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diff --git a/handbook.md b/handbook.md index 3c9e263..64f5ee0 100644 --- a/handbook.md +++ b/handbook.md @@ -2799,7 +2799,7 @@ of the appointment (if it is collaborative). ## 8. Policies on Leaves -### a. Policy on Sabbatical Leaves +### a. Policy on Sabbatical Leaves {#chapter-2-section-8a} #### i. Basic Objectives @@ -6870,35 +6870,20 @@ a wife, and an active member of her church congregation. ## I. Consulting Policy (Faculty Handbook, *1980*) +(Revsied by the Faculty, *April 16, 2025*) +(Approved by the Board of Trustees, *May 16, 2025*) The University encourages members of the faculty to do consulting work and, where appropriate, to expand consulting activities into on-campus -research programs. - -Participation as a consultant for extra compensation should be cleared -with the Department Head concerned, and while time is made available -for such participation, it must not substantially detract from -full-time salaried responsibilities to the University. - -Ordinarily, outside consulting work or participation in a -university-industry program for extra compensation should not exceed -the equivalent of one day per week. Participation in -industry-sponsored programs requiring the equivalent of more than one -day per week should be undertaken with released time from teaching -with no additional compensation beyond the "one day equivalent." Each -member of the faculty who undertakes consulting work or research is -encouraged to seek that kind of activity which will enhance his or her -long-range professional development. - -In work for industry, routine testing in competition with established -commercial testing laboratories is discouraged, unless no commercial -testing facilities are reasonably available. More than casual use of -University facilities for outside consulting work is discouraged. -Where the Department Head believes that such use is justified, the -Director of Research Administration must be consulted and a formal -contract should be entered into between the University and the client -to be sure that appropriate charges are made. Modest use of special -campus facilities should compensate the Department for such use. +research programs. Participation as a consultant for extra +compensation must comply with the [Conflict of Commitment +Policy](chapter-9.html#chapter-9-section-6). + +Each member of the faculty who undertakes consulting work or research +is encouraged to seek that kind of activity which will enhance his or +her long-range professional development, provided, however, that such +consulting work complies with the [Conflict of Commitment +Policy](chapter-9.html#chapter-9-section-6). In all work with industry, arrangements should be made with the sponsor to permit adequate publication of results, where appropriate, @@ -6983,7 +6968,7 @@ Detailed information on WPI's Retirement Plan is available in the # Chapter Nine - Certain WPI Legal Policies {#chapter-9} -## I. Conflict of Interest Policy +## I. Conflict of Interest Policy {#chapter-9-section-1} (Presented to the Faculty, *December 16, 2016*) (Adopted by the Board of Trustees, *February 24, 2017*) @@ -7955,6 +7940,451 @@ WPI also invites all employees to voluntarily self-identify themselves to the Office of Human Resources. More information can be found on our website. +## VI. Conflict of Commitment Policy for Faculty & Investigators {#chapter-9-section-6} + +(Approved by the Faculty, *April 16, 2025*) +(Approved by the Board of Trustees, *May 16, 2025*) + +### I. Purpose + +The purpose of this policy is to help faculty and investigators avoid +Conflicts of Commitment (defined in [Section +III](chapter-9.html#chapter-9-section-6.3), below) by clarifying +obligations and expectations with respect to Outside Professional +Activities (defined in [Section +III](chapter-9.html#chapter-9-section-6.3), below), while also +balancing the significance and importance of promoting +entrepreneurship and professional advancement. WPI recognizes the +importance of faculty involvement in Outside Professional Activities. +Such activities extend professional competence, enrich the faculty +teaching experience, and contribute to the advancement of the +profession. At the same time, a WPI faculty member's primary +professional commitment of time and intellectual energy is to +teaching, research, and service to WPI. + +Occasionally, a Conflict of Commitment may arise when a faculty +member's Outside Professional Activities conflict with their primary +responsibilities to WPI. For example, having an active consulting +business or a startup company may conflict with the faculty member's +participation in the instructional, scholarly, or administrative work +of WPI, or may otherwise affect (or appear to affect) one's judgment +in carrying out WPI-related responsibilities. + +Additionally, this policy seeks to ensure compliance with legal +requirements from Grant sponsors. These institutional requirements +vary by sponsor but generally require the grantee institution to +verify the accuracy and validity of an investigator's biographical +sketch, disclosed research support (e.g., "Current and Pending" or +"Other Support") or other disclosures provided by the investigator