Research Related Policies

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SPONSORED PROGRAMS OPERATIONS GUIDE

Allegations of Misconduct in Science

UTSA Policy. The University of Texas at San Antonio strives to create a research climate that promotes faithful adherence to high ethical standards in the conduct of scientific research without inhibiting the productivity and creativity of scientist or academician. Misconduct in science is an offense that damages not only the reputation of those involved but also that of the entire educational community.

Misconduct in science means fabrication, falsification, plagiarism, or other practices that materially deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research. It does not include honest errors or honest differences in interpretations or judgments of data.

Misconduct in science is a major breach of the relationship between a faculty or staff member and the institution. In order to maintain the integrity of research projects, every person engaged in research, including faculty, graduate and undergraduate students, postdoctoral fellows, and technicians, must keep a permanent auditable record of all experimental protocols, data, and findings. Coauthors on research reports of any type must have had a bona fide role in the research and must accept responsibility for the quality of the work reported.

Scholarly activities which involve faculty/student collaboration are encouraged and may be positively recognized in faculty personnel processes. Issues related to faculty/staff collaboration may include matters such as expected contributions of each party, order of authorship, and/or type of citation to be given, and must be addressed early in any scholarly project. Decisions must be congruent with ethics and scholarly customs of each discipline involved. Specific recognition of the nature and scope of individual student contributions must be made in all published material.

Any inquiry or investigation of allegations of misconduct in science must proceed promptly and with due regard for the reputation and rights of all individuals involved.

The University will take all reasonable steps to assure that the persons involved in the evaluation of the allegations and evidence have appropriate expertise and that no person involved in the procedures is either biased against the accused person(s) or has a conflict of interest.

Procedures for Addressing Misconduct in Science. Allegations of misconduct in science should be brought to the attention of the appropriate Department Chair and Dean or, if such allegations involve a Department Chair or Dean, they should be brought to the attention of the President. The Department Chair, Dean, or in the case of allegations made against the Department Chair or Dean, a person designated by the President will bring such allegations to the attention of the principal investigator of the research program and any researchers affected by the allegations. The Department Chair, Dean or person designated by the President, with due regard for the reputations of all parties involved, including those who in good faith reported the apparent misconduct, will immediately conduct an inquiry into the allegations. The inquiry must be completed within sixty (60) calendar days unless circumstances clearly warrant a longer period, in which case the inquiry record must include documentation of the reasons for exceeding the sixty (60) day period.

NOTE : Department Chairs for purposes of this document refer to Division Directors

At the conclusion of the inquiry, a written report shall be prepared and delivered to the President. The report will include a description of the evidence reviewed, a summary of relevant interviews, and a statement of the conclusion(s) reached together with the rationale for such conclusion(s). The report shall be accompanied by all written statements, data, or other evidence considered during the inquiry. The President shall provide the person(s) against whom the allegations have been made a copy of the report and request that any comment on the allegations and on the findings of the inquiry and/or investigation in response be made within ten (10) days. These comments must be made part of the record.

The President, with such advice or consultation as may be deemed appropriate, shall review the inquiry report, the inquiry record, and the comments (if any) of the person(s) accused of misconduct and determine either that the allegations are unfounded and that no further proceedings are warranted; or that there is substantial evidence to support the truth of the allegations and that hearing procedures to discipline or terminate the accused person(s) should be commenced pursuant to the established due process procedures of the University and the Board of Regents of The University of Texas System. Such hearing procedures constitute the "investigation" required by PHS rules in those cases involving funding from that agency. The hearing procedures must begin within thirty (30) days after the conclusion of the inquiry. An attorney from the UT System Office of General Counsel will be available to represent the University in the hearing.

An investigation shall be completed within 120 days of its initiation. This includes conducting the investigation, preparing a report, making the report available for comment by those affected, and submitting the report to the sponsoring agency. If identifiable, the individuals who raised the allegation shall be provided with those portions of the report that address their roles and opinions in the investigation.

If it is determined that the alleged misconduct is not substantiated, diligent efforts will be undertaken by the University to restore the reputation of the accused person(s) and also to protect the position and reputation of the person(s) who, in good faith, made the allegations.

In the event that the allegations are admitted by the accused person(s) or the hearing procedures result in a determination that the allegations of misconduct are true, the University will notify the sponsoring agency of the facts related to the allegations, the conclusions reached, and the penalty imposed by the University. In addition, notice will be given to the editors of all journals to which articles related to the affected research have been submitted.

Documentation substantiating the findings of inquiries and investigations will be maintained and provided to authorized sponsoring agency personnel upon request.

