If a person is appointed for one semester only, he or she will receive one-half of the salary established for a nine-month period. This amount will be paid over the appropriate four-and-one-half-month period.
Persons holding twelve-month appointments are also paid on a monthly basis. However, they are on a pay period involving a two-week delay in payment (e.g., payment for August 18 through September 17 is made on or about October 1). Thus, a person appointed on July 1 will receive payment for July 1 through July 17 on August 1.
Arrangements can be made with the Payroll Office for the direct delivery of payroll warrants to an individual's Lawrence financial institution for deposit into his/her account. In the absence of other instructions, payroll warrants will be delivered to the appropriate department through Campus Mail delivery.
Regular payroll warrants are distributed on or about the first business day of each month.
In order to be eligible to receive pay from the State of Kansas, anyone employed by the state must execute before a notary the following oath of office:State law requires that this oath must be on file before any checks in payment of salary or wages may be issued by the State Treasurer. To facilitate the execution of the oath, notaries are available in the Payroll Office and in other major University offices.
Employees covered under KPERS (Kansas Public Employees Retirement System) will be required to furnish proof of date of birth at time of retirement. Employees covered under other retirement programs approved by the Board of Regents may be required to furnish proof of date of birth at time of application for participation in the program.
The Payroll Office will arrange for automatic deductions for Social Security, state and federal income taxes, mandatory and voluntary tax deferred retirement contributions, group hospitalization, group life insurance and Series "EE" savings bonds. Federal law requires that Social Security deductions be made from the pay warrants of all employees, full -time or part-time, except non resident aliens on F.1 or J.1 visas and students during the time they are actually enrolled (spring semester, fall semester, or summer session). Deductions for the retirement system are made for all persons covered by the system under the provisions of state law. (See Retirement Plans.) Deductions for the group hospitalization program are made for all persons who are eligible and who have indicated their desire to participate in this program. Full-tine employees are eligible for participation in the Series "EE" savings bond deduction plan. Further information about the plan can be obtained from the Office of Staff Benefits. An additional group life insurance program is available to all University faculty and other unclassified staff members. No payroll deductions are made for this program; participants in the program are supplied with payment cards by the Teachers and Employees Association and with instructions as to how monthly payments should be made. (See Group Life and Disability Insurance.)
The University offers a reduced program of courses in summer session. Assignment to summer session teaching is a matter of departmental or school policy.
The University extends its resources throughout the state through the Division of Continuing Education. Off-campus credit courses are taught by regular faculty members as part of their load, and regular credit is awarded. Exceptions must be approved by the academic dean and the Vice Chancellor for Academic Affairs. According to Regents' guidelines, a regular faculty member "is one who holds an appointment (full- or part-time) to teach (in the same discipline) a resident credit course(s) on campus and who has taught such a course on campus a minimum of one semester or summer session at least within the past two years." Off-campus credit and noncredit courses and conferences are cleared through the Division and from there through the Extension Office of the Board of Regents prior to public announcement. Additional compensation may be earned for work on behalf of Independent (correspondence) Study and noncredit programs in accordance with a Board of Regents ruling.
A faculty or staff member on a nine-month academic year appointment may be appointed to University positions during the summer months. If such appointments are funded from non-state sources (e.g., sponsored research, training or institute grants or contracts), the appointments may be for as much as three months of bona fide full-time service. If such appointments are funded from state sources (e.g., regular or summer session teaching budgets, or General Research Fund), University policy limits the appointments to two months in any fiscal year. Exceptions to this policy can be made only when approved by the appropriate Vice Chancellor and the Executive Vice Chancellor or the Chancellor.
Faculty appointments are normally made for the academic year (a nine-month term). There are, however, some appointments, usually involving administrative responsibilities, made for the fiscal year (a twelve-month term). In keeping with University policy that no more than eleven months salary for a faculty member can be supported by state funds, the conversion of a nine-month appointment to twelve months is accompanied by the addition of two-ninths to the base salary and a conversion from twelve months back to nine months by the subtraction of two-elevenths of the base salary. Either conversion will necessitate a change in pay period (See Salary Payments).
The University is not authorized to pay compensation in excess of approved full-time salary except in specific cases approved in advance by the Board of Regents. As a matter of policy the University will not request such authority except in certain unusual cases and in accordance with the requirements set forth below.