as +part of a Grant application. The obligation to disclose an activity +does not indicate or imply that the activity creates a conflict of +interest/commitment or is otherwise improper. + +This policy is intended to complement the Faculty/Exempt Staff +Conflict of Interest (FCOI) Policy ([Chapter Nine, Section +I](chapter-9.html#chapter-9-section-1)). While the FCOI Policy deals +primarily with financial conflicts of interest, this policy deals +primarily with conflicts related to commitments of time, effort, and +responsibilities. + +This policy is not intended, nor should it be interpreted to interfere +with any faculty member's academic freedom, as defined in the Faculty +Handbook ([Chapter One, Section Two, Part +V](chapter-1.html#chapter-1-section-2v)). + +### II. Scope {#chapter-9-section-6.2} + +This policy applies to all WPI faculty (as defined in the Faculty +Handbook), and to any other person who is an Investigator on a Grant +to WPI (as defined below). + +Because of their responsibility for managing Grant funds, +Investigators are subject to more stringent disclosure and approval +requirements, as described in [Section +V](chapter-9.html#chapter-9-section-6.5). + +This policy does not apply to employees who work for WPI half-time or +less (e.g., adjunct faculty), except to the extent that such employees +have effort commitment on Grants at WPI. + +### III. Definitions {#chapter-9-section-6.3} + +**Conflict of Commitment** means any Outside Professional Activity in +excess of the limitations imposed by this policy, or which otherwise +conflicts with a Covered Individual's external funding commitments. A +Conflict of Commitment usually involves an issue of time allocation +that conflicts or overlaps with an employee's commitments to WPI +and/or with the employee's responsibilities on Grants. + +**Conflict Management Plan** means a written agreement between WPI and a +Covered Individual for the purpose of managing an identified Conflict +of Commitment or other Conflict of Interest. + +**Covered Individual** means (1) a WPI faculty member, as defined by the +Faculty Handbook, or (2) any other Investigator as defined below, who +is subject to this policy. + +**Designated Institutional Official** (DIO) means the WPI employee +responsible for soliciting and reviewing disclosures pursuant to this +policy. + +**Grant** means an award of financial assistance or a contract for +services, regardless of how named, which provides support for research +and related activities at WPI AND which requires WPI to provide +certain deliverables or meet objectives as a condition of +funding. This definition does not include gifts. + +**Outside Professional Activity** means an activity engaged in by +Covered Individuals outside of WPI that reasonably relates to, or +could affect their ability to perform, their institutional +responsibilities at WPI. For example, Outside Professional Activities +generally consist of outside research, teaching, consulting, clinical +activities, or business activities whether paid or unpaid, including +but not limited to start-up companies or companies originating from +WPI, which may involve WPI-owned intellectual property. + +**Investigator** means any person, including without limitation WPI +faculty, students, and staff/administrators, with responsibility for +the design, conduct, or reporting of sponsored research or other +sponsored programs at WPI. This includes all PIs, Co-PIs, Co-Is, and +other senior personnel on Grants. This definition generally excludes +graduate research assistants and fellows, except in cases where they +are named as a principal investigator, co-principal investigator, or +other senior personnel on a Grant. + +**Professional Service** means a form of Outside Professional Activity +that does not involve an ongoing professional appointment with an +outside entity, is remunerated by no more than a modest honorarium or +equivalent, and involves service to: + +1. Government agencies and boards, including peer review panels and +speaking engagements for federal, state, and local governmental +entities. + +2. Philanthropic organizations or charities, professional societies, +visiting committees or advisory groups to other universities, and +analogous bodies. Activities that provide financial or in-kind +support for research are not considered Professional Service. + +**Sponsor** means an entity from which WPI requests or receives +financial support (other than gifts) for the purpose of furthering +research, training, or other institutional activities. + +**Supervisor** means a Covered Individual's direct line manager. For +faculty this is normally the Department Head or Program Director. + +### IV. Policy Requirements for All Covered Individuals {#chapter-9-section-6.4} + +#### A. Disclosure + +Covered Individuals must disclose any Outside Professional Activities +that (a) may reasonably appear to conflict with their WPI +responsibilities, (b) that exceed the permitted time commitment +specified in this policy, or (c) that involve a formal appointment or +affiliation with an entity in a foreign country. Such disclosures are +required to be submitted as follows: (a) annually, at a time to be +determined by the Designated Institutional