Detailed documentation of the inquiries shall be maintained and secured for a period of at least three years after the termination of the inquiry. The documentation shall be provided to the authorized sponsoring agency upon request.

Additional Procedures for Addressing Misconduct in Science Involving Grants & Contracts. In the event that allegations of misconduct in science are made with regard to an application for or a grant of funds for research, research training, a research related activity, or a cooperative agreement under the Public Health Services (PHS) Act the following action must be taken:

Notify the Office of Scientific Integrity (OSI) of the Office of the Director of the National Institutes for Health when it appears at any time during the inquiry or other procedures that an immediate health hazard is involved; there is an immediate need to protect federal funds or property, or to protect the interests of the person(s) making the allegations or of the person(s) against whom allegations have been made and/or their co-investigators; it is probably that the alleged misconduct will be made public; or information exists reasonably indicating that there has been a criminal violation, in which case the OSI must be notified within 24 hours of obtaining such information.

Notify the OSI that a decision has been made to initiate disciplinary or termination procedures (the "investigation" under the PHS rules), including the name of the person(s) against whom allegations of misconduct have been made, the general nature of the allegations, and the PHS application or grant number(s) involved;

Notify the OSI of any decision that an inquiry or other procedure based upon the allegations will not be pursued to completion together with the reasons for such decision;

Provide OSI with a final report of any disciplinary or termination procedure, including a description of such procedures, the sanction imposed, how and from whom relevant information was obtained, the conclusions reached, the basis for such conclusions, and any statement or views of the person(s) found to have engaged misconduct; and

Request an extension of time from OSI when it appears that disciplinary or termination procedures will not be completed within 120 days. The request must include an interim report on progress to date, an explanation for the delay in completion, and an estimate of the anticipated date of completion.

Apprise OSI of any developments during the course of the investigation which disclose facts that may effect current or potential funding for the individuals under investigation or that the DHHS needs to know to ensure the appropriate use of federal funds.

Intellectual Property : Patent Policy

Preamble. The University of Texas at San Antonio recognizes research and scholarship should be encouraged without regard to potential gain from licensing fees, royalties, or other such income; however, the University also recognizes patentable inventions and discoveries may arise from research activities. The policies governing the administration of such inventions should provide adequate recognition and incentive to inventors and at the same time ensure the University will share in the rights pertaining to inventions in which it has an equity.

Objectives. The basic objectives of the University's policy regarding patents are to encourage research and scholarship as creative academic endeavors while recognizing commercially viable inventions may result from such endeavors; to encourage inventors to report discoveries with patent potential and to assist them, while at the same time safeguarding the interests of all concerned parties; to make inventions developed in the course of University research available to the public under conditions that will promote their effective utilization and development; to assure inventions developed in the course of University research shall not be used to the detriment of the public interest by the unnecessary exclusion of any qualified user or by any other means; and to provide adequate recognition and incentives to inventors.

Ownership. The rights in patents arising from research will vary depending on the proportionate contribution of the University to the performance of the research projects or on the type of contract agreed upon with cooperating agencies. Research projects can vary from those wholly financed by the University or by a University administered fund to projects which receive no significant University support.

The University will have ownership rights in all inventions of University personnel including students, that are conceived or first actually reduced to practice as a part of or as a direct result of university research; activities within the scope of the inventor's employment by, or in official association with, the University; and activities involving the use of University information not available to the public, or funds administered by the University.

To the extent an invention is conceived, developed and reduced to practice by a member of the faculty, staff, and students, on his/her own time, outside the scope of his/her employment or association with the University and without University facilities, materials, or resources, ownership of such invention shall belong to such member of the faculty, staff and students. They may submit their invention to the University for possible patenting and/or commercial exploitation and management under terms to be agreed upon by the inventor and the University. The provisions of UTSA patent procedures are subject to any applicable laws, regulations, or specific provisions of the grants or contracts which govern the rights in inventions made in connection with sponsored research.

Regent's Policy. Policy delegates to each component institution the responsibility for establishing and administering policies and procedures for dealing with intellectual property developed at the component institution, including the development of sponsored research contracts that contain intellectual property provisions. The President is responsible for the administration of the intellectual property policy of The University of Texas at San Antonio. A University Intellectual Property Committee, composed of faculty and administrative personnel, is appointed by the President. The committee advises on general matters of intellectual property policy and, as requested, reviews and makes recommendations whether the University should assert its interest in certain intellectual property. Support services for the administration of the intellectual property policy are provided by the Vice President for Business Affairs. Reference Regents Rules, Part 2, Chapter XII, Section 2 (1 June 88).

