External guidelines

Protection of Human Subjects

The UW-Eau Claire policies and procedures for the protection of human subjects have been established in accordance with U.S. Department of Health and Human Services regulations (45 CFR Part 46, "Protection of Human Subjects," as amended) as well as state and University regulations to protect the rights and welfare of human subjects utilized in research projects. Any research project, either funded or unfunded, originated at or supported by the University, that involves human subjects must be reviewed and approved by the Institutional Review Board for the Protection of Human Subjects. The Guide to the Preparation of proposals for Submission to the Institutional Review Board for the Protection of Human Subjects is available in the Office of Research and Sponsored Programs.

Protection of Animals

The UW-Eau Claire Institutional Animal Care and Use Committee (IACUC) is responsible for the review and approval of any research, research training, experimentation, and biological testing and related activities involving live vertebrate animals. The contact person is Dr. David Lonzarich, Chair, IACUC, 836-3260.

Scientific Misconduct Policy and Procedures

Misconduct in science is defined as fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research. Misconduct in science is prohibited and could result in disciplinary action up to and including dismissal. UW-Eau Claire’s Policies and Procedures on Scientific Misconduct document indicates how the University will respond to allegations of research misconduct.

Fringe Benefit

Fringe benefit rates to be used by the University of Wisconsin-Eau Claire in charging external funds for the employer's contribution to fringe benefits are set by UW System. These are found at: www.uwsa.edu/fadmin/fringes.htm. Contact the Office of Research and Sponsored Programs for assistance when developing grant proposal budgets.

Indirect Cost Rates

It is the policy of the University of Wisconsin-Eau Claire to recover the Federal Negotiated Indirect Cost Rate from all agencies that are legally bound by that agreement and from all other federal, state, and private funding sources that will reimburse the University at the negotiated rate. There are two different rates, on-campus and off-campus. Both rates are calculated using the same formula. These rates are based on the total salaries, wages, and fringe benefits being requested in the grant or contract proposal.

On-Campus Rate: 45.5%

Off-Campus Rate: 16%

Investigator Financial Disclosure Policy

Filing Requirement

Consistent with applicable federal regulations (Federal Register Vol. 59:33242-33251 and 33308-33312, June 28, 1994 and Federal Register Vol. 60:35810-35823, July 11, 1995), and to assure timely processing of applications for federal funding, an investigator who is planning to participate in federally funded research or educational activities must submit a UW-Eau Claire Investigator's Financial Disclosure Form (IFDF) to their department chair or equivalent prior to University transmittal of their proposal to a federal agency. Federal regulations define "investigator" as the principal investigator, co-principal investigators, and any other person who is responsible for the design, conduct, or reporting of research or educational activities funded or proposed for funding by a federal agency.

University Research and Creative Activity Council

The University Research and Creative Activity Council (URCAC) will review potential conflicts arising under this policy. The URCAC shall be chaired by the Assistant Vice Chancellor of the Office of Research and Sponsored Programs and will consist of faculty and/or academic staff members who are experienced researchers and federal grant-seekers, as well as appropriate administrators. The committee shall meet as necessary to carry out its responsibilities under this policy.

Review Process

Within 10 working days of receipt, the investigator's department chair or equivalent must review, sign, and forward the IFDF to the appropriate Dean or equivalent.

The Dean shall review the IFDF within 10 working days of its receipt. If the Dean determines, after reviewing the IFDF, that no conflict of interest exists, s/he shall notify the investigator, the URCAC and the Office of Research and Sponsored Programs of the determination. Upon such a determination by the Dean, the expenditure of any awarded funds may proceed.

If the Dean determines, after reviewing the IFDF, that a potential for conflict of interest exists, s/he will notify the investigator, the URCAC, and the Office of Research and Sponsored Programs of the potential conflict of interest. If an investigator with a potential conflict of interest decides to proceed with proposal to a federal agency, the investigator must also send an abstract of the proposal and an explanation of why there is no conflict, or an explanation of potential solutions to the conflict, to the URCAC. If, after review of the submitted documentation, the URCAC decides there is no conflict of interest, the URCAC will notify the investigator, the Dean, and the Office of Research and Sponsored Programs.* Upon such a determination by the URCAC, the expenditure of any awarded funds may proceed.

If the URCAC decides that a conflict of interest does exist, it will convene a meeting with the investigator and the investigator's Dean. At the meeting, any party may suggest ways to eliminate, resolve, or manage the conflict of interest.** If the URCAC, the Investigator, and the Dean agree on how to manage the conflict, the URCAC will notify the Office of Research and Sponsored Programs that the conflict of interest is manageable and that the University can expend the federal funds if awarded.

If a conflict cannot be resolved or managed by the above process, an appeal process shall be provided. If an investigator requests an appeal, the investigator's Dean shall convene and preside over a [three to five]-member appeals committee, consisting of at least one representative from the URCAC, and other qualified persons appointed by the chancellor.