A. General
The Board of Regents has given blanket approval for extra compensation for the following specific kinds of service:
B. Other
All other cases require specific prior approval from the Board of Regents. Examples are:
Requests from faculty and staff members for exceptions to permit extra compensation in these cases are to be submitted through regular channels of chairperson, dean or director and appropriate vice chancellor for endorsement. These requests then are to be forwarded to the Executive Vice Chancellor and Chancellor for approval for submission to the Board of Regents. The guidelines and criteria for approval are:
To allow time for receiving decisions from the Board of Regents before work is performed, requests submitted under this policy should be submitted well in advance of the time for performing the service. Board of Regents policy prohibits payment of extra compensation except in cases approved in advance by the Board.
University faculty and staff members may be reimbursed for official travel authorized in compliance with the following guidelines. Expenses incurred for out-of-state travel for which the staff member is to receive reimbursement must be authorized by the appropriate vice chancellor or university director and by the Chancellor. Requests for authorization must be endorsed by the dean, director, or project director and received by the Comptroller's Office at least three weeks in advance of the date of departure. Reimbursement for official travel within Kansas may be authorized by the chairperson, dean, or director if the budgetary unit has funds budgeted for the purpose. Detailed information for obtaining reimbursement is available in the Business Procedures Guide in each departmental office. This publication should be consulted well in advance of any planned travel. It contains information on the limitations of reimbursement, receipts, and application forms. University faculty and staff can apply for an American Express Credit Card through the Office of Staff Benefits. This card is currently available at no cost to the employee. Certain eligibility criteria, as set by American Express, must be met before a card is issued.
The Graduate School has funds to be used for paying the transportation costs of members of the Graduate Faculty to attend the regional or national meetings of their professional societies. Regrettably, these funds are limited, and, therefore, only partial travel reimbursement is possible. Awards are limited to regular members of the Graduate Faculty.
For travel support to attend regional and national meetings, faculty members should apply on standard forms to the Vice Chancellor for Research, Graduate Studies and Public Service for a travel grant. Application must be filed at least one month in advance of the trip.
Travel grants may be requested by faculty members who will present papers at national or regional meetings of learned or professional organizations. Requests for travel grants to participate as president of a national organization, symposium chairperson, session chairperson, panelist or discussant are not automatically approved, but by Committee action a few cases a year are funded where the Committee believes the scholarly contribution of the traveler is equivalent to presenting a paper. No more than one travel grant can be awarded to a single individual in a given fiscal year.
Requests for support of international travel from persons presenting papers at conferences abroad should be addressed to the Office of Academic Affairs, with the endorsement of the appropriate chairperson and dean. Funds for this purpose are made available through the generosity of the K.U. Endowment Association. Faculty members holding tenure track appointments and academic staff members (faculty equivalent) are eligible to apply. As a rule, no more than 60 percent of air fare can be allowed, subject, to course, to the availability of funds. To allow for the wider distribution of these funds, general policy is to make no more than one award to any one individual in any three-year period. An award from the Graduate School Travel fund may be used to fund the domestic part of the travel.
The State of Kansas has several optional group health insurance plans available to University of Kansas faculty and staff who are eligible. Employees are eligible to participate if their appointment is half-time or more, if the position is not seasonal or temporary and if 1,000 hours of work or more are required per year. (This plan is not available to employees holding student appointments. A separate program is offered to all students.)
The State pays the entire premium for an employee holding a full-time appointment and a portion of the premium for an employee with less than a full-time appointment (50% to 99.9%). If an employee elects dependent coverage, the additional premium is paid by the employee. Any premium due from the employee is accomplished through payroll deduction. Participation in the group health insurance plans is optional and if coverage is desired, application must be made at the time the employee begins service. Application at the time of the initial appointment avoids the waiting period imposed by pre-existing conditions, and in some plans, avoids the wait until the next open enrollment period. Coverage normally begins the first of the month in which the first pay warrant is received. Coverage for the month following the initial date of employment can be obtained by any twelve month employees who begin employment between the 18th and 31st of any month.
The dependent plan provides coverage for spouse and all unmarried children under the age of 23. Coverage may be continued beyond the limiting age for unmarried dependent children who are physically or mentally incapable of self-support if written proof is received from the employee within 31 days of the dependent's 23rd birthday.