UTSA Patent Policy. The University will encourage the development of patentable processes or inventions for the best interest of the public, the inventor, and the sponsor. Policy will permit the timely disclosure of any patentable discoveries, whether by patent, publication or both. Faculty members or other University personnel who have developed what they believe to be patentable ideas and those with questions concerning University patent policy should contact the Office of the Vice President for Business Affairs.

University personnel are permitted the maximum freedom in respect to their findings, consistent with their obligations to the University. Any person affected by this policy, who as a result of his or her research makes a discovery other than on certain government or other sponsored research projects where individual grants or agreements provide otherwise, shall retain the ultimate right to decide how it is to be made public by publication, by patenting, or both.

When reviewing, negotiating, and approving sponsored research agreements that include intellectual property provisions, the University will follow the policies outlined below. If legal advice is needed, the Office of the Vice President for Business Affairs will request assistance from the UT System Office of General Counsel. The University, through the Office of the Vice President for Business Affairs, will use the services of the UT System Office of General Counsel for review of inventions and for patent prosecution and management.

Patents shall be developed primarily to serve the public interest. This objective usually will require patent development by nonexclusive licensing, which in some cases may be non-royalty bearing. However, the public interest may best be promoted by the granting of a limited exclusive license or even an exclusive license for the period of the patent. These determinations will be made by the University in accordance with the administrative procedures described below. When legal assistance is needed, it will be requested from the UT System Office of General Counsel through the Office of the Vice President for Business Affairs.

This patent policy applies to all University employees, to anyone using University facilities under the supervision of University personnel, and to postdoctoral and postdoctoral fellows.

Patentable ideas and the attendant property rights and obligations are classified by source of research support, as described below.

Individual Patents. Patentable ideas developed on an individual's own time and without direct University support or use of University facilities are the exclusive property of the inventor. The University has no interest in any patent obtained and no claim to any resulting profits.

Patent Transfer to the University. If the inventor chooses to offer the invention to the University, the President will recommend to the Office of the Chancellor whether the University should support and finance the patent application and manage the patent development. If the inventor makes his or her offer after obtaining the patent, the President will recommend whether the University should reimburse the inventor for his or her expenses in obtaining the patent. If the President so recommends and the invention is accepted for patent management, the procedures to be followed and rights regarding assignment of ownership and the division of royalties will be those described in the next subsection below.

Research Patents. Patentable ideas resulting from research performed on University time, with support by State funds or using University facilities shall be the exclusive property of the University. However, the inventor may choose to publish details of his or her research and not to pursue a patent.

Before or after publishing, if the inventor decides to patent ideas resulting from research done on University time, with support by State funds, or using University facilities, he or she shall submit such ideas to the Vice President for Business Affairs who shall make a recommendation to the President regarding determination of the University's interest. When appropriate, the Vice President for Business Affairs will request a review by and recommendation from the University Intellectual Property Committee.

If delay for University review would jeopardize obtaining the patent, the inventor may, with the prior approval of the Vice President for Business Affairs, file the patent application prior to the review by the University. The inventor will be reimbursed for his or her expenses in filing the patent application if the decision of the University and the UT System is to assert and exploit its interest. The Vice President for Business Affairs will notify the UT System Office of General Counsel of any such application.

If the President recommends that the University not assert and exploit its interest, and that recommendation is approved by the Office of the Chancellor, the inventor will be notified within ninety (90) days of the date of submission that he or she is free to obtain and exploit a patent in his or her own right. The University shall not have any further related rights, obligations or duties. However, the University may in some instances elect to impose certain limitations or obligations, dependent upon the degree of University support. In all cases, the University shall retain the right to use the invention internally for academic and research purposes.

If the decision is made to patent and assert and exploit the interests of the University and the UT System, the University will proceed through the patent services of the UT System Office of General Counsel. It shall be mandatory for all employees to assign such inventions and patents to The University of Texas System Board of Regents. The division of royalties or other income, direct patenting and licensing costs first being recaptured, shall be as follows:

$0 to $ 5,000 75% to Inventor/25% to University

$5,001 to $10,000 50% to Inventor/50% to University

above $10,000 25% to Inventor/75% to University

Any such income due the inventor will be transferred by the University to the employee within forty-five (45) days of receipt by the University.