Official, *and* (b) within +thirty (30) days after the start of any new Outside Professional +Activity that requires disclosure under this policy. Activities that +fit the definition of Professional Service (Section V.B) do not need +to be disclosed. + +Disclosure is not required for activities which are wholly unrelated +to a Covered Individual's WPI responsibilities. Additionally, the +following types of Outside Professional Activities are not subject to +disclosure: + +a. Professional Service (as defined in this policy) to US-based + organizations. +b. Tutoring of individual students. +c. Other *de minimis* activities as determined by the Designated + Institutional Official. The DIO shall maintain, and make available + to Covered Individuals, a list of activities determined to be + exempt from disclosure. + +#### B. Permitted Time Commitment for Faculty + +For faculty on nine-month appointments, Outside Professional +Activities that involve consulting or outside employment are limited +to the equivalent of one day per week during the faculty member's +contract year. A reasonable amount of "averaging" of this time is +permissible if, on occasion, a faculty member plans to consult for +more than one day in one week but less than one day per week on +average. The time limitations in this section do not apply during +unpaid periods, such as unpaid summer months for faculty on nine‐month +appointments, or during unpaid leave. However, faculty members with +effort commitments on Grants must limit their outside activities so as +not to create a Conflict of Commitment with those Grants. A faculty +member's full-time effort commitment to the University is not reduced +because of the faculty member's consulting. + +During a sabbatical leave (as defined in the Faculty Handbook), the +time limitation noted above does not apply. However, faculty who work +on Grants during sabbatical may not overlap their Grant commitments +with Outside Professional Activities. For example, if a faculty member +on sabbatical is drawing salary support from Grants, their total +academic year salary from all sources cannot exceed the equivalent of +nine months, in accordance with [Chapter 2, Section 8a Policy on +Sabbatical Leaves](chapter-2.html#chapter-2-section-8a). + +Activities that fall within the definition of Professional Service +(see "[Definitions](chapter-9.html#chapter-9-section-6.3)") +are not considered Consulting or outside employment, and do not count +towards the one-day limit. + +#### C. Prior Approval requirements for all Covered Individuals + +Certain types of Outside Professional Activities require prior +approval in order to avoid unmanaged conflicts. Covered Individuals +must follow the procedure in [Section +VIII](chapter-9.html#chapter-9-section-6.8) to obtain approval. + +1. *Significant managerial responsibilities:* Covered Individuals +(including full-time faculty) must obtain prior approval from the +Conflict Management Committee before accepting significant managerial +responsibilities with outside entities. Normally, a written Conflict +Management Plan will be required in such situations. It may be +necessary for a full-time employee to take a leave of absence from +their WPI responsibilities in order to take on a significant +management role in an outside entity. + +2. *Service on governing boards:* Any Outside Professional Activity +that includes a governing board position in a for-profit, non-profit, +or government entity that does business with WPI (including but not +limited to the licensing of intellectual property from WPI) requires +prior approval. Approval is not required for service on the board of +an entity that does not do business with WPI, + +3. *Use of WPI resources:* Covered Individuals may not make +significant use of WPI resources (e.g., funds, facilities, or +equipment) or personnel (e.g., WPI students and WPI employees) in +connection with their consulting or outside employment without prior +approval. Use of library facilities, facilities available to the +general public, and incidental use of office equipment, email, etc., +will not ordinarily be considered "significant use." + +4. *Use of WPI name and marks:* When Covered Individuals are involved +in Outside Professional Activities not directly associated with WPI, +the use of WPI's name and marks is limited to identification of the +individual by generic title (e.g., Associate Professor), and place of +work (i.e., WPI). Covered Individuals may not permit the outside +entity to claim any partnership, affiliation, and/or endorsement with +or by WPI. + +5. *Activities involving known WPI students:* Outside Professional +Activities that directly or indirectly involve WPI students in +anything other than their normal academic pursuits are likely to +create a Conflict of Commitment (and/or Conflict of Interest). Before +involving known WPI students in any such activities, Covered +Individuals must obtain written approval. + +#### D. Prohibited Activities + +1. *Activities that assign WPI intellectual property to a third +party:* Covered Individuals may not enter into agreements that assign +WPI-owned intellectual property to a third party, or that create +claims to intellectual property in conflict with