The University and several of its schools, colleges, and other units have adopted special purpose policies to address particular local concerns or discrete issues that arise in connection with certain areas of activity. Some examples are discussed below. It is worth emphasizing that the listing below is not comprehensive and that all employees are responsible for being familiar with the policies that apply to them. Also, given the variety of sources of such policies, there is the possibility of conflicting or inconsistent standards and processes, which should be identified and openly addressed at the earliest stage.
1. School of Medicine
In general, all regular faculty and employees within the School of Medicine who desire to engage in outside work for compensation are required to obtain prior written approval from the University, as provided above.
Under this policy, if the faculty outside work requiring approval includes compensation that has monetary value, the value must be disclosed on a supplemental form. Both the request and the supplement are to be submitted to the employee’s department chair. After review, the department forwards both forms to the Office of Regulatory Guidance in the Office of the Dean for approval by the School of Medicine. Review of the supplement ends in the dean’s office. Final action on the request occurs in the Office of Academic Human Resources.
The UW Medicine policy also contains additional restrictions and requirements regarding receipt of gifts and disclosure of potential conflicts of interest in teaching settings. In addition, the policy contains links to other UW, UW Medicine and UW Medicine entity and affiliate ethics-related policies. See, UW Medicine Outside Work/Conflict of Interest Policy.
2. School of Dentistry
The School of Dentistry has adopted a short statement of principles and expectations for its faculty and staff, which can be found at Potential Conflicts of Interest Policy- School of Dentistry
All UW investigators participating in research involving UW facilities or resources or patients receiving care at the UW are subject to Grant Information Memorandum 10 (GIM 10), the UW's Significant Financial Interest Disclosure Policy.
As part of GIM 10, if any investigator has a significant financial interest related to the research, it must be indicated on the form and the interest must be disclosed using the Significant Financial Interest Disclosure Form.
There are some differences between the provisions relating to research funded by the federal Public Health Service (PHS) and non-PHS funded research. In addition, the UW Human Subjects Review Committee Application has specific questions regarding investigator financial interests.
The personal investments of anyone involved in making institutional investment decisions for the University are subject to theBoard of Regents Governance, Standing Orders, Chapter 7, "Policy Governing Approval of Investments."
5. Statements Disclosing Personal Financial Interests
Under the Washington Public Disclosure Act, Chapter 42.17 RCW, elected officials and certain state appointed officials (including the UW President and Board of Regents) are required annually to file a Personal Financial Interest Statement. Although few people at the UW are required to file this form, the Public Disclosure Commission has more information at thePDC Website.
6. Sale of Textbooks
The Internal Auditor has issued an Ethics Advisory Regarding Faculty Sale of Textbooks to Students, which is intended to provide guidance to faculty.
7. Regent Conflicts of Interest
In order to avoid conflicts of interest, the Board of Regents has adopted a policy that incorporates state laws requiring disclosure of significant outside financial interests and requiring them to refrain from participating in any University decisions in which they may have a personal interest.
The policy can be found at Board of Regents Governance, Regent Policy No. 13.
8. Special Regent-Created Boards and Committees
The Board of Regents has created a governing board and two special advisory boards, each of which has provisions addressing conflicts of interest.
• The UW Medicine Board’s conflict of interest policy can be found athttp://uwmedicine.washington.edu/Global/About/Pages/UWMedicineBoard.aspx
• The UW Investment Committee (“UWINCO”) operates under a statement of principles, which include a provision on conflicts of interest. See, Board of Regents Governance, Standing Orders, Chapter 4, "Advisory Committees, Commissions, and Boards."
• The Advisory Committee on Real Estate (“ACRE”) operates under a statement of principles, which include a provision on conflicts of interest. See, Board of Regents Governance, Standing Orders, Chapter 4, "Advisory Committees, Commissions, and Boards."
• The Architecture Commission is governed by a Board of Regents Standing Order, which addresses conflicts of interest. See,Board of Regents Governance, Standing Orders, Chapter 4, "Advisory Committees, Commissions, and Boards."
9. Other Ethics-Related Policy Statements
Many other UW policies make reference to the Ethics Act or other regulations or explain how conflict of interest rules apply in a specific situation. Examples of these include:
- BRG, Standing Orders, Chapter 4, “Advisory Committees, Commissions, and Boards.”,
- BRG, Regent Policy No. 6, “Facilities and Spaces Naming Policy”
- BRG, Regent Policy No. 9, “Endowment and Program Naming Policy”
- WAC 478-120-085, “The University Disciplinary Committees”
- WAC 478-120-100, “Faculty Appeal Board”
- Executive Order No. 32,“Employee Responsibilities and Employee Conflict of Interest”(Summarizes State Ethics Act and addresses employment of family and household members.)
- Executive Order No. 35, “Policy on Candidacy for Public Office”
- Executive Order No. 36, “Patent, Invention, and Copyright Policy”
- Executive Order No. 43, “Policy Governing Acceptance of Honoraria”
- Executive Order No. 57, “Outside Professional Work Policy”
- Faculty Code, Chapter 24, “Appointment and Promotion of Faculty Members” (see Footnote: Faculty/Student Relationships and Conflicts of Interest)
- GIM 10, “Significant Financial Interest Disclosure Policy”
- GIM 33, “Grant and Contract Proposals to Industry”
- GIM 37, “Research Data”
- HR Resource: “Ethics—Personal Use of State Resources & Conflict of Interest”
- HR Resource: “New Employee Orientation—Conflict of Interest”
- Researcher Guide: IRB Conflict of Interest
- Researcher Guide: Researcher Conflict of Interest
- Researcher Guide: WIRB Conflict of Interest
- Administrative Policy Statement 47.2, "Personal Use of University Facilities, Computers, and Equipment by University Employees"