Patents Supported by Federal Grants or Contracts. University administrative approval of application requests to and/or acceptance of grants or contracts with the Federal Government or any of its agencies, or with a nonprofit foundation or private donor, implies a definite decision that the value to the University of receiving the grant or performing the contract outweighs the impact of any resulting change in the basic patent policy. To the extent of any conflict, the patent policy of the University is subject to and thus amended and superseded by the specific terms pertaining to patent rights included in federal grants and contracts, or grants and contracts with nonprofit foundations or private donors. Employees of the University whose patentable ideas result from any such grant or contract shall make such assignment of inventions or patents as is necessary in each case in order that the University may discharge its obligation, expressed or implied, under the particular agreement.

Patents Supported by Industry Grants or Contracts. Patentable ideas resulting from research supported by a grant or contract with commercial concerns and industry are controlled by provisions of the grant or contract. The University recognizes the academic advantages which can come from close scientific cooperation between the research staffs of the University and the research staffs of industry.

The provisions of research arrangements with industry shall take into account

the extent of the industrial participant's contribution of funds and other services, including unique knowledge;
the import of the joint effort to the research and educational program of the University;
the protection of the personal achievements of the University participant or participants; and
the interest of the State and its citizens who provide basic fiscal support.

The University will balance the equities between these different interests when deciding whether to approve a research agreement. If legal issues are in question, the University will request assistance from the UT System Office of General Counsel.

Balancing the equities may require that the research agreement contain provisions for

nonexclusive licensing;
granting exclusive information prior to publication for purposes of review for patentable inventions, although such delays of publication should be a maximum of ninety (90) days in exceptional cases, an extension may be considered upon written request and for good cause, but in no event to exceed an additional ninety (90) day period;
granting a royalty free nonexclusive license;
granting an exclusive license for some limited period of time;
granting an exclusive license for the life of the patent, sometimes including the right of the University to terminate an exclusive license upon failure of the industrial participant to develop or exploit the invention in a manner which will enhance the interest of the public; or
such other provisions as will properly equate the equities involved, including a determination by the University that good and compelling reasons beneficial to the University exist to request that the Board of Regents should be asked to assign ownership of an invention to the sponsor, subject to a royalty-free license to the University to use the invention internally for academic and research purposes.

Employees of the University whose patentable ideas result from research supported by a grant or contract with commercial concerns and industry shall make such assignment of inventions or patents as is necessary in each case in order that the University may discharge its obligations, expressed or implied, under the particular agreement.

Unpatentable Technology. Significant unpatentable technology will be treated by the University in the same manner that it handles patentable processes or inventions.

Patent Income. Patent income is defined to include income associated with any patent disclosure made to the University for exploitation, even if the income is received before a patent application has been filed or a patent issued, and includes such monies received as royalties, fees, advance payments, court awarded infringement damages, payments received in settlement of infringement disputes, and the like, calculated after the costs of exploiting the disclosure have been reimbursed to the University, some examples of such costs are the cost of securing the patent, appropriate licenses, and other legal efforts as required. Patent income shall not include indirect economic benefits resulting from the technological position established by the patented technology or the sale of derived articles or concepts, including such items as a follow-on NSF grant using the patented technology as a basis for future work.

Licensing Restriction. No assignment of or license for (or agreement to assign or license) any invention developed in the course of research supported by funds or utilizing facilities administered by the University may be entered into by any faculty member, staff member, or student without the written consent of the University. The University shall have the ultimate right to resolve any conflict of interest arising in this connection with third parties or organizations. The basic objectives of the patent policy stated herein shall serve as the criteria for approval of assignments, licenses, and agreements to assign or license.

Foreign Applications. Foreign patent applications will not be filed unless substantial justification exists relative to the commercial potential of the invention; or one or more firms have expressed an intent to license the technology.

There will be an annual review of foreign application/patent status. Foreign applications/patents that are not active with respect to license or license potential may be dropped.

Foreign application/foreign rights will be released to the inventor(s) if the University does not recommend initial or continued pursuit by the University and provided the inventor(s) sign an agreement including the following provisions:

If the foreign rights generate income in the hands of the inventors, then such income would be applied initially to the outlays made by the inventors to secure such income, secondly to the expenses incurred by the University regarding such foreign rights prior to conveying same to the inventors. The inventor(s) will maintain market and accounting records that will be available for review by the University on request.

Maintenance Fees. An increasing number of the University's U.S. patents are subject to the payment of maintenance fees in order to keep such patents in force. Accordingly, there may be instances in which the University decides to abandon some of its non-producing U.S. patents. Regarding such non-producing U.S. patents to be abandoned by the University, the University will offer to convey such patents to the inventor(s) under the arrangement described for foreign patents described previously.