All employees participating in the group health insurance plans are covered by dental insurance. The State pays the entire premium for eligible employees. Dental coverage for dependents is optional and the cost for such coverage is automatically deducted as a part of the employee's group health insurance deduction.
The State will pay all of the premium for faculty members with basic full-time nine-month appointments who are not on the payroll during the summer months. Faculty members must make arrangements with the Office of Staff Benefits to pay premiums for dependent coverage. Faculty with part-time appointments (50% to 99.9%) must make arrangements with the Office of Staff Benefits to pay their portion of the health insurance premium. The insured faculty or staff members will be liable for all premiums charged during covered periods until written notice of their intent to withdraw from the program is supplied to the Office of Staff Benefits.
Those faculty and unclassified staff members going on leave without pay status (involuntary and voluntary) and who are covered under the Group Health and Hospitalization Insurance program should contact the Office of Staff Benefits prior to going on leave without pay to obtain information about continuing this coverage.
In cases of disability and retirement, group health insurance coverage may be continued after active employment has ceased. In these cases, the insured must pay the full amounts of the group premium.
Effective July 1, 1975, the spouse and/or dependents of a deceased State employee or retiree may continue group health insurance coverage provided the spouse and/or dependents were covered immediately prior to the death of the employee or the retiree. The full amount of the group health insurance premium is payable by the surviving spouse and/or dependents.
In order to comply with the Tax Equity and Fiscal Responsibility Act of 1982 (TEFRA), employees age 65 through 69 years of age will have the same coverage as employees under the age of 65. Effective January 1, 1986, TEFRA extended this coverage to the spouse of the employee regardless of the age of the employee. The State group health care program is the primary carrier and Medicare is the secondary carrier. If the employee or the spouse under TEFRA should choose Medicare to be the primary carrier, they must be withdrawn from the State health contract.
If the employee chooses to retire at an age between 65 and 69, Medicare becomes primary and the State group health plan becomes the secondary carrier. If the employee is employed beyond age 70, Medicare becomes the primary carrier and the State group health care program becomes secondary. Employees reaching age 70 should apply for Medicare approximately three months prior to attaining age 70.
The University of Kansas maintains contributory, funded retirement programs for faculty and other unclassified staff members with several companies selected by the Board of Regents. By State law, members of the faculty and unclassified staff employed one-half time or more are eligible to participate in these programs. Retirement payments from these companies are available on the first of any month after a member discontinues employment in a position covered by the mandatory retirement plans. Normally this is after attainment of age 70, but the faculty or staff member has the option of selecting an earlier retirement date.
Unless a new faculty or unclassified staff member holds a valid contract with one of the Board of Regents retirement plan companies at the time of initial appointment, there is a two-year waiting period before the individual is required to enroll in the program. The two-year waiting period is waived if the employee has served two years (half-time or more) within the past five years with the State of Kansas in a covered position. Members holding valid contracts with one of the retirement companies who meet the eligibility requirements shall participate immediately. Members who own contracts with the companies will be required to prove ownership and complete the required agreement forms at the time the initial appointment is processed.
Participation of eligible employees in one of the retirement programs is mandatory. When an employee becomes eligible to participate in the program, participation is a condition of employment or continuing employment. The employee's contribution of 5 percent of gross earnings is made by payroll deduction. In addition, the University contributes a percentage of the gross earnings. Deductions are taken from the entire twelve-month University earnings, including earnings for summer teaching or summer research appointment. The so-called "tax deferred" provision in the Federal Technical Amendments Act of 1958, sections 403(b) and 501 (c) (3), is available to all eligible members who participate. Effective September 1, 1972, a voluntary tax-sheltered program was established separate from and in addition to the required 5 percent dedicated to the mandatory program. (Also in addition to the 4 percent dedicated to Kansas Public Employees Retirement System for those employees who participate in the State retirement program).
An individual annuity contract is written for each employee and it is "fully vested," that is, the policyholder owns the annuity. No future change of a retirement plan, differences of opinion with an institution, or other such circumstances can deprive participants of the retirement income that has already been set aside for them. In the event a participant in one of the retirement programs terminates employment for reasons other than retirement or disability and requests a refund of his or her annuity, the regulations for each of the Board of Regents retirement companies will apply.
