Appendix
Current University documents, state law and federal regulations
that impact this Policy include:
University Documents
"No person
employed by the University shall have any interests incompatible
with that person's obligations to the University" (Article
IX, Section 5b. of the Statutes);
"The responsibilities
to the University of full-time members of the academic staff
are fulfilled by the performance, appropriate to rank and
terms of appointment, of teaching, scholarly research, continuing
education and public service, and committee work and special
assignments. Such staff members may carry on some professional
or business activities of an income-generating character
so long as such activities are compatible and not in conflict
with University interests. The head of the department of
which the employee is a member should know and approve of
these activities outside the University" (Article IX,
Section 5d. of the Statutes);
"Procurement
contracts involving expenditures of University funds are
governed by Regulations Governing Procurement and Bidding
at State Systems Universities in Illinois as adopted and
amended from time to time by the Board of Trustees. Other
University contracts may be awarded to any business entity,
including those in which a University officer or employee
(or members of their immediate families) serve as major
officers or primary employees thereof, or hold a significant
equity interest therein, if such contract is deemed in the
best interests of the University, and has the approval of
the President or the President's designee. Documentation
of such approval shall be filed with the contract"
(Article II, Section 4(d) of the General Rules); and
"Employees
engaged in external consulting work or business are responsible
for ensuring that agreements emanating from such work are
not in conflict with University Policy or with the University's
contractual commitments. Such employees should make their
University obligations known to others with whom they make
such agreements and should provide other parties to such
agreements with a statement of University policies on inventions
and discoveries" (Article III., Section 1(g)(3) of
the General Rules).
State Law
110 Illinois
Compiled Statutes (ILCS) 100/1
No full time
member of the faculty of any State-supported institution
of higher learning may undertake, contract for or accept
anything of value in return for research or consulting services
for any person other than that institution on whose faculty
he s erves unless (a) he has the prior written approval
of the President of that institution, or a designee of such
President, to perform the outside research or consulting
services, such request to contain an estimate of the amount
of time which will be involved, and (b) he submits to the
President of that institution or such designee, annually,
a statement of the amount of actual time he has spent on
such outside research or consulting services.
Federal Regulations
Current regulations
include those from the National Science Foundation and proposed
regulations from the Department of Health and Human Services.
Federal Register,
Vol. 59, No. 123/Tuesday, June 28, 1994 (pages 33308-33312)
and Federal Register, Vol. 60, No. 132, Tuesday, July 11,
1995 (pages 35820-35823).
The National
Science Foundation (NSF) Investigator Financial Disclosure
Policy has the following primary features:
A. A requirement
that any NSF grantee employing more than fifty persons maintain
"an appropriate written and enforced policy on conflict
of interests."
B. Minimum requirements
for what must be in an institution's policy. These include
(a) limited and targeted financial disclosure, (b) designation
of a person(s) to review the disclosures and resolve actual
or potential problems revealed, (c) enforcement mechanisms,
and (d) arrangements for informing NSF of conflicts issues
that are not resolved to the satisfaction of the institution.
Federal Register,
Vol. 60, No. 132 Tuesday, July 11, 1995 (pages 35810-35819)
The Public Health
Service (PHS) issued rules requiring Institutions that apply
for research funding from the PHS to assume responsibility
for ensuring that the financial interests of the employees
of the Institution do not compromise the objectivity with
which such research is designed, conducted, or reported.
Under the PHS
rules, investigators are required to disclose to an official(s)
designated by the Institution a listing of Significant Financial
Interests. The institutional official(s) will review these
disclosures in accordance with an administrative pro cess
to be established by each institution. Following this review,
the institutional official(s) will determine the acceptability
of the reported financial interests and act to protect PHS-funded
research from any bias that is reasonably expected to aris
e from those interests.
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1. For example, in the case of a contract that requires
service over 9 months but is paid over 12 months, conflict
of commitment is relevant only during the 9-month service
period.
2. In 1995, federal regulations define "significant"
as financial interest in business enterprises or entities
that exceeds $10,000 or represents more than 5% ownership.
3. These delegations
by the President and Vice President are subject to change
at their discretion.
4. Procedures
(charges, hearings and appeals) for dismissal of a tenured
faculty member shall be as specified in Article X of the
Statutes.