Infringements. No University personnel shall accuse any third party of infringing any patent owned by the University unless express written permission has previously been obtained from the President of the University to make such allegation or accusation of infringement. Prior to granting such permission and prior to initiating litigation to resolve infringement of a University patent, the President shall consult with legal counsel and other counsel, as the President deems appropriate.

Record Keeping Guidelines. Good laboratory practice dictates the use of bound notebooks for record keeping, making entries on a daily basis. This "diary" format provides a day-to-day chronology. Use the notebook to record a conception (a complete description of a means to accomplish a particular purpose or result), laboratory data and drawings. Each entry should be headed with a title and continued on successive pages. Make entries in ink and do not erase; draw a line through text or drawings to be deleted, and enter the material in corrected form. Draw a line through blank spaces on the page. Separate sheets and photographs pasted to notebook pages should be referred to an entry. Material that cannot be incorporated in the notebook should be keyed to an entry. Sign and date all entries at the time they are made, and have them witnessed. A witness must be someone who has read the material and is capable of understanding it, yet had nothing to do with producing it. Secure additional witnesses when something important or highly unusual is discovered. Remember that an inventor and his or her co-inventor(s) cannot serve as their own witnesses. Records, when made a matter of routine, take only a small amount of time and effort, become an invaluable asset to work in progress, and may ultimately reserve for the inventor those rights to which he or she is, by priority, entitled.

Records that support the conception, development and demonstration of a particular intellectual property should be available for review by the Patent Committee and patent counsel at each stage of review of a particular disclosure.

Intellectual Property : Copyright Policy

Regents Rules. Policy delegates to each component institution the responsibility for establishing and administering policies and procedures for dealing with intellectual property developed at the component institution, including the development of sponsored research contracts that contain intellectual property provisions.

The President is responsible for the administration of the intellectual property policy of The University of Texas at San Antonio. A University Intellectual Property Committee, composed of faculty and administrative personnel, is appointed by the President. The committee advises on general matters of intellectual property policy and, as requested, reviews and makes recommendations whether the University should assert its interest in certain intellectual property. Support services for the administration of the intellectual property policy are provided by the Vice President for Business Affairs. Reference Regents Rules, Part 2, Chapter XII, Section 2 (1 June 88).

UTSA Copyright Policy. A primary goal of the University is the dissemination of knowledge. One way this is achieved is through the publication of works produced by University employees. Ownership of copyrights and royalties resulting from all copyrightable works shall be determined in accordance with the guidelines below.

Section 1. This policy applies to all University employees. It is the responsibility of any employee to notify the Vice President for Business Affairs through the appropriate director and dean, of work produced by the employee that the University owns or to seek clarification of ownership if any reasonable doubt exists as to ownership. If legal advice is needed, the Vice President for Business Affairs will request assistance from the UT System Office of General Counsel.

Section 2. Copyrightable works which are produced by an employee in connection with a sponsored research project shall be subject to the terms of the agreement between the University and the sponsor. In the absence of such an agreement or to the extent such agreement does not fully address ownership of copyrightable works produced, such works shall fall under subsection (3), (4), or (5) below.

Section 3. When an employee is assigned work or responsibilities for the specific purpose of developing a copyrightable work, including but not limited to a computer program, audio-visual material, or manual, all such works and royalties therefrom shall be the property of the University.

Section 4. When an employee produces copyrightable works, including computer programs, within the scope of his or her employment but which do not fall under subsection (3) of this policy, such works, other than the scholarly works covered under subsection (5), shall be the property of the University. The division of royalties or other income, copyright registration and any distribution or other related costs incurred by the University first being recaptured, shall be divided 50% to the employee and 50% to the University. Any such income received by the University and due the employee will be transferred by the University to the employee on a quarterly basis.

Section 5. When an employee produces copyrightable works other than those defined in subsection (2), (3), or (4), he or she shall have sole right of ownership and disposition of such work. This subsection shall apply to journal articles and textbooks.

The net income that the University retains under this policy shall be used, at the discretion of the President, for academic or research purposes at the University.

Copyright Income. Copyright income is defined to include income associated with any copyright disclosure made to the University, filed, or issued. It includes such monies received as royalties, fees, advanced payments, court awarded infringement damages, payments received in settlement of infringement disputes, and the like, calculated after the costs of exploiting the disclosure have been reimbursed to the employee(s) or the University, whichever funded the original exploitation. Some examples of such costs are the cost of securing the appropriate copyright licenses, and other legal efforts as required. Copyright income shall not include indirect economic benefits resulting from the technological position established by the copyrighted technology or the sale of derived articles or concepts, including such items as a follow-on NSF grant that uses the copyrighted technology as a basis for future work.

