CWUP 2-40

CWUP 2-40-010 Acceptable and Ethical Use of University Information Technology

All university faculty, administrators, staff, and students, by virtue of their use of Central Washington University information technology resources, accept the responsibility of using these resources only for appropriate university activities. Library public computers are primarily intended for research.

(1) This policy covers all information technology resources that provide the Central Washington University community with computing, networking, telephony, and television/video resources.

Information technology resources provide the Central Washington University community with access to local, national, and international information as well as the ability to communicate with other users worldwide. Information technology resources should be used in an acceptable and ethical manner. For the benefit of the community, users must assume responsibility in the use of information technology resources. Use of information technology resources is governed by the United States Code, the laws of the state of Washington and Central Washington University policies. Some appropriate laws are listed at the end of this policy.

(2) Authorized Access - Members of the Central Washington University community are authorized to use information technology resources provided by Central Washington University. The Central Washington University Library provides public computers with access to the internet.

(3) Acceptable Uses - Information technology resources can be used for activities that support the mission of the university: learning, teaching, research, and university business.

(4) CWU Data Network Connection Policy - Devices which extend the network such as but not limited to hubs, switches, bridges, routers and access points or computers functioning as such may not be connected to the CWU data network. Such devices are connected by the Networks and Operations department within Information Technology Services only. Users (students, faculty, and staff) may connect computers and printers to the CWU network.

(5) Legal Use Guidelines

1. Information technology resources may not be used for any illegal or criminal purposes.

2. Software, images, music or other intellectual property may only be used in compliance with the Copyright Act of 1976, amended 1994 and CWU Copyrights and Royalties Policy.

3. Transmitting images, sounds, or messages to others which might reasonably to be considered harassing and/or malicious is not permissible.

4. Using Central Washington University information technology resources to attempt to break into, gain root access, probe, disrupt, or obstruct any system is not permissible. Installation of invasive software or testing security flaws without authorization on any system is not permissible.

5. Information technology resource use is subject to Use of State Resources WAC 292-110-010.

(6) Responsible and Ethical Use Guidelines

1. Respect the intended use of all information technology resources for learning, teaching research, and university business purposes.

2. Respect other users by not sending unwanted e-mail messages, maligning address information, flooding the system, sending frivolous messages, forging subscriptions, or tampering with accounts, files, or data that are not owned by your account.

3. Use only the user identification assigned to you, use it for the purposes for which it was intended, and do not share it with others.

4. Be sensitive to the public nature of shared resources, i.e. labs, modem pool, and disk space.

5. Occasional unsolicited receipt of e-mail should be deleted. Report repeated unsolicited receipt of e-mail as directed under Misuse of Information Technology Resources.

6. Student use of e-mail services is regulated by the Statement of Agreement between Central Washington University and the ASCWU Board of Directors which states, "The Associated Students of Central Washington University recognize all use of e-mail and internet services that is legal, adheres to University policy, and meets contractual obligations, as educational in nature."

(7) Reporting Misuse of Information Technology Resources - Complaints regarding misuse of information technology resources should be reported as indicated below.

1. Misuse of computing, networks, and telephony resources should be reported to Computing and Telecommunication Services.

2. Misuse of television/video resources should be reported to Media Circulation.

(8) Computing and Telecommunication Services Responsibilities - Computing and Telecommunication Services is responsible for insuring that the university's computing, networking, and telephony resources are properly used and protected by maintaining the integrity, security, and privacy of the resources and of users' electronic files, mail, records, and activities.

(9) Media Circulation Responsibilities - Media Circulation is responsible for ensuring that the university's video collection is properly used and protected.

(10) Investigations - Security measures are in place to assist with investigations of illegal and criminal activities or policy violations. Investigations performed by Computing and Telecommunication Services and Instructional Media Center are performed as appropriate and necessary.

If suspicion of misuse of information technology resources is found, the following steps will be taken to protect information technology resources and the user community:

1. Computing, networking, and telephony accounts will be immediately suspended pending the outcome of any investigation.

2. Files, data, usage logs, etc., will be inspected for evidence.

3. The violation will be reported to the appropriate authorities:
a. University policy violation to Student Affairs, the appropriate instructors, department chair, direct supervisor, vice presidents, or Auditing and Control.
b. Legal violations to the Campus Police, the FBI, the Secret Service, Human Rights, Auditing and Control, or the Attorney General's Office.

Violations of this policy will result in revocation of access to information technology resources as well as university disciplinary and/or legal action.

4. Violators are subject to any and all of the following:
a. Loss of information technology resources access.
b. University disciplinary actions (as prescribed in the Student Judicial Code, Faculty Code, WAC 357-40 for Civil Service, or Exempt Employees' Code).
c. Civil proceedings
d. Criminal prosecution

(11) United States Code

1. Copyright Act of 1976, amended 1994 (Cornell Legal Information Institute)

2. Computer Fraud and Abuse Act of 1986 - 18 USC 1030 (Cornell Legal Information Institute)

3. Electronic Communications Privacy Act (Cornell Legal Information Institute)

4. Privacy - Electronic Communications Privacy Act - 18 USC 2701 (Cornell Legal Information Institute)

5. Unlawful access to stored communications - 18 USC Sec. 2701 (Cornell Legal Information Institute)

6. The Privacy Protection Act of 1980 - 42 USC Sec. 2000 aa (Cornell Legal Information Institute)

7. Public Telecommunications Act of 1992 - Telegraphs, Telephones, and radiotelegraphs 47 USC Sec. 605 (Cornell Legal Information Institute)

