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Part 4. Personnel Policies
Section I. General Personnel Policies
J. Intellectual Property Policies for Idaho State University
(Rev. 4-00)
a. Preamble
As a state supported public institution, Idaho State University's primary mission is teaching, research, and public service. The University dedicates these efforts to the public welfare and promotes the academic freedom of research results and scholarly works.
The University recognizes, however, that inventions and discoveries of commercial importance may be the natural outgrowth of research conducted by University faculty, staff, and students.
As a public institution, the University is entrusted with the responsibility to see that all inventions and discoveries made at the University are administered in the best interests of the public. It is therefore essential to maintain a favorable atmosphere for research and scholarly development on campus. The University will provide an additional incentive for research and development by virtue of a patent and non-patentable discovery policy which will provide direction and protect and safeguard the interests of the inventor, the University, and the public. The University intends to encourage innovation, to promote in the ways set forth below the use of inventions and discoveries for the public good, and to provide for equitable distribution of income resulting from invention and discovery between the University and the investigator.
b. Purpose
To outline the University's policy regarding patents and non-patentable discoveries.
c. Applicability
This policy shall apply to all persons employed by Idaho State University or a component thereof, and to anyone using facilities or funds as outlined in Section V of this policy. This policy, as amended from time to time, shall be deemed to constitute part of the conditions of employment of every employee and of every student.
d. Terms
The following terms are used throughout the patent and discovery policy:
Invention— to mean anything that may be subject to patent.
Non-patentable Discovery— to mean anything that may be produced or discovered that may have commercial value, but is not patentable.
Inventor— to mean faculty or other employees of the University or University-affiliated personnel including students who use University facilities not regularly available to the public who are responsible for developing and producing the invention or non-patentable discovery.
State Board— to mean the Idaho State Board of Education as appointed by the Governor and its employees.
University or Institution— to mean Idaho State University. All rights, privileges, and authority referenced to university or institution are subject to delegation and approval by the Idaho State Board of Education.
The State Board of Education on behalf of the State of Idaho, claims ownership of invention or patentable discovery developed under any of the following circumstances:
(1) Arising from work performed by an employee of the Board during the course of his or her duties to the agency institution;
(2) Arising from work performed by an employee of the State Board using state resources not similarly available to members of the general public;
(3) Arising from work performed by an employee of the State Board under contract in a program or project sponsored by a State Board agency or institution or a closely associated research foundation.
f. Disclaimer of Ownership Interest
The State Board of Education claims no ownership interest in any invention or patentable discovery developed by their employees or contractors under the following circumstances:
(1) when the work is performed outside their assigned duties; and
(2) when the employee/contractor is without benefit of State facilities except those available to members of the general public, such as libraries.
g. Rights and Obligations of the Parties
(1) Inventor's Rights and Obligations
(a) Obligations
(i) To report promptly, by preparation of an outline summarizing the concept, relevant observations and general claims, all inventions or discoveries to which this policy is applicable to the office of the Dean of Research.
(ii) To assign title to the invention or discovery to the University.
(iii) To cooperate:
(aa) In executing applications and legal documents.
(bb) In any litigation arising out of the patent application.
(cc) In reasonable marketing efforts related to the invention or discovery.
(b) Inventions Produced Through use of Federal Funds
All inventions (processes, software, equipment, research tools, biological materials) which have been produced through the use of federal funds must be promptly reported to the Sponsored Program Office by use of the official disclosure form. Such federally funded inventions are defined as "subject inventions" according to the federal document 37 CFR 401.2 (d) which are identified as "any invention of a contractor (grantee) conceived or first actually reduced to practice in the performance of work under a funding agreement."
(c) Rights
(i) After disclosure to the University of an invention to receive notice within a reasonable time of the intention of the University to file a patent application on behalf of the University and the State Board of Education or to otherwise retain title to the invention or discovery.
(ii) To receive a share of any royalties or licensing fees received for the discovery or invention according to the schedule contained in paragraph (4) of this policy.
(iii) To receive title to any invention or discovery subject to this policy and for which the University chooses not to retain title.
(iv) To timely publication of their findings.
(2) University's Rights and Obligations
(a) University's Obligations
(i) To provide written copies of this policy to the University community and all other parties affiliated with the University to which this policy may apply.
(ii) After an invention or discovery is reported, to act in a timely manner to determine whether the University chooses to retain title, to submit to an external source for evaluation, and/or to determine whether a patent application is to be filed.