WPI's rights or the +rights of Sponsors. WPI's ownership of, and rights to employee-created +intellectual property are governed by the Intellectual Property +policy. + +2. *Activities that involve restricted WPI data:* Covered Individuals +are not permitted to engage in Outside Professional Activities that +involve the use of restricted WPI data contrary to [WPI's Data +Classification and Usage +Policy](https://www.wpi.edu/sites/default/files/Data_Classification_and_Usage_Policy.pdf). + +3. *Activities with restricted/sanctioned entities:* Covered Individuals +are prohibited from engaging in Outside Professional Activities with +foreign countries, persons, or institutions that are subject to +U.S. sanctions, embargoes or export restrictions, unless the DIO has +determined, in advance and in writing, that such activities are +legally authorized. + +### V. Additional Requirements for Investigators {#chapter-9-section-6.5} + +#### A. Disclosure to WPI + +Investigators must disclose *all* Outside Professional Activities, +subject to the exemptions listed in section IV of this policy. + +Such disclosures are required to be submitted as follows: + +a. prior to the submission of any funding proposal, unless the +Investigator has an existing disclosure on file, and confirms in +writing prior to the proposal that such disclosure is complete and +up-to-date. + +b. annually, at a time to be determined by the Designated +Institutional Official, and + +c. at the start of any new Outside Professional Activity. New +activities should be disclosed in advance when possible but must be +disclosed within thirty (30) days after the start of the Outside +Professional Activity. Investigators must disclose Outside +Professional Activities to WPI regardless of whether there is any +perceived conflict. The obligation to disclose an activity does not +indicate or imply that the activity creates a conflict of +interest/commitment or is otherwise improper. + +Disclosure is still required in cases where the Outside Professional +Activity is subject to a nondisclosure agreement. In such cases, the +Covered Individual may be required to obtain permission from the other +party in order to make the disclosure. The Office of Research +Integrity & Compliance will ensure appropriate handling of +confidential information related to disclosures. + +Covered Individuals should err on the side of disclosure and may +consult with the DIO if there is any doubt whether an Outside +Professional Activity is subject to disclosure. + +#### B. Disclosure to Grant Sponsors + +Investigators are responsible for complying with Sponsor disclosure +requirements, and for making all required disclosures to the sponsor +in their proposals, progress reports, etc. For example, applicants +for Public Health Service (e.g., NIH) or National Science Foundation +funding may need to disclose Outside Professional Activities in both +their bio-sketch and as "current and pending" or "other +support". Covered Individuals should consult with OSP and ORIC if they +have questions about specific requirements. If a Covered Individual +fails to comply with Sponsor disclosure requirements, OSP and/or ORIC +will be responsible for submitting remedial disclosures to the Sponsor +in accordance with Sponsor guidelines. + +#### C. Pre-approval Requirements + +1. **Consulting and Outside Employment** + + Investigators must obtain approval as outlined in [Section + VIII](chapter-9.html#chapter-9-section-6.8) below, before entering + into consulting agreements, employment contracts, or other similar + agreements in connection with an Outside Professional Activity. + Consulting or employment engagements that exceed the time limit + specified in this policy, or that may involve a Conflict of + Interest pursuant to the [FCOI + Policy](chapter-9.html#chapter-9-section-1), must have a Conflict + Management Plan approved by the Conflict Management Committee. + +2. **Service as Principal Investigator Co-Principal Investigator for +Other Entities** + + Covered Individuals may not serve as principal investigator or + co-principal investigator on an externally funded project or award + that is administered by a for-profit entity, foreign entity, or + academic institution other than WPI without prior written + approval. This approval must be obtained prior to Grant + submission and, if approval is granted, the activity is subject to + the limitation on time commitment contained in this policy. + + This rule does not limit Covered Individuals from participating in + multi-site awards (e.g., when WPI receives a sub-award or has a + collaborative or other agreement with another institution), nor is + it intended to restrict access to specialized facilities not + available at WPI. Additionally, WPI recognizes that Covered + Individuals may, on occasion, receive special approval for + appointments with other research organizations where they may + serve as principal investigators. In such cases, the Conflict + Management Committee will be responsible for ensuring that any + Conflict of Commitment is satisfactorily managed. + +### VI. Review of Disclosures {#chapter-9-section-6.6} + +The Office of Research Integrity & Compliance (ORIC) is responsible +for coordinating the