An employee credited with six months or more of service before January 1, 1962, is eligible for "prior service benefits" under the Kansas Public Employees Retirement Act. The annual benefit now amounts to 1 percent of the individual's final average annual salary (average of 20 highest quarters), multiplied by the number of years of prior service. An employee who has accumulated a minimum of ten years of service, counting both prior and participating service, is also covered by the vested benefits though the employee may have made no contributions to KPERS. This means that any such employee who has qualified for a vested benefit may, upon reaching retirement age, apply for and receive a retirement benefit from KPERS based upon prior service credit.
a. Group Death and Disability Insurance
The State of Kansas provides, at no cost, group life insurance for employees with a 50% or more appointment. The carrier is Security Benefit Life Insurance Company, and the benefit is paid to the named beneficiary in an amount equal to 100% of the employee's annual rate of pay. Coverage begins on the first day of employment.
The premium for the disability portion of this insurance is also paid by the State. If an employee becomes totally disabled, after a 180 day waiting period, this insurance will pay a monthly benefit equal to 60% of the employee's rate of pay. The amount of compensation is paid in part by both Social Security and Worker's Compensation, with a minimum of $50.00 per month to be paid by the disability policy.
Unclassified employees of the University eligible to accumulate sick leave and to participate in the University's disability program are expected to use accumulated sick leave and vacation leave during periods of absence from their employment due to illness or disability. Individuals who have used all accumulated sick leave and annual leave may be granted a leave without pay from their employment with the University when such a leave is considered in the best interest of the University. Such leaves must be approved in accordance with Board of Regents policy. Board policy limits leaves without pay to no more than two years unless extraordinary circumstances justifying such leaves are documented to the satisfaction of the Board of Regents. Under the disability program in which the University participates, eligible employees may begin receiving payments under the disability plan after meeting all eligibility requirements, which include total disability for 180 days. Note: Only active participants in the Classified or Unclassified staff retirement plans who are under the age of 65 are covered by the long-term disability plan of the University. Those faculty and other unclassified staff members going on voluntary leave without pay status will not be covered by the group life insurance or long-term disability while on leave without pay.
b. Optional Group Life Insurance
An optional group life insurance program offered by Security Benefit Life provides coverage in addition to the coverage provided by the State group death and disability insurance program described immediately above. The entire cost of this program is paid by the employee. An employee may add $5,0000 to the coverage provided by the State regardless of health, and up to $100,000 with evidence of insurability. The premiums are determined by age and are deducted from the employee's pay warrant. Eligible employees may apply for this term insurance program at the time of initial appointment. Application must be completed within 14 days of the beginning date of employment. The amount of insurance can be increased during subsequent open enrollment periods.
c. Teachers and Employees Association Life Insurance
(Optional Contributory Life and Accidental Death and Dismemberment Insurance)
Decreasing term insurance with Equitable Life Assurance Company is available to employees with a half-time or more appointment. The application card must be completed within 31 days of the beginning date of employment. If an application is submitted after 31 days the applicant may be required to supply evidence of insurability. Coverage begins on the first day of employment. Participants must purchase a membership in the Teachers and Employees Association. Premiums are determined by class, which is based on appointment title, and coverage is determined by age. Premiums are paid to the treasurer in the cashier's section of the Comptroller's Office.
Additional information about all life insurance programs is available from the Office of Staff Benefits.
At the time of this printing, there was no group liability insurance plan available through the University. However, if such a plan is made available in the future, all employees will be notified.
All state employees, whether classified, classified exempt, unclassified, or employed students, are covered under the Worker's Compensation Act. The carrier for State of Kansas employees is the Self-Insurance Fund for Worker's Compensation.
Any employee injured by an accident arising out of and in the course of employment may receive compensation for the injury, provided the injury is not caused by misconduct. The act also covers illnesses arising out of, and in the course of employment. Prompt reporting by the department to the Office of Staff Benefits is required for all on-the-job accidents and apparent occupational illnesses. A reportable injury is one which causes the injured to lose work time, and/or requires either first aid or medical attention.
The act provides two types of compensation: compensation for lost earnings and compensation for medical costs. Compensation for loss of time is due if the employee is disabled for a minimum of seven (7) days, starting the day after the accident, and is prevented from earning full wages at the work in which employed. Compensation for lost time is not payable for the first week unless the injured employee is off for three consecutive weeks. Compensation then includes payment for the first week. Lost time compensation is paid at the rate of 66 2/3 percent of gross average weekly wage, and it is payable at this weekly rate as long as the disability exists, subject to an overall maximum of $100,000 on any one accident.