(iii) To give written notice to an inventor, within a reasonable time after disclosure of a discovery or invention, unless extended by mutual agreement between the University and the inventor, of the intention of the University to file a patent application or otherwise retain title to a discovery or invention.
(iv) In the event the University decides to seek patent application, to initiate the application process through the patent committee and retain appropriate legal counsel as required.
(v) To distribute any royalties or licensing fees received for a discovery or invention according to the schedule contained in paragraph 4 of this policy.
(vi) To assign to the inventor title to any invention or discovery subject to this policy and for which University chooses not to retain title.
(vii) To make only agreements with third parties which will not inhibit a student's timely completion of a course of study or degree.
(b) University's Rights
(i) In the event of a successful patent application, the University reserves the right to negotiate licensing agreements with any and all parties that have an interest in development of the discovery.
(ii) Decisions regarding additional University investment in facilities, business planning, technical assistance, etc. will be referred on an individual basis to the appropriate University resources and handled according to existing policies and procedures.
(3) Administration
(a) The office of the Dean of Research shall have overall responsibility for administration of the University's patent program, including assuring valuable property rights are not lost to the University. The Director of Sponsored Programs shall serve as the patent agent for the University and report to the Dean of Research. The patent agent will have responsibilities to:
(i) Function as a contact point and resource with regard to University patent policy and procedure.
(ii) Receive written reports of all discoveries or inventions that are subject to the University's patent policy.
(iii) Act upon recommendations of the University Patent Committee.
(iv) Authorize commitment of resources necessary to carry out Patent Committee recommendations.
(v) Coordinate efforts to market patented inventions or non-patentable discoveries which have marketing potential.
(b) There shall be a University Patent Committee chaired by the Director of Sponsored Programs plus four other members. Two shall be appointed by the Dean of Research. Two additional members shall be appointed by the Chairperson of the Faculty Senate with approval of the Senate.
(c) The University Patent Committee shall report to the Dean of Research. Specific functions of the Patent Committee are to:
(i) Evaluate all discoveries or inventions disclosed to the University for potential patentability and marketability. This evaluation may be accomplished by the members of the Patent Committee or by an ad hoc committee appointed by the chairperson of the Patent Committee and comprised of individuals holding the necessary expertise to evaluate the discovery or invention in question.
(ii) Recommend to the Dean of Research the disposition of rights of any discovery or invention. The recommendation should specifically state whether rights to the discovery or invention should be retained by the University or released to the inventor for his/her own pursuit. In the event that the invention's rights are retained by the University, the Patent Committee shall recommend further action to be taken such as pursuit of the patent, development of the invention for commercial purposes with out a patent, or other alternative actions.
(iii) Act as a fact-finding body and make recommendations to the Dean of Research on any disagreements arising out of the administration of the University's patent policy.
(4) Royalties/Income
(a) For all inventions for which the University receives royalties or other income, the royalties or income received by the University will normally be distributed as set forth below;
(i) All expenses incurred by the University or its patent agent or the inventor will be paid from proceeds prior to distribution of royalties or other income.
(ii) (Rev. 2-94) When the University has title to an invention or patent and other income results, it shall be shared except where specified otherwise by the funding sources on the following basis:
Cumulative Net Income
Author Dept. Univ. 50% 25% 25%
(iii) "Net Income" is defined as gross royalties and/or other payments, such as option payments, received by the University, minus any fees or costs directly attributable to the invention being licensed. Indirect University overhead and other University costs normally associated with the operation of a university and not directly attributable to the invention shall not be deducted from gross royalties or otherwise allocated to costs or fees associated with the invention.
(iv) In the disposition of any net income accruing to the University or a component from patents or non-patent discoveries, first consideration shall be given to the promotion of research.
(v) Co-investors share the inventor's share in proportions agreed to among themselves. If there is more than one department, then the department's share shall be distributed as agreed between/among departments.
(vi) If the University decides not to file a patent application nor to otherwise retain title to the invention or discovery, then the title shall be returned to the inventor. In this circumstance, the inventor is free to file a patent application at his/her own expense and any royalties received shall be the sole property of the inventor.
(vii) A discovery placed in commercial use, but not patented, shall be subject to the same terms, conditions and restrictions with respect to disposition of royalties and income as those described for patentable inventions.
(5) Reports to the State Board of Education
Agreements with the University which grant a third party the right to make, use, or sell a patented invention or non-patentable discovery shall require approval by the President of the University and shall be reported to the State Board of Education on a yearly basis. The President of Idaho State University or his officially appointed representative shall prepare and submit this annual report.