Research Centers & Institutes

Purpose. The purpose of research centers and institutes is to enhance the research efforts of the faculty and to foster student involvement in research-related activities at the University. Research centers exist to foster research focused on one topic or issue; a center may require the efforts of faculty from one or several divisions, in one or more colleges. Research institutes, on the other hand, enhance and support broad-based research efforts and will normally encompass research activities at the level of a college or colleges. As with all research endeavors, support of graduate education is an important function of research centers and institutes. In addition, research units provide educational experiences for both undergraduate and graduate students through the activities of the units.

Establishment of a Research Institute or Center. Each center or institute must demonstrate a clear need for some number of faculty members to work together in a single administrative structure that allows them to carry out a research program more effectively than they would be able to do working individually or in informal partnerships. Approval of a proposed center or institute is made by the President of The University of Texas at San Antonio on recommendation of the Provost and Vice President for Academic Affairs. The director and associate directors (if any) of a center or institute are appointed by the Provost and Vice President for Academic Affairs. If the disciplines represented in the unit are contained primarily within a single college, the director reports to the dean of the college. Otherwise the director reports to the Provost and Vice President for Academic Affairs.

Faculty or academic administrators seeking to establish a new center or institute should submit a request to the Provost and Vice President for Academic Affairs who, after reviewing the request, will forward it to the President with a recommendation. This normally occurs as part of the University's Strategic Planning process and includes ranking by the appropriate planning committees at the division, college and university levels. The proposal should carry the endorsements of the division directors and deans involved. Information included in the proposal should include the purpose and need for the unit, particularly the need for some number of faculty members to work together in a single administrative structure; the relevance of the unit to the University's strategic plan; the role of the unit in undergraduate and graduate education; the proposed administrative organization; the description of the proposed facilities; and a developmental plan for the unit over a 5 year period including projected budgets and revenue sources.

Approval of a new research center or institute is based primarily on the value of the proposed unit to the mission and goals of the university. Criteria also include the need for the unit, the extent of the plans for including students in its research activities, the amount of start-up funds and space required from the university, and the likelihood of obtaining outside funding for support of the unit within a reasonable period of time. If the proposed research center or institute name is to contain the name of an individual, please see the Rules and Regulations of the UT System Board of Regents related to naming of facilities other than buildings.

Funding for Research Institutes and Centers. Funding for institutes and centers should be exclusively or primarily from external sources. Exceptions may be made for new units requesting a small amount of funding for start-up activities, including proposal development, course releases, temporary staff, student research assistantships and operating expenses. Funds for these purposes should be requested in the strategic initiative proposal. Exceptions may also be made for existing units requiring funds for proposal development, which may be requested from the Office of the Provost, or for temporary personnel support pending receipt of funds from an approved grant or contract. Requests for such temporary personnel support must be made through the normal budgeting process and, for planning purposes, should be estimated in advance of the actual need.

Annual Reports. All centers and institutes must submit a report annually to the Provost and Vice President for Academic Affairs giving an account of research and scholarly activities performed, involvement of students in such activities, and contributions of the unit to the strategic plan of the university. The annual report should also include a financial summary showing expenditures and revenues for the past year, and plans for continued funding.

Review of Research Centers and Institutes. Research centers and institutes are not viewed as permanent units and will be reviewed periodically by the Provost and Vice President for Academic Affairs and the President to determine whether their continued existence is justified and in the best interest of the University. New units are reviewed at the end of their first three years of existence, and at least once every five years thereafter. An ad hoc review committee is appointed by the Provost and Vice President for Academic Affairs to assist in this effort; the committee will be chaired by the Associate Vice President for Graduate Studies and Research.

The review process will proceed as follows:

The Provost and Vice President for Academic Affairs schedules the review of a center or institute after conferring with the dean of the college who has budgetary responsibility for the unit (or, if reporting directly to the Provost, the director of the unit).

The director prepares and submits a report giving the goals, objectives and accomplishments of the center or institute. This report should include the history of the unit; goals and objectives of the unit; the unit's contributions to scholarship and research since the last review or since the inception of the unit; involvement of students in the activities of the unit; financial support provided for graduate students; financial summary showing expenditures from state and local funds in all budget categories, and showing all revenues received, including sources and amounts, and how they were expended; future plans and rationale for the continued existence of the unit; appendix material, including any other supplementary written information (brochures, publications, annual reports, etc.) that help describe the activities and accomplishments of the unit.