Regardless of time lost from work, medical expenses arising out of an on-the-job injury will be paid. The Self-Insurance Fund for Worker's Compensation will directly reimburse the medical supplier for charges for services rendered to the injured employee.
The Worker's Compensation Act also includes provisions of particular benefit to handicapped persons, provided that they reported the handicap at the time of appointment.
Employees of the University came under the Kansas Unemployment Compensation Act in January 1972. This act was designed to provide a program of insurance on a short-term basis for the payment of benefits to former employees of the State who through no fault of their own have been temporarily restricted from gainful employment.
Faculty and staff are covered by the act. Students who are enrolled in courses and who are excluded from Social Security coverage, as well as nonresident aliens who are on F-1 or J-1 visas performing services for which they were allowed to enter the United States, are excluded. Nine-month faculty members are not eligible for unemployment compensation during the summer months. The eligibility or disqualification of each faculty or staff member who separates from University employment will be determined by reason of separation. A claimant must initiate the claim at the nearest Employment Security Division Office.
Retired employees may continue to participate in the group hospitalization program and the Teachers and Employees Association group life insurance program.
Under the will of the late Miss Elizabeth Sprague, a long-time member of the faculty, the Endowment Association constructed in 1960 the Sprague Apartments. Six two-bedroom and two one-bedroom units are available at a modest monthly rental to retired faculty and staff members.
Information on matters pertaining to retirement benefits is available at any time from the Office of Staff Benefits . Employees approaching retirement age are, as a matter of recurring practice, invited by this office for individual consultations.
Certain courtesy benefits are extended by the University Theatre, School of Fine Arts, Athletic Corporation, University Libraries, Parking Service, and some other units to retired faculty and staff. Information on specific programs is available on request from these departments or from the Office of the Executive Vice Chancellor.
The Board of Regents has adopted the following policy concerning employment of relatives:
Identification cards are issued to faculty and staff members upon application to the Office of the appropriate Vice Chancellor or to Personnel Services. One of the primary uses of the card is as a library check out authorization. It also serves as identification for certain services and events on campus.
The University of Kansas has a strong commitment to encouraging the professional development of faculty and staff members. Some of the programs available are described in this Handbook. Other programs, such as the administrative associate program, an intra-university professorship, and a faculty development fund are made available from time to time as resources permit.
A full-time faculty or staff member may enroll in classwork. Fees are assessed at a special hourly rate. No charge is made for campus privileges, and therefore no campus privileges are available on the basis of such enrollment. To take advantage of the special rate, the faculty or staff member should secure a "Staff Fee Eligibility Certificate." The certificate must be signed by the department chairperson and turned in with other registration materials at enrollment. In addition, the dependent spouse or child of a staff member may pay resident fees, provided a blue "Staff Dependent Fee Eligibility Certificate" is presented with the Fee Card at the assessment table when the dependent enrolls.
The Graduate Council, from traditional concerns of conflict of interest, has established the following rule:
Exceptions to this rule may be granted by the Vice Chancellor for Research, Graduate Studies and Public Service in circumstances where conflict of interest is deemed not present. An exception must be applied for and granted before a faculty member can apply for admission and work toward a degree at the University of Kansas.
Kansas Statutes Annotated 75-5519 authorizes state agencies to pay the cost of tuition and other educational expenses for education or training of personnel. Persons eligible for this program are those employees, classified or unclassified, who are appointed to full-time positions in teaching, research, administration, or support services who have held such full-time appointments for at least one year continuously prior to enrollment in any education under the act, and who remain full-time employees for the entire duration of such education. The requirement of one year of continuous prior service is waived automatically for an employee who applies for assistance to complete immediate education or training which is required by the employing department, division, or other unit as a condition of employment, and is to provide skills or knowledge for the current position.
Applications should be prepared on forms available from the Office of the Executive Vice Chancellor and submitted before the deadline established by that office. Awards are determined by the relevance of the request and the past performance of the applicant. Continuing awards are based on the academic record and the experience and performance of the applicant during the previous semester. Guidelines for the implementation of K.S.A. 75-5519 were approved in September 1976.