(6) Research Agreements Involving Other Agents and Patent and Other Discovery Rights
(a) In cooperative undertakings sponsored by, or involving third parties such as private industry or other universities, provisions for the control of patents and non-patentable discoveries normally should be consistent with the general policy stated above with respect to the University's share of the discovery and the disposition of the University's share of income. However, it is recognized that in some cases the interests of other organizations will justify modifications of the general policy. In those cases, the provisions with respect to patents and non-patentable discoveries shall appear in a written agreement for the review and approval of the President of the University and shall be reported to the State Board of Education.
Nothing in this policy shall be interpreted as precluding the acceptance of a contract, grant, or agreement which provides ownership of inventions and patent rights by the cooperating agency or organization.
(b) To fulfill the University's obligations as a publicly aided educational institution, University research should serve a public rather than a private purpose and the results should be disseminated on a non-discriminatory basis. The University encourages studies whose results can be freely published. However, the University recognizes that certain proprietary concerns of private research sponsors and the effective commercialization of research outcomes may require limited delays in publication.
(c) The University makes no claim to pre-existing proprietary information provided by private industry. However, written agreements must clearly define that information which is considered to be preexisting and proprietary in nature.
(d) When inventions or non-patentable discoveries are developed in the course of sponsored research for which the University has rights, the sponsor may receive an option to acquire a limited term, royalty-bearing exclusive license to such inventions or discoveries. Exclusive licenses may also be granted where industrially sponsored research and development may result in reduction-to-practice of previously conceived inventions in which the University has acquired rights, including those resulting from federally sponsored research.
2. Idaho State University Copyright Policy
a. Purpose
To outline the University's policy regarding copyrightable materials.
b. Applicability
This policy shall apply to all persons employed by Idaho State University or a component thereof. This policy, as amended from time to time, shall be deemed to constitute part of the conditions of employment of every employee and of every student.
c. Ownership Interest In Copyrightable Materials
(1) All employees and students of Idaho State University retain all rights to copyright materials they create except in the cases of "University-commissioned" materials (see below), materials covered by the terms of a grant or contract, materials covered by a valid written agreement between the author and the University.
(a) Authors will retain the rights to works produced under grants from the Faculty Research committee, University Research Committee, Graduate Student Research and Scholarship Committee, Humanities/Social Science Research Committee, or the Instructional Improvement Committee.
(b) Authors retain the rights to works produced while on Sabbatical leave and works prepared as part of the author's general obligation to produce scholarly or creative works including, but not limited to, study guides and similar instructional materials, audio-visual materials, articles, books, musical compositions, works of art, audio and video broadcasts, and copyrightable computer software.
(2) Idaho State University reserves the right to copyright University-commissioned materials which are copyrightable in the name of the State of Idaho or to publish such work without copyright. University-commissioned materials are considered as "work made for hire" when the author:
(a) was specifically directed in writing by ISU or one of its distinct units to develop the materials as part of his or her regular duties; or
(b) received extra pay or release time from ISU to produce the university commissioned materials.
d. Rights and Obligations of the Parties
(1) Author's Rights and Obligations
(a) Obligations
(i) To provide all copyrightable materials produced which fit the "university-commissioned" definition upon request by the Dean of Research and/or the ISU Patent Committee.
(ii) To cooperate in executing applications for copyright and in pursuing reasonable marketing efforts related to University-commissioned copyrightable materials.
(b) Rights
(i) To receive copyrights to any University-commissioned materials for which the University chooses not to retain title.
(ii) To receive a share of any royalties or licensing fees received for sale of university commissioned copyrightable materials.
(2) University's Rights and Obligations
(a) Obligations
(i) To provide written copies of this policy to the University community and all other parties affiliated with the University to which this policy may apply.
(ii) After University-commissioned, copyrightable materials are completed, to act in a timely manner to notify the author of the intention of the University with respect to retention or release of the copyright.
(iii) To release to the author the right of copyright for any University -commissioned materials for which the University chooses not to retain title.
(iv) To distribute any royalties or licensing fees received for university-commissioned materials according to the schedule contained in paragraph (4) of this policy.
(b) University's Rights
(i) To copyright University-commissioned materials which are copyrightable in the name of the State of Idaho or to publish such work with out copyright.
(ii) To receive any royalties or licensing fees received for University-commissioned materials according to the schedule contained in paragraph 4 of this policy.