disclosure process, reviewing disclosures, and +referring potential Conflicts of Commitment to the Conflict Management +Committee. ORIC will provide training and guidance to Covered +Individuals as needed, in order to support their ongoing compliance +with the policy. + +The Director of Research Integrity & Compliance (and/or other +qualified individual(s) designated in writing by the Vice President +and Vice Provost for Research) will be the Designated Institutional +Official (DIO) responsible for reviewing each annual or updated +disclosure. The DIO will review each disclosure to determine whether +a potential conflict exists, consulting with the Covered Individual, +their Supervisor or Dean, and others, as appropriate. Any identified +conflicts will be referred to the Conflict Management Committee for +management, as described in Section VII below. + +### VII. Management of Conflicts {#chapter-9-section-6.7} + +The Conflict Management Committee is comprised of the individuals set +forth in the [FCOI Policy](chapter-9.html#chapter-9-section-1). The +Conflict Management Committee is charged with determining (1) whether +it is possible to manage an identified Conflict of Commitment, and (2) +if so, what conditions and restrictions are needed to do so. The +committee may issue a written conflict management plan describing +these conditions in detail. Any such conflict management plan will be +binding on the Covered Individual. + +The Conflict Management Committee shall convene, as needed, to review +any potential conflicts identified pursuant to this policy and to +determine the appropriate actions necessary to manage and/or eliminate +such conflicts. + +In order to resolve a Conflict of Commitment, the Conflict Management +Committee may approve a management plan that includes a reduction of +WPI effort for the Covered Individual. For example, a faculty member +wishing to devote additional time to a startup company may be granted +a temporary part-time appointment to accommodate the startup +activity. In such cases the Covered Individual will remain subject to +this policy despite the temporary loss of full-time status. + +### VIII. Process for Approvals {#chapter-9-section-6.8} + +Requests for approval are considered by the Designated Institutional +Official, with input from the Covered Individual's Supervisor and Dean +or Division Head. The process for seeking approval is as follows: + +1. The Covered Individual submits a request in writing to their +Supervisor; + +2. The Supervisor forwards this request, along with any comments (if +any), to the appropriate Dean or Division Head that might be helpful +to the DIO in making a decision; + +3. The Dean/Division Head forwards the request to the DIO along with +any comments (if any) that could be helpful. + +4. The DIO will approve, disapprove, or conditionally approve each +request in a timely manner, consulting as needed with the Covered +Individual, their supervisor/dean, and/or the Conflict Management +Committee. A conditional approval indicates that the activity may +proceed once a Conflict Management Plan is in place. + +When evaluating a request for approval, the DIO should consider +carefully the Covered Individual's allocation of effort between +grant-funded and other activities, as well as the potential legal, +financial, and regulatory risks to both the institution and the +Covered Individual. Requests may not be disapproved solely on the +basis of the perceived academic or professional merit of the proposed +activity. + +If a request for approval is particularly time-sensitive (i.e., a +response is needed within 24 hours), a Covered Individual may contact +the DIO to request expedited approval. If the DIO is unavailable, +requests for expedited approval may be directed to the Provost. + +Covered Individuals may appeal the DIO's decision as described in +Section IX, below. + +### IX. Appeals {#chapter-9-section-6.9} + +If permission to engage in a particular type of Outside Professional +Activity is denied, or if a Covered Individual disagrees with a +conflict management plan that the Committee has approved, the Covered +Individual may appeal that decision or plan to the Provost, or the +Provost's designee, within ten (10) business days of the Covered +Individual being informed of the denial or management plan. A +decision by the Provost, or the Provost's designee, shall be final. + +### X. Questions {#chapter-9-section-6.10} + +Any questions regarding this policy must be directed to the Office of +Research Integrity and Compliance. + + \newpage # Chapter Ten - Faculty Conduct Policies {#chapter-10} @@ -9501,7 +9931,7 @@ they are entrusted, because relationships between supervisors (including TA's and RA's) and supervisees are fundamentally asymmetric in nature, may be the product of subtle or not-so-subtle coercion, or may lead to favoritism for the subordinate. If a student employee -(i.e. TA, RA, PLA, undergraduate student assistant, or work-study +(i.e., TA, RA, PLA, undergraduate student assistant, or work-study student) is assigned to a course and has a preexisting sexual or romantic relationship with one of the enrolled students, he or she is obligated to inform the instructor of the course so that alternative