Employees in degree programs who apply for assistance must have, at the time of application, a minimum cumulative grade average of C for undergraduate programs and B for graduate programs. This minimum grade average must be maintained for continuance in the program. Failure to maintain the minimum grade average precludes continued assistance under the program until such time as the grade average meets minimum requirements.
The policies and procedures set out below for employment- and enrollment- related professional activities do not apply to personal professional activities such as consulting and outside work activities. These are described in the handbook section on such activities. A description of the professional activities exempted from these policies and procedures can be found in paragraph 6 of the . . . guidelines which follow this document.
The University recognizes that professional activities by its employees in accomplishing teaching, research and service, and enrollment-related activity by its students, may lead to the creation of new knowledge, art forms, etc., which will benefit society. It is also recognized that many such results of professional activity may be best disseminated through commercial channels. To assure that commercial interests do not subvert the objectives of the University, misuse public moneys, or interfere with the proper activities of faculty, staff, and students, it is appropriate to formulate policies and procedures for the University community to conserve the interests of all those concerned with the results of professional activity -- the originator(s), the University and others who provide support, and the public.
Policies
The policies governing employment- and enrollment-related professional activities at the University, and the dissemination of the results therefrom are:
Procedures
In furtherance of these policies, the following procedures are established:
If the Committee finds no such relationship, then it shall so report to the Vice Chancellor for Research, Graduate Studies and Public Service. If the Vice Chancellor concurs, all putative University right, title, and interest in the reported results shall be released to the originator by the use of a standard form to be supplied by the University General Counsel with copies to the Counsel and to the Vice Chancellor for Research, Graduate Studies, and Public Service. The originator's right to disseminate, market, or otherwise use the results (or anticipated results) shall be subject to (a) any contractual agreements with outside supporting agencies and (b) reimbursement, to the extent feasible from financial returns received, of recognizable costs incurred by the University during development of the results. Such reimbursement shall be determined by negotiation between the originator and the Vice Chancellor for Research, Graduate Studies and Public Service, or their designees.
If the Committee is convinced that no significant net commercial return is likely to accrue to the University, or no substantial public or social benefit will derive from dissemination of the results through University intervention, it shall so report to the Vice Chancellor who shall proceed as in 8 above. Further, where special circumstances warrant, the Committee may recommend and the Vice Chancellor may negotiate a release contingent upon the originator's agreement to pay the University a share, not to exceed 25%, of any net financial return that may accrue from the dissemination of the results through the efforts of the originator.
In cases of reasonable doubt that significant net commercial return is likely to accrue or substantial public or social benefit will derive from dissemination of the results through University intervention, the Committee shall endorse the report, add its findings, and forward the file to the Vice Chancellor for Research, Graduate Studies and Public Service for final evaluation.
The University policy on conflict of interest follows closely the statement of principles developed in 1965 by the American Association of University Professors and the American Council of Education. The University policy is as follows:
The increasingly necessary and complex relationships among universities, government, and industry call for more intensive attention to standards of procedures and conduct. The clarification and application of such standards must be designed to serve the purposes and needs of the University's proper activities and the public interest involved in them and to protect the integrity of the cooperating institutions as agencies of higher education.
Consulting relationships between University staff members and industry serve the interests of research and education in the university. Likewise, the transfer of technical knowledge and skill from the University to industry contributes to technological advance. Such relationships are desirable, but certain potential hazards should be recognized.
a. Conflict Situations
Favoring of outside interests
When a University staff member (administrator, faculty member, professional staff member, or other employee) has a significant financial interest in, or consulting arrangement with, a private business concern, it is important to avoid actual or apparent conflicts of interest between the staff member's university obligations and his or her outside interests and other obligations.
Situations in or from which conflicts of interest may arise are:
Distribution of effort
There are competing demands on the energies of a staff member (for example, research, teaching, committee work, outside consulting). The way in which the staff member divides his or her efforts among these various functions does not normally raise ethical questions unless a sponsoring agency supporting the research is misled in its understanding of the amount of intellectual effort the staff member is actually devoting to the research in question. A system of precise time accounting is incompatible with the inherent character of the work of a faculty member, because the various functions he or she performs are closely interrelated and do not conform to any meaningful division of a standard week. On the other hand, a demonstrated relationship between committed responsibility and actual effort should be documented.