(iii) To distribute and use University-commissioned materials internally without payment of royalties.
(3) Administration
Administration of the copyright policy shall be the same as described in (2)(a) of the Idaho State University Patent Policy.
(4) Royalties/Income
(a) Out of the gross receipts from royalties and other income from sale or rental of ISU-commissioned materials, the university, college, department, other unit, or University's designated agent may recover reasonable expenses that it incurred in the development, marketing, or dissemination of the materials.
(b) Absent a valid written agreement to the contrary, the net proceeds of University-commissioned materials will normally be distributed as follows: (Rev 2-94)
Cumulative Net Income
Author Dept. Univ. 50% 25% 25%
(5) Reports To The State Board of Education
The President of Idaho State University or his officially appointed representative shall prepare and submit annually a report of any transfer of copy right to the author relating to University-commissioned materials and/or shared royalties with the author obtained through sale of University-commissioned materials.
3. Conflict of Interest Policy Regarding Intellectual Property
Idaho State University adheres to the conflict-of-interest rule as described in the Idaho State Board of Education's Rule Manual, Chapter I., Section 2,4. In all matters of intellectual property transfer, Idaho State University shall enforce all conditions of conflict-of-interest described in the rule which is written verbatim in the following section.
IDAHO STATE BOARD OF EDUCATION CONFLICT-OF-INTEREST RULE
a. All decisions of employees of the State Board concerning transfer of intellectual property are to be made solely on the basis of promoting the best interest of Idaho's post-secondary education and the public good.
b. In the event that an employee of the State Board shall be called upon to consider a transaction involving (i) a post-secondary educational institution under the State Board's governance or (ii) an organization with which an employee of the State Board is "affiliated," such employee, as soon as he or she has knowledge of the transaction, shall:
(1) disclose fully the precise nature of his or her interest or involvement in such transaction and/or such organization; and
(2) refrain from participation in the institution's consideration of the proposed transaction.
c. Disclosures
(1) The employees shall also disclose to the institution on a continuing basis all their relationships and business affiliations that reasonably could give rise to a conflict of interest because of their respective duties and responsibilities.
(2) All faculty who submit grant or contract proposals to federal granting agencies must submit a Financial Disclosure form identifying any existing of potential significant financial interest to be gained by the investigators which may directly and significantly affect the design, conduct or reporting of the research to the granting agency. Such forms must be submitted to the Office of Research for review prior to the submission of the grant or contract proposal. Significant financial interest is any monetary gain beyond salary earned as a replacement for regular salary provided by the institution as an employee of the university. The Financial Disclosure Statement must include a list of each investigator's significant financial interest including those of her/his spouse and dependent children that would be affected by the research; and in holdings in entities whose financial interests occur. In the case of biased clinical research to evaluate the safety, or effectiveness of a drug, medical device or treatment investigators involved in such research must disclose conflicting interest in each public presentation of the results of the research.
d. For the purposes of this conflict-of-interest rule, an employee is "affiliated" with an organization if he or she or a member of his or her immediate family (i.e. his or her spouse, and their parents, children, brothers, and sisters);
(1) Is an officer, director, trustee, partner, employee or agent of such organization;
(2) Is either the actual or beneficial owner of more than 1% of the voting stock or controls interest of such organization; or
(3) Has any other direct or indirect dealings with such organization from which he or she knowingly is materially benefitted. It shall be presumed that a person is "materially benefitted" if he or she receives directly or indirectly cash or other property (exclusive of dividends and interest) in excess of $100 in any year in the aggregate.
e. All disclosures required to be made hereunder must be directed in writing to the president of the institution or his or her designee who shall have responsibility for administration of this conflict-of-interest rule. The employees shall excuse themselves from any and all potential conflicts of interest. All known violations, disputes and other issues arising out of the application of this rule to employees of the State Board shall be referred to the State Board for appropriate action. If the State Board determines that a conflict of interest has occurred, the State Board may take action against the employee pursuant to section 5, Dismissal for Cause.
f. Each institution shall ensure that all contractors retained to facilitate the transfer of intellectual property conform with this conflict-of-interest rule.
4. Conflict of Interest and Financial Disclosure Policy
a. Introduction
In carrying out its primary mission of teaching, research and public service, Idaho State University must implement a diverse set of principles: maintaining academic freedom and an atmosphere that promotes free and open scholarly inquiry; facilitating the transfer of technology and other developments for the benefit of the public; and serving as the steward of public and private resources entrusted to it. The University recognizes the value of the transfer of technology and other developments to further the economic development of the state and the nation, and has adopted policies to facilitate such transfers. Professional interactions, including consulting arrangements between faculty and governmental entities and private businesses, advance Idaho State University's ability to provide a highquality research and educational experience for students.
