.
In addition, the Vice President for Research will adjudicate situations in which Faculty Members wish to appeal a decision of a school dean or a University research center director. The Vice President for Research will approve arrangements for situations described in "University dealings with entities with which Faculty Members have a relationship" or may delegate this authority to the school deans. In any case, however, the Vice President for Research is expected to ensure that this Policy is implemented with reasonable consistency across the University.
H. Appeals of decisions made by the Vice President for Research
A Faculty Member wishing to appeal a decision made by the Vice President for Research may present the appeal to the University Provost. The Provost will inform the Faculty Member in writing of his/her decision, within 45 business days. The decision of the Provost will be final.
V. SANCTIONS
Instances of breach of this Policy, including failure to submit or submission of an incomplete, erroneous, or misleading annual or ad hoc disclosure/certification report, failure to disclose information as required by this Policy, or failure to comply with prescribed monitoring procedures, will be decided in accordance with applicable disciplinary policies and procedures as stipulated in the Northwestern University Faculty Handbook.
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