If a research agreement contemplates that a staff member will devote a certain fraction of effort to the externally sponsored research, or the staff member agrees to assume responsibility in relation to such research, a demonstrable relationship between the indicated effort or responsibility and the actual extent of his or her involvement is to be expected.
Consulting for government agencies or contractors.
When a staff member serves as a consultant to a Federal agency, his or her conduct is subject to the provisions of the Conflict of Interest Statutes (18 U.S.C. 202-209 as amended) and the President's Memorandum of May 2, 1963, "Preventing Conflicts of Interest on the Part of Special Government Employees." When the staff member consults external contractors, or prospective contractors, in the same technical field as his or her research project, care must be taken to avoid giving advice that may be of questionable objectivity, because of its possible bearing on his or her other interests. In undertaking and performing consulting services, the staff member should make full disclosure of interests to the University and to the contractor insofar as they may appear to relate to his or her work at the University or for the contractor. Conflict of interest problems could arise, for example, when a staff member of the University participates in an evaluation of some technical aspect of the work of an organization in which the staff member has a significant financial interest for an external agency or its contractor.
b. Standards of Conduct
Basic Statement
Every person who holds a position in the University, or on an externally sponsored research project, or as a consultant or adviser to an external agency, shall refrain from any use whatsoever of that position or the information, privileges or influence it may provide, which is motivated by, or even apparently motivated by, the desire for private gain or advantage for himself or herself, or for other persons, institutions, or corporations with which he or she has family, professional, business, or financial connections.
Limitations
The application of the standards expressed and implied in all parts of the preceding statement will be accomplished in a manner that does not infringe on the legitimate freedoms and flexibility of action of the University and its staff members that have traditionally characterized a university.
c. University Procedures
Reporting of outside employment or interests.
A faculty or staff member is permitted to engage in a reasonable amount of consultation or other work, or to have business interests, outside the University, provided that such activities do not interfere with his or her University responsibilities. The faculty or staff member must report in writing any such arrangement, activity, or interest as prescribed in the section on Consulting and Outside Work.
Time and effort reports on research projects.
Staff members engaged on sponsored research projects usually commit themselves to devote specified time and effort to their projects. For some grants or projects the standard University appointment form suffices to demonstrate satisfaction of the obligation. For others, such as grants from the National Institutes of Health, explicit periodic Time and Effort Reports are required by the sponsor. All staff members concerned in such projects must submit the required reports promptly and regularly in a form and on a schedule specified by the Research Accounting Office.
Reporting of inventions.
Inventions made by University staff members usually involve contributions by, and consequent interests of, the inventor, the University and perhaps an outside research sponsor. To protect the rights of all three parties, and to avoid possible conflict of interest in a patent situation, prompt reporting and action are necessary. Any staff member who conceives an invention in the course of research conducted at the University shall promptly report the invention to the Vice Chancellor for Research, Graduate Studies and Public Service. The Vice Chancellor will appoint an Advisory Committee to determine the relative interests of all parties concerned. The allocation of patent rights and division of proceeds, if any, shall be consistent with the Patent Policy of the Board of Regents and the terms of any relevant research grant or contract. (See Patent Policy.)
Advice and consultation.
The University provides advice and guidance on a limited basis, through the Offices of Research Support and Grants Administration and the University General Counsel, to its staff members for advance consultation on questions they wish to raise concerning the problems that may or do develop as a result of their outside financial or consulting interests, or as they relate to their participation in government-sponsored research.
d. State Regulations
All employees of the University are subject to the provisions of state law on Conflict of Interest embodied in K.S.A. 46-215 et seq. These provisions proscribe certain kinds of conduct by state employees, require public disclosure of certain outside interests, and circumscribe political activity if the person engaged in such activity is not registered as a lobbyist. The statute, K.S.A. 46-233, prohibits public officials and employees from making or participating in the making of contracts with any person or business "by which such officer or employee is employed or in whose business such officer or employee has a substantial interest..." This policy also applies if one's spouse owns or has a substantial interest in the business with which the contract would be made. Any questions concerning this law should be directed to the Office of the General Counsel.
The University has adopted the following policy on consulting and outside work, which incorporates and provides additional clarification and procedural guidelines for the Board of Regents policy on consulting and outside work adopted in September 1974.