While in the pursuit of these goals, Idaho State University and its employees are committed to conducting themselves and their activities in accordance with the highest standards of integrity while remaining in compliance with state and federal ethics, and conflict of interest legal requirements applicable to the University. Given the diverse nature of the University's challenges, potential and actual conflicts of interest are inevitable. The purpose of this policy is to set forth guidelines for distinguishing among situations that are acceptable without approval or oversight, potential and actual conflicts that are acceptable with appropriate disclosure and oversight, and unacceptable conflicts of interest. It sets forth procedures for disclosure, review, and approval of situations which might occur and seeks to protect University faculty and staff so that public trust and confidence is ensured.
It is not the intent of this policy to regulate or eliminate all perceived conflicts of interest, but rather to enable University employees to recognize situations that may raise legal and ethical issues and ensure that such situations are properly reviewed and, if necessary, monitored in accordance with applicable state and federal regulations. This policy and the accompanying procedures are intended to maintain the professional autonomy of faculty inherent in research, scholarship, and teaching. In addition, this policy is intended to meet and conform to written federal conflict of interest regulations as required for institutions of higher education who receive grant and contract funds.
b. Applicability
This policy applies to all University employees. Upon hire, each employee will receive a copy of the Faculty/Staff Handbook which outlines this policy. As a condition of employment, employees must abide by all policies in this handbook.
c. Definitions
"Associated Entity" means any business, trust, organization, or enterprise over which the employee, alone or together with an immediate family member, has a significant financial or controlling interest.
"Business" means a sole proprietorship, partnership, association, joint venture, corporation, firm, trust, foundation, or other organization or entity used in carrying on a business, including parent organizations of such entities, or any other nongovernmental legal entity organized for profit, not-forprofit, or charitable purposes.
"Employee and/or faculty member" (hereafter employee) means any person possessing either a fulltime or parttime appointment at Idaho State University, and staff, students and other individuals, whether salaried or not salaried, who on behalf of the University are responsible for, or in a position to influence, the design, conduct, or reporting of research or other scholarly activity.
"Executive Position" means any position that includes responsibilities for a significant segment of the operation or management of a business.
"Gift" means a donation of assets to the University. Assets may be in the form of cash, securities, tangible personal property, partnership interests, or pledges for acceptable assets that are assigned to the University.
"Immediate Family or Family" means the employee's spouse or domestic partner and dependent children as determined by the definitions of the Internal Revenue Service.
"Participate" means to be part of the described activity in any capacity, including but not limited to, serving as the principal investigator, coinvestigator, research collaborator, or provider of direct services or patient care. The term does not apply to individuals who provide primarily technical or advisory support and have no direct access to the data or control over its collection or analysis. The term also does not apply to the study participants, unless they are in a position to influence the study's results or have privileged information as to the outcome.
"Significant Financial Interest" means anything of monetary value, including but not limited to, salary or other payments for services (i.e. consulting fees or honoraria); equity interest (i.e. stocks, stock options or other ownership interests); and intellectual property rights (i.e. patents, copyrights and royalties from such rights).
For the purposes of this policy, disclosure of a significant financial interest is required when the interest in a single business by an employee or by an immediate family member exceeds $10,000 in annual income of all types in the past twelve months, and equity or ownership interest from all sources in a single entity exceeds five (5%) percent ownership. Disclosure is also required when an immediate family member holds an executive position in a business or holds equity or ownership interest valued at five (5%) percent or more in a business.
The term does not include:
1. Salary, royalties, or other remuneration from Idaho State University;
2. Any ownership interests in Idaho State University if the University is an applicant under the Small Business Innovation Research Program or Small Business Technology Transfer Program;
3. Income from seminars, lectures, or teaching engagements sponsored by public or nonprofit entities;
4. Income from service on advisory committees or review panels for public or nonprofit entities;
5. An equity interest that, when aggregated for the employee and the employee's spouse and dependent children, meets both of the following tests: does not exceed $ 10,000 in value as determined through references to public prices or other reasonable measures of fair market value, and does not represent more than a five (5%) percent ownership interest in any single entity; or,
6. Salary, royalties, or other payments that, when aggregated for the employee and the employee's spouse and dependent children, are not expected to exceed $ 10,000 during the twelve month period.