If the conflict is resolved or managed through the appeal process, the Office of Research and Sponsored Programs shall be notified that the conflict of interest is manageable and the university can expend the federal funds if awarded. If the conflict is not resolved or managed through the appeal process, the university may not expend any federal funds awarded. Conflicts involving funded research and educational activities which cannot be satisfactorily managed, reduced, or eliminated through this process will be disclosed to the appropriate federal agency.

If, during the course of the proposal review or grant award, circumstances concerning an investigator's significant financial interests change, the investigator shall submit a revised IFDF to his/her department chair or equivalent, and the above steps for reviewing the revised IFDF shall be followed.

The Office of Research and Sponsored Programs will maintain records of all Investigator's Financial Disclosure Forms and of all actions taken to resolve or manage potential conflicts of interest for at least three years after the termination or completion of the award to which they relate or until resolution of any federal action involving those records, whichever is longer. _____________________________________________________________

* A "no conflict of interest" determination could arise in the following circumstances: if the investigator's income is not from a "for profit" business; or, if the investigator's income is from textbook writing.

** One way a conflict could be managed is for the URCAC to appoint a 2-3 member project oversight committee. Ideally, members of a project oversight committee would have expertise in areas related to the investigator's proposed research area. All project oversight committees would be required to file annual reports with the URCAC concerning their ongoing role in the management of the conflict. Section 50.605 of Subpart F, 42 CFR Part 50, and Federal Register Vol. 60: 35822, July 11, 1995, includes several other suggestions for managing a conflict of interest.

Glossary of Definitions

Reference: Federal Register Vol. 59:33308-33312 and 33242-33251, June 28, 1994 & Federal Register Vol. 60:35810-35823, July 11, 1995

Types of interests that are reportable:

Anything of monetary value that you and/or your immediate family* received from for-profit businesses, including but not limited to:

Salaries or other payments for services (e.g., consulting fees or honoraria)
Equity interests (e.g., stocks, stock options, or other ownership interests)
Intellectual property rights (e.g., patents, copyrights, and royalties from such rights, including books if published by commercial presses)

Types of interests that are NOT reportable:

Salaries, royalties, or other payments from the University
Income from seminars, lectures, or teaching engagements sponsored by public or nonprofit entities
Income from advisory committees or review panels for public or nonprofit entities
Payments from a single business if the entire amount of payments you and your immediate family* together received is less than $10,000
Ownership interest in a business if you and your immediate family's* ownership interests in the business together represent less that 5% or less than $10,000 of the total ownership interests in the business

Formula to determine whether a financial interest is reportable:

Do you and/or your immediate family* have a financial interest from or in a for-profit business that is reasonably likely to be affected by the research or educational activities for which you have received or expect within the year to seek and receive funding? If not, then the interest is not reportable. If yes, go to Step Two.
Do you and/or your immediate family* together receive from such a business $10,000 or more per year, or is the ownership interest you and your family have together in such a business 5% or more, or equal to or greater than $10,000 in value, of the total ownership interest? If no, then the interest is not reportable. If yes, you must report the interests on the other side of this form (ifdf).

* IMMEDIATE FAMILY means your spouse and dependent children.

Responsible Conduct of Research Policy

I. Policy

Beginning on January 1, 2010, all undergraduate students, graduate students, and postdoctoral researchers at the University of Wisconsin-Eau Claire who are supported by funding, in full or in part, from the National Science Foundation for research or education activities must participate in and successfully complete training in the responsible conduct of research. Undergraduate students, graduate students, and postdoctoral researchers supported by other funding sources, such as internal or external grants, may also be required by their faculty mentors to engage in responsible conduct of research training. The purpose of this policy is to comply with the America Creating Opportunities to Meaningfully Promote Excellence in Teaching, Education, and Science (COMPETES) Act (42 U.S.C.1862o-1), Section 7009. Training undergraduate students, graduate students, and postdoctoral researchers in the responsible conduct of research is consistent with the mission of the University, the goals of the Center of Excellence for Faculty and Undergraduate Student Research Collaboration, and the commitment of faculty to encourage collaborative interaction and promote excellence in teaching and learning.

II. Procedures

The plan to train undergraduate students, graduate students, and postdoctoral researchers in the responsible conduct of research involves identification and notification, and training and verification. The Assistant Vice Chancellor for Research and Sponsored Programs will be the primary individual responsible for compliance with the responsible conduct of research plan.

Identification and Notification:

The Assistant Vice Chancellor for Research and Sponsored Programs will take the lead in notifying faculty of their obligation to ensure their student, graduate student, and postdoctoral researchers receive appropriate training in responsible conduct of research as part of their research project. In turn, faculty mentors will contact appropriate undergraduate students, graduate students, and postdoctoral researchers to inform them about responsible conduct of research training and timelines for successful completion.

Training and Verification:

The University of Wisconsin-Eau Claire’s responsible conduct of research training emphasizes instructional areas suggested by the U.S. Department of Health and Human Services, Office of Research Integrity and guidelines from the National Institutes of Health. Responsible conduct of research training may occur in three components.