The University expects members of the University community (faculty, staff and students) employed by the University to give full professional effort to their assignments of teaching, research and service. It is, therefore, considered inappropriate to engage in gainful employment outside the University that is incompatible with University commitments. Moreover, it is considered inappropriate to transact substantial personal business unrelated to the University from one's University office, when it might interfere with commitments to the University.
The University also expects members of its faculty1 to pursue continual scholarly development and renewal, and to share their professional capabilities for the common interest; the University recognizes that consulting activities may provide good opportunities toward these ends. For members of the faculty, therefore, the University permits and, indeed, encourages a reasonable amount of personal professional activity2 outside the faculty member's reasonably construed total, professional responsibilities of his or her employment by and for the University, provided such activity: (a) further develops the faculty member in a professional sense or serves the community, state, or nation in a professional capacity; (b) does not interfere with the faculty member's teaching, research and service to the University; and (c) is consistent with the objectives of the University. Regular instructional service3 to other educational institutions is regarded as an inappropriate personal professional activity, but such shared instructional service may be negotiated by the faculty member and the chief academic administrative officers of the two institutions.
Within these limits, the University shall govern the allowable amount of such outside professional activity.
The faculty member must inform his or her respective Executive Vice Chancellor, through the department chairperson, the dean or director and the appropriate vice chancellor, who shall add their endorsement and/or such other comments to the report, of all personal professional activities. For all such activities except those single-occasion activities specified below, the faculty member must report in writing the proposed arrangements and secure approval prior to engaging in the activities.4 Those activities which involve only a single occasion,5 are clearly of a scholarly, professional or technical nature, rather than commercial, and in which compensation is not the primary consideration, must be reported annually in writing by the faculty members. For all activities concerned, the report should indicate the extent and nature of the activities, the amount of time to be spent in the activities, and the total amount of time spent or expected to be spent on all such outside activities during that current academic year.
In the event that outside personal professional activities require the use of customarily priceable University materials, facilities, or services, the faculty member is expected to make arrangements for reimbursement.
University policies on conflict of interest must be observed in arranging and conducting outside personal professional activities.
During periods when a faculty member is not on the University payroll (e.g., in summer or when on leave without pay), University limitations on the amount of outside professional activity do not apply, nor do University regulations on reporting such activity. Regulations on the use of University offices, materials, facilities and services, and conflict of interest policies are applicable during such periods. It is expected that in these circumstances the same criteria of acceptability of outside activity will be applied by the faculty member as by the University otherwise.
Additional rules and procedures for personal professional activity may be established by the several schools and divisions of the University. Such additional rules and procedures shall be reported through channels and filed in the Office of the Executive Vice Chancellor on each campus.
If consulting is for another state agency, a statement that the activity will not interfere with the duties of the individual is required. This statement is provided by the Board of Regents upon the recommendation of the Chancellor under the following Board of Regents Policy:
A retired faculty or staff member may be reemployed for limited service. There is no University restriction on the amount that may be earned during the reemployment period. However, Social Security benefits will be decreased if the amount earned is greater than the limit set by the Social Security Administration.
A retired faculty member may apply through the Office of Research Support and Grants Administration for an externally supported research grant or contract. As a part of the agreement, salary may be requested for the retired faculty member, provided that the individual is not receiving retirement benefits from the Kansas Public Employees Retirement System. The level of salary will be arranged with the Office of Research Support and Grants Administration but will not exceed the level last paid to the faculty member as a regular employee at the full-time equivalent rate. Any exception to this policy must be approved by the Chancellor.
The University considers retirement from active service as terminating all teaching duties, both on the undergraduate and the graduate levels, and other assignments and responsibilities of active service. However, it encourages professors emeriti to continue their personal research activities, and supplies them with the needed facilities if these are not required by students or other staff members of the department for their teaching and research; and it aids them, through the Office of Research Support and Grants Administration, to obtain sponsored research grants and to carry out these activities.
Should a retired professor's research work call for or permit the assistance of graduate students, such students may be appointed to work with that professor, provided that the department and the Graduate School feel the professor is qualified to carry on the research and that the nature of the project justifies such help both by its desirability and by the type of experience to be gained by the students. A student thus employed may be given graduate credit for such work only if the arrangement has been approved by the student's department and the Graduate School and if the student has been enrolled with an active member of the department who has accepted the responsibility for evaluating the work and determining the student's grade.
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