"Sponsored Research," scholarship or creativity, means research, training, instructional and public service projects involving funds, materials, or other compensation from outside sources under agreements that contain any of the following: the agreement binds the University or an affiliated entity to a line of scholarly or scientific inquiry specified to a substantial level of detail; a lineitem budget is involved; financial reports are required; the award is subject to external audit; unexpended funds must be returned to the sponsor at the conclusion of the project; or the agreement provides for the disposition of either tangible or intangible properties that may result from the activity. The term encompasses basic and applied research and product development.
d. Overview of Policy
A conflict of interest, or potential conflict of interest, occurs when there is a divergence between the employee's private interests and professional obligations to the University, such that an independent observer might reasonably question whether the employee's professional actions or decisions are determined by considerations of personal gain, financial or otherwise. A potential conflict of interest exists when a faculty member has a significant financial interest in a business that has any dealings with the University. An actual conflict of interest occurs when an employee has a significant financial interest in a business that could directly and materially affect, or be directly and materially affected by, the design, conduct, or use of facilities in, or reporting of, research, educational, or public service activities performed as part of the employee's duties at Idaho State University.
The potential for conflicts of interest arises because of the nature and scope of activities in which Idaho State University and its employees engage. The University assumes that potential for conflicts of interest will occur regularly in the normal conduct of activities. However, it is essential that any significant potential for conflicts of interest be disclosed and reviewed by Idaho State University prior to entering into the situation or relationship. After disclosure, Idaho State University can then make an informed judgement about a particular case and require appropriate oversight, limitations, or prohibitions on the activity in accordance with the law.
e. Identification of Potential and Actual Conflicts of Interest
The potential for a conflict of interest arises when certain activities are proposed by the employee and are coupled to the existence of external relationships. Some combinations, Category I, are assumed not to represent a conflict of interest. Other combinations represent sufficient potential for conflict of interest, Category II, and require review and prior University approval before the employee can engage in the activity. Category III addresses a specific combination that is presumed to be a conflict of interest and is therefore not allowed.
The following is a representative, though not inclusive, list of activities and external relationships which are covered by this policy. The categories are general guidelines, and the application of appropriate review and oversight will always be in accordance with the goal of maintaining the full integrity and reputation of Idaho State University and its employees. Any combination of activity and external relationship not specifically represented in Categories IIII that an employee reasonably believes constitutes a potential conflict of interest must be reported in writing, according to the procedures described in this policy before the employee proceeds with such activity.
Category I Allowable Combinations of Activities and External Relationships.
The following are not considered conflicts of interest and do not require disclosure. They are allowable if they are consistent with other applicable federal and state laws and policies of Idaho State University and the Idaho State Board of Education (SBOE), including applicable consulting and intellectual property ownership and disposition policies.
1. Salary, royalties, or other remuneration from Idaho State University.
2. Any ownership interests in Idaho State University, if the University is an applicant under the Small Business Innovation Research Program or Small Business Technology Transfer Program.
3. Income from seminars, lectures, or teaching engagements sponsored by public or nonprofit entities.
4. Income from service on advisory committees or review panels for public or nonprofit entities.
5. An equity interest that, when aggregated for the employee and the employee's spouse and dependent children, meets both of the following tests: does not exceed $10,000 in value as determined through reference to public prices or other reasonable measures of fair market value, and does not represent more than a five (5%) percent ownership interest in any single entity.
6. Salary, royalties or other payments that, when aggregated for the employee and the employee's spouse and dependent children, are not expected to exceed $ 10,000 during the twelve month period.
Category II Activities and External Relationships That Have The Potential for Conflict of Interest.
The following combinations range from those that are considered to have minimal to moderate potential for conflict of interest (Section A) to those that have a moderate to high potential for conflict of interest (Section B). The activities described in Section A are normally allowable following disclosure and, where necessary, the implementation of oversight or other management procedures. The activities listed in Section B require case-by-case review. Special oversight or management procedures are likely to be required (see Part VI for disclosure and approval procedures).
(1) Combinations of Activities and External Relationships For Which There is a Minimal to Moderate Potential for Conflict of Interest.
(a) Research Activities.
(ii) An employee participates in research on a technology, process, or product developed in whole or in part by that employee for which the employee, an immediate family member, or an associated entity is entitled to receive royalties not in excess of $ 10,000 per year from an existing agreement with a business under the University's or another academic institution's royaltysharing policies, but has no other financial or business interests in the project.