After receiving the report from the unit director, endorsed by the appropriate dean(s), the review committee meets with the director of the center or institute, representative faculty and staff associated with the unit and the dean of the college to whom it reports. The committee inspects the facilities and operation of the center or institute.

Based on the information gathered, the review committee advises the Provost as to whether the stated goals and objectives of the center or institute are being met, and assesses the value of the unit to the university. In doing so, the committee considers measures of success that include the institute or center successfully promotes cooperation among faculty and students; the unit is able to attract outside funds to support its activities and graduate students; the unit is advancing knowledge or performing a valuable service in a manner that would be unlikely to occur if the unit did not exist; the unit regularly involves both graduate and undergraduate students in its activities.

The review committee prepares and submits a preliminary report to the unit director and dean of the college to whom it reports. Both are requested to review the report for accuracy and to submit written responses to the chair of the review committee within 2 weeks. After reviewing the responses, the committee makes any necessary revisions in its report.

The review committee submits its final report to the Provost and Vice President for Academic Affairs. Attached to the final report are the report prepared by the unit director and the written responses from the dean and unit director to the preliminary report of the committee.

The Provost and Vice President for Academic Affairs prepares a response, noting the strengths and weaknesses of the unit and concluding with a recommendation about its continued existence. If the Provost and Vice President for Academic Affairs recommends that a center or institute be discontinued, the recommendation will include a time-table for its dissolution. Where continuation is being recommended, a list of specific actions for the future improvement of the unit will be included if applicable. The Provost's recommendation is communicated to the President for final approval on the continuation/discontinuation of the unit.

Following the review process, the Provost and Vice President for Academic Affairs communicates the final institutional decision to the director of the center or institute, the dean, and the Associate Vice President for Graduate Studies and Research. The dean of the college (or the director of the unit if reporting directly to the Provost) ensures that the determination and recommendations of the President and Provost are carried out. Reference UTSA Handbook of Operating Procedures 9.28 (15 Oct 96)

Financial Disclosure Policy for Investigators of PHS/NSF Grants

Background. The Public Health Service (PHS) and the National Science Foundation (NSF) have implemented regulations effective October 1, 1995, promoting objectivity in PHS and NSF funded research and educational activities which establish standards and procedures to be followed by institutions that apply for funding from PHS or NSF to ensure that the design, conduct, or reporting of research and educational activities funded by PHS and NSF grants, cooperative agreements, or contracts will not be biased by any Significant Financial Interest of those investigators responsible for the activities. For purposes of complying with these regulations, and to maintain a research environment that promotes faithful attention to high ethical standards, The University of Texas at San Antonio has promulgated this policy relating to conflicts of interest to be administered in conjunction with Texas laws setting forth standards of conduct (Texas Government Code, Chapter 572) and the Code of Ethics of The University of Texas System [Part One, Chapter III, Section 4 of the Regents' Rules and Regulations (11 Feb. 99)].

UTSA Policy Statement Relating to Conflicts of Interest. Each faculty member, principal investigator or other person responsible for the design, conduct or reporting of research proposed for funding from the Public Health Service or the National Science Foundation shall submit to the Office of Research Development, a financial disclosure statement listing all Significant Financial Interests of the Investigator (and those of the investigator's spouse and dependent children) that would reasonably appear to be affected by the research or educational activities proposed for funding, including interests in entities whose financial interests would reasonably appear to be affected by such activities. Each such financial disclosure statement must be updated during the pendency of the award, either on an annual basis, or as new reportable Significant Financial Interests are obtained. The Vice President for Business Affairs through the Office of Grants and Contracts Administration, will maintain records, identifiable to each Investigator and award, of all financial disclosures and all actions taken with respect to each Significant Financial Interest for at least three years beyond the termination or completion of the award, or until resolution of any action by a granting agency involving the records, whichever is longer.

Definitions

Significant Financial Interests. A Significant Financial Interest means anything of monetary value, including but not limited to, salary or other payments for services (e.g., consulting fees or honoraria); equity interests (e.g., stocks, stock options or other ownership interests); and intellectual property rights (e.g., patents, copyrights and royalties from such rights). The term does not include salary, royalties or other remuneration from The University of Texas at San Antonio; income from seminars, lectures or teaching engagements sponsored by public or nonprofit entities; income from service on advisory committees or review panels for public or nonprofit entities; or an equity interest that, when aggregated for the investigator and the investigators 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 that a 5% ownership interest in any single entity; or salary, royalties or other payments that, when aggregated for the investigator and the investigator's spouse and dependent children, are not expected to exceed $10,000 during the next twelve month period.

Research. Research means a systematic investigation designed to develop or contribute to generalizable knowledge.

Investigator. Investigator means the principal investigator and any other person who is responsible for the design, conduct, or reporting of research or educational activities funded by PHS or NSF or proposed for funding by PHS or NSF. For the purposes of the Federal regulations and University policies relating to the financial interests of investigators, "Investigator" includes the Investigator's spouse and dependent children.

Procedures. When an NSF or PHS proposal is being routed for approval it is the responsibility of each Investigator who is planning to participate in the NSF or PHS funded research or educational activities to submit to the Office of Research Development statements of Significant Financial Interests which would reasonably appear to be affected by the research or educational activities for which NSF or PHS funding is being sought. The statement must be updated during the period of the award if an award is made, either on an annual basis or as new reportable Significant Financial Interests are obtained, whichever occurs first.

The Office of Research Development will maintain the proposal records, including the statement of Significant Financial Interests, until such time as NSF or PHS takes action on the request for funds. If NSF or PHS awards funds in response to the request for funding, the Office of Research Development will forward the award document, the original proposal, the statement Significant Financial Interests, and other appropriate documents related to the proposal to the Office of Grants and Contracts Administration. If the proposal is denied by NSF or PHS, the statement of Significant Financial Interests will be returned to the investigator by the Office of Research Development.

The Vice President for Business Affairs will take such actions as are necessary to insure that a Significant Financial Interest will be managed, reduced or eliminated prior to expenditure of funds. At a minimum, Vice President for Business Affairs will determine whether a Significant Financial Interest could affect the design, conduct or reporting of the Research activities funded or proposed for such funding, and determine what conditions or restrictions, if any, should be imposed to manage such interests. Examples of conditions or restrictions that may be imposed to manage actual or potential conflicts of interest include public disclosure of Significant Financial Interests; monitoring of the Research by independent reviewers; modification of the Research plan; disqualification from participation in all or a portion of the Research project in question; severance of relationships that create actual or potential conflicts.

The Vice President for Business Affairs, through the Office of Grants and Contracts Administration, will maintain all records received and created pursuant to this policy as well as all records of actions taken with respect to each Significant Financial Interest for at least three years beyond the termination or completion of the award, or until resolution of any action by the granting agency involving the records, whichever is longer.

In the event that an Investigator participates in a Research project subject to this policy and the project is being simultaneously supported by an organization that has a commercial interest in the outcome of the Research project, the research support by such organization must be provided through The University of Texas at San Antonio. Any direct compensation or payment to the Investigator under that support shall be considered a Significant Financial Interest.

Enforcement. The University of Texas at San Antonio anticipates that its Investigators will comply fully, promptly and in a timely manner with this policy. Instances of deliberate breach, including failure to submit required statements or updates thereof, failure to provide additional information requested by the Vice President for Business Affairs; knowingly filing an incomplete, erroneous or misleading statement; knowingly violating applicable laws, the Regents' Rules and Regulations or this policy; or failure to comply with prescribed conditions or restrictions that have been imposed pursuant to this policy, will subject the Investigator to disciplinary action under policies of The University of Texas at San Antonio and the Regents' Rules and Regulations. Such action could result in a formal reprimand, non-renewal of appointment, termination of appointment for good cause, or any other enforcement action mandated by a granting agency.

If the failure of an Investigator to comply with this policy has biased the design, conduct or reporting of Research, The University of Texas at San Antonio will promptly notify the granting agency of the incident and corrective action taken.

Human Subjects

UTSA Policy. It is imperative that all human research projects at UTSA be submitted for review before they are carried out. This is necessary not only to safeguard human subjects, but to protect the privilege of faculty, staff, and students to continue to conduct human research. All human research projects are to be reviewed and approved by the University Standing Committee on Human Research.

The UTSA Standing Committee on Human Research is the body officially responsible for the well-being of all human subjects who are asked to participate in research conducted by University students, staff, or faculty. The Committee is to review any and all research regardless of the degree of risk perceived by the investigator and regardless of whether or not the research has financial support.

It is the responsibility of the principal investigator to initiate the review of research projects involving human subjects. Forms for the initiation of the review process are available from the Committee on Human Research. Reference UTSA Handbook of Operating Procedures 2.26 (15 Jun 98)

$0	to $ 5,000	75% to Inventor/25% to University
$5,001	to $10,000	50% to Inventor/50% to University
above	$10,000	25% to Inventor/75% to University