8. Interstate Transportation of Stolen Property Act

(12) Revised Code of Washington (RCW)

1. Computer Trespass - RCW 9A.52.110

2. Malicious mischief - RCW 9A.48.100

3. Use of state property - RCW 42.52.160

4. Theft of Telecommunication services - RCW 9A.56.262

(13) Washington Administrative Code (WAC)

1. Use of state resources - WAC 292-110-010

(14) University Policies

1. Copyrights and Royalties Policy (CWU Policies Manual Part 2-2.10)

2. Copyright for Computer Programs (CWUP 2-40-070)

3. Faculty Code of Personnel Policy and Procedure (CWU Policies Manual Part 4)

4. Student Judicial Code (CWU Policies Manual Part 9, 106-120 WAC)

(15) Other

1. Licenses for Computer Software

[UCC: 5/16/97; Pres Cab: 9/8/97; Responsibility: Operations; Authority: Cabinet/UPAC; Reviewed/Endorsed by: Cabinet/UPAC; Review/Effective Date: 06/01/2005; Approved by: James L. Gaudino, President]

CWUP 2-40-030 Alcohol and Other Drugs

(1) General Statement

Central Washington University recognizes that the misuse of alcohol and other drugs is a serious problem in our society and our community. This University seeks to create a campus environment that promotes healthy and safe living that is conducive to the intellectual and personal development of students. University departments and student organizations are encouraged not to involve alcoholic beverages in any sponsored function. If they choose to request to do so, they are urged to consider the effects and the responsibility they assume in making such decisions.

This policy applies to all members of the Central Washington University community at all events, on or off campus, sponsored by the university, including clubs and organizations, and/or held in any university facility. The policy and procedure regarding the possession and consumption of alcohol and other drugs on campus has been developed in keeping with Washington State law and the Governor's policy on alcoholism and drug dependency. Washington State laws are described in the Revised Code of Washington and the Washington Administrative Code. State laws regulate behavior such as the consumption of alcohol in public places, the furnishing of liquor to minors, the illegal purchase of alcohol, and the distribution of controlled substances. The applicable procedure for serving alcohol on the Ellensburg campus is CWUR 1-60-010 Serving Alcoholic Beverages.

In order to comply with the requirements of the Drug-Free Schools and Communities Act and the Drug-Free Workplace Act, a complete description of the relevant laws, procedures, sanctions, and prevention information is available in the office of the dean of student success.

(2) Student Conduct

The university does not condone the consumption of alcoholic beverages by minors at functions sponsored by Central Washington University organizations on or off campus. Organizations and advisors are responsible for monitoring student conduct at functions sponsored by the organization.

Persons twenty-one years of age or older may possess and/or consume alcoholic beverages within the privacy of certain designated 21 or older residence hall rooms or apartments. Washington State law provides penalties for the possession or consumption of alcoholic beverages by persons under twenty-one years of age and for persons who furnish alcoholic beverages to minors.

The dean of student success may place on probation any student organization or prohibit a student specific campus social function when the consumption of alcoholic beverages has become a problem or concern to the university.

Students violating any state or federal law or the alcohol and other drugs policy or procedure will result in immediate referral to the office of the dean of student success or designee for appropriate action, including disciplinary action. The Washington Administrative Code (WAC 106-120-027: Proscribed conduct.) describes behavior and sanctions a student may be subject to upon violation of any of the described conduct. Disciplinary action may range from a counseling session to expulsion, depending on the severity and number of violations. Repeated violations usually carry more significant consequences. The office of the dean of student success may include in the sanction-mandated contact with the university drug and alcohol prevention specialist and/or direct referral for assessment through a state licensed treatment agency.

(3) Employee (staff and faculty) Conduct

All employees will abide by the terms of the Drug Free Workplace Act of 1988 that prohibits the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance in the university workplace. This Act also requires that employees notify their supervisor of any criminal drug statute conviction for a violation occurring in the workplace no later than 5 days after the conviction.

Policies related to the behavior of employees – exempt and classified staff and faculty - are located in the applicable rules and union contracts to include the Exempt Employees' Code, WAC 357-40, faculty contract, classified staff union contracts and/or the academic code.

CWU encourages all faculty and staff to increase their awareness and identification of alcohol and drug issues. Training is available for faculty and staff through Human Resources. For more information, go to https://www.cwu.edu/about/offices/human-resources/training-and-development/learning-and-professional-development-opportunities or contact Central Learning Academy at cla@cwu.edu.

(4) Serving Alcoholic Beverages on Ellensburg Campus

University departments and student organizations who choose to include alcoholic beverages in any sponsored function will be held responsible for complying with all applicable laws and internal policies and procedures. Violation could result in the department or organization's loss of ability to serve alcohol on campus in the future and appropriate disciplinary action.

Employees may not consume alcohol or drugs during their work shift unless such drugs are prescribed by a physician or other appropriate healthcare provider or unless such over-the-counter medication will not interfere with the employee's ability to perform his/her job.

All groups and organizations sponsoring social events held on the CWU campus and all recognized university groups holding events off campus which involve the serving and consumption of alcoholic beverages will comply with CWUR 1-60-010 Serving Alcoholic Beverages.

Advertisement – Any marketing or advertising of alcoholic beverages on the Central Washington University campus must be in compliance with RCW 66.28.160. Departments, employees, groups or organizations will not offer alcohol