(ii) An employee assigns students, postdoctoral fellows, or other trainees to research projects in which the employee, an immediate family member, or an associated entity is entitled, to receive royalties not in excess of $ 10,000 per year from an existing agreement with a business under the University's or another academic institution's royaltysharing policies, but has no other financial or business interests in the project.
(2) Combination of Activities and External Relationships for Which There is a Moderate to High Potential for Conflict of Interest.
(a) Research Activities.
(i) An employee participates in clinical trials, evaluation, or development of a technology, process, or product owned or controlled by a business in which the employee, an immediate family member, or an associated entity has a significant financial or business interest, other than royalty income or the entitlement to future royalty income.
(ii) An employee assigns students, postdoctoral fellows, or other trainees to projects supported by a business (through sponsored research or a gift) in which the employee, an immediate family member, or an associated entity has a significant financial or business interest, other than royalty income or the entitlement to future royalty income under University royaltysharing policies.
(iii) An employee receives Universitysupervised sponsored research support or gifts (whether in dollars or in kind) for research from a business in which the employee, an immediate family member, or an associated entity has a financial or business interest, other than royalty income or the entitlement to future royalty income under University royaltysharing policies.
(b) Business Interests.
(i) An employee receives research support (sponsored research or a gift) from a business in which the employee or an immediate family member serves on the board of directors or advisory board.
(ii) An employee or immediate family member holds an executive position in a business engaged in commercial or research activities directly related to the employee's University responsibilities.
(c) Administrative Responsibilities.
(ii) An employee takes administrative action on behalf of the University with respect to the University or any Universityaffiliated organization that is beneficial to a business in which the employee, an immediate family member, or an associated entity has a financial or business interest.
(ii) An employee takes administrative action on behalf of the University with respect to any supported research activity (sponsored research or a gift) in which the employee, an immediate family member, or an associated entity has a financial or business interest in the sponsor or donor.
(d) Professional Referrals.
With the exception of consulting activities which conform to the Idaho State University consulting policy, an employee while acting in the context of the employee's University duties makes professional referrals to a business in which the employee, an immediate family member, or an associated entity has a financial or business interest of which the employee is aware or reasonably should be aware.
Category III Unacceptable Activity Purchasing Goods and Services.
Except as defined in Category 1, no employee in direct contact with suppliers or potential suppliers to the University, or who has direct or indirect influence over purchasing decisions or contracts, or otherwise has official involvement in the purchasing or contracting process may have any financial, business, or personal interest directly or indirectly in contracts or purchases of goods or services used by the University.
f. Implementation of Policy
The successful implementation of this policy assumes a shared responsibility by all employees and the administration of Idaho State University. Employees are expected to comply with the requirements described below, but may initiate review at any time through written disclosure to the Dean of Research. Once an employee's proposed research, educational, or public service activities have been administratively reviewed, the University's administration has the responsibility to support the activity so long as the employee complies with the disclosure requirements, other Idaho State University policies, and state and federal law.
(1) Disclosure Requirements.
Any time an employee plans to initiate an activity that may be classified under Category II of this policy, the employee must disclose it and obtain prior approval from the Dean of Research. For the purpose of this policy, disclosure is required when the employee, an immediate family member, or an associated entity has a significant financial interest which could directly and materially affect, or be directly or materially affected by, the employee's actual or proposed Idaho State University activity. This disclosure must be made before such activity is proposed or begun.
(a) Disclosure When Submitting a Proposal for Sponsored Activities With an External Agency.
All employees who submit proposals to any external agency must complete a Proposal Approval and Routing Form. The signature of the employee on the Routing Form certifies that: a) the employee does not have a conflict of interest and is in compliance, or b) the employee has appropriately disclosed, in writing to the Dean of Research, any significant financial interest which could create a conflict of interest or a potential conflict of interest, and was found to be in compliance. The Dean of Research will conduct a review of the disclosure to determine a strategy to manage, reduce, or eliminate the potential conflict.
(b) Update of Disclosure.
If an employee obtains new reportable significant financial interests during the period of an award, the employee must disclose in writing such changes to the Dean of Research. The Dean will conduct a review of this information to determine a strategy to manage, reduce, or eliminate the potential conflict.
(c) Disclosure When Involved With Review or Advisory Activities.
All employees must temporarily disqualify themselves from any Idaho State University committee or review process that is considering an activity in which they have a significant financial interest. Employees must also disclose to committee chairs and the appropriate administrative officer, any interest (business, financial, or family) which might cause the employee to compromise judgement while serving as a committee member or making advisory decisions.
(2) Review of Disclosures.
(a) Purpose of Review.
The purpose of disclosure review is to assist employees and Idaho State University to avoid or manage risks to integrity and reputation engendered by such relationships, while at the same time protecting and furthering the interests of employees, the University, and society in the activities supported by sponsored research and gifts.
Examples of conditions or restrictions which might be imposed to manage, reduce, or eliminate conflicts of interest include, but are not limited to: a) public disclosure of significant financial interests; b) monitoring of research by independent reviewers; c) modification of the research plan; d) disqualification from participation in the portion of the funded research that would be affected by significant financial interests; e) divestiture of significant financial interests; or f) severance of relationships that create conflicts.
If the Dean of Research determines that imposing conditions or restrictions would be either ineffective or inequitable, and that the potential negative impacts that may arise from a significant financial interest are outweighed by interests of scientific progress, technology transfer, or the public health and welfare, then the Dean of Research may allow the activities to go forward without imposing such conditions or restrictions.
(b) Appeal Process.
If an employee believes the conditions or restrictions imposed are inappropriate, the employee may appeal or ask for the decision to be reconsidered. The Dean of Research will then refer the appeal to a Conflict of Interest Advisory Committee (see Part VII). Upon completion of the review, the Academic Vice President will consider the Committee's recommendation(s). If the employee believes there exists cause for further review, the employee may appeal to the President of Idaho State University. No award will be accepted by the University while an appeal is pending.
(3) Reporting and Record Retention.
The Dean of Research will report to external sponsoring agencies as required by the agencies: 1) the existence of any conflict of interest found by Idaho State University, and 2) actions taken to manage, reduce, or eliminate the conflict. The Dean of Research will maintain records of all applicable Proposal Approval and Routing Forms, written disclosures, and all actions taken by Idaho State University for at least three (3) years beyond the termination or completion of the award to which they relate, or until resolution of any action by Idaho State University or the sponsoring agency involving the records, whichever is longer. All records will be maintained in a manner to protect sensitive and confidential information consistent with state and federal law. To the extent required by law or requested by the sponsor, the Dean of Research will also inform the Office of the General Counsel of that sponsor of University activity whenever the University finds itself unable to manage and satisfactorily resolve any conflict of interest.
(4) Applicability of the Policy.
To the extent required by law, Idaho State University will pass down to all subgrantees, contractors, and collaborators on externallyfunded projects, all aspects of this policy, including but not limited to, all reports, compliance, and disclosure certifications required in the policy.
g. Conflict of Interest Advisory Committee
(1) Formation and Membership.
A Conflict of Interest Advisory Committee may be organized to: 1) assist in disclosure review for potential conflicts of interest, or 2) consider an appeal by an employee. In consultation with the Faculty Senate Chair and appropriate Deans, the Dean of Research will be responsible for appointing committee members. Threefourths of the voting membership of the Committee will be employees from the area or department(s) to be served. The remaining onefourth of the voting members will include employees from outside the department(s). Some of the members should be individuals who have participated in approved external relationships involving conflict of interest issues. Each Committee will also include nonvoting representation by the Chair of the Patent Committee. Employees whose activities are under review will have the opportunity to meet with the Committee to discuss their situation and possible solutions.
(2) Guidelines.
The Primary objective of the Committee will be to help guard employees and Idaho State University from engaging in activities where the risk to integrity and reputation as a result of an external relationship outweighs the value of the activity to academic and societal goals. Relevant factors to consider are: the nature of the financial interest; when and where the relationship commenced; whether the conditions of the relationship have changed during the past year; the likelihood of a conflict of interest (will the results of the activity likely affect or be affected by the significant financial interests); mechanisms to ensure integrity (peer review, other independent research sites, and independent monitors or controls); the importance of the proposed activity; and the availability of alternatives to avoid the conflict of interest.
h. Compliance
Violation of this policy shall be considered a violation of Idaho State University policy. Breaches of this policy include, but are not limited to, intentionally filing an incomplete, erroneous or misleading Proposal Approval and Routing Form; failure to provide a required written financial disclosure to the Dean of Research; or failing to provide additional information as required. A violation of this policy may be the basis for discipline of an employee. If sanctions are necessary, they will be imposed in accordance with applicable Idaho State University and Idaho State Board of Education policies (see Faculty/Staff Handbook).
Financial Interest Disclosure Form - see Appendix G.