Component I: All identified undergraduate students, graduate students, and postdoctoral researchers will be required to complete interactive online tutorials created by the Center of Materials and Devices for Information Technology Research (http://www.responsibleresearch.org). Tutorials 1.0 through 3.5 will be completed sequentially, though they do not need to be completed in one sitting. The amount of time to complete the interactive online tutorials is estimated to be between one and three hours. The undergraduate students, graduate students, and postdoctoral researchers should complete the tutorials individually and on their own schedule, either prior to or in the early weeks of the research work.

Interactive online tutorials overview researchers’ rights and obligations; collaboration, communication, and grants management; and intellectual property. More specifically, they address core elements of:
- Data management
- Conflict of interest
- Research misconduct
- Responsible authorship
- Mentor/trainee relationships
- Collaborative science

The interactive online tutorials have a built-in system for verification. During registration, identified undergraduates, graduates, and postdoctoral researchers provide their email address and indicate an affiliation with the University of Wisconsin-Eau Claire. Upon tutorial completion, the Assistant Vice Chancellor for Research and Sponsored Programs receives an automated notification.

Component II: Undergraduate students, graduate students, and postdoctoral researchers who will be involved in conducting experiments with human or animal subjects may require additional responsible conduct of research training. Faculty mentors will be responsible for determining whether or not supplementary, specialized training must be completed and which areas need to be addressed. The undergraduate students, graduate students, and postdoctoral researchers should complete the additional training individually and on their own schedule, either prior to or in the early weeks of the research work.

Training in the ethical and appropriate use of humans as research subjects is now available online through our Eform system. See the What to Submit to IRB page for instructions on accessing the Human Subjects Protection Tutorial. Undergraduate students, graduate students, and postdoctoral researchers provide verification of completion as required by the Institutional Review Board.
Animal welfare training includes an online session through the Research Animal Resource Center (RARC) (https://pegasus.rarc.wisc.edu/training) and attendance at an Animal Care and Occupational Health and Safety session. Undergraduate students, graduate students, and postdoctoral researchers provide verification of completion as required by the Institutional Animal Care and Use Committee.

Component III: All identified undergraduate students, graduate students, and postdoctoral researchers will engage in individualized instruction related to responsible conduct of research as part of their working relationship with faculty mentors. Given the diverse areas and experiences provided at the University of Wisconsin-Eau Claire, it will be the responsibility of faculty mentors to devise and provide education that is appropriate for the content, context, and discipline of the research. Faculty mentors will submit a verification letter annually to the Assistant Vice Chancellor for Research and Sponsored Programs confirming that suitable preparation in the responsible conduct of research occurred.

The Assistant Vice Chancellor for Research and Sponsored Programs will notify faculty mentors of instances of noncompliance with the responsible conduct of research plan and recommend a course of action and timeline for fulfilling requirements. In addition, the Assistant Vice Chancellor for Research and Sponsored Programs will be available to answer questions about the responsible conduct of research plan, direct faculty mentors to relevant online resources, and provide linkages to appropriate experts. This responsible conduct of research plan is part of the University of Wisconsin-Eau Claire’s ongoing commitment to passing along high ethical standards to the next generation of scholars.

Faculty Reassignment for Grants Policy

September 15, 2009

I. Policy

This paper sets forth UW-Eau Claire policy related to institutional financial support for faculty reassignment during the academic year. Faculty developing multi-year research applications for submission to a federal agency will have the option to request, associated with the proposal submission, one course reassignment per year during the funding period of the grant, should the nature of the work to be funded warrant it and it can show a connection to faculty/student research. (Faculty with a grant for which no indirect funds are requested/allowable will not be eligible for the one course release.) The Principal Investigator and the Department Chair will negotiate when the reassigned time will occur. The University will support up to twelve such reassignments in any one academic year for federal grants awarded to UW-Eau Claire, and no more than one per year for a principal investigator.

II. Procedure

Faculty will work with the Office of Research and Sponsored Programs (ORSP) on developing the grant application for submission. Working with ORSP, faculty will seek to cover at least a portion of the cost of the reassigned faculty time through grant direct costs, where possible. Additional funds to support the reassignments will be paid from the Provost and Vice Chancellor’s 150 indirect cost account. The Department Chair, the Dean of the College and the Provost and Vice Chancellor will be informed via the standard pre-submission informational e-mail and the Extramural Transmittal Form of faculty requesting UW-Eau Claire commitment to support reassignment. A minimum of five days is required to accomplish these administrative processes.

III. Constraints

All requests for faculty reassignment on federal grant proposals must be approved by the Chair, College Dean and the Provost and Vice Chancellor for Academic Affairs prior to submission.

Extramural Funds Procedures

When you receive a grant award, review this list of extramural funds procedures, including a summary of which UWEC offices to contact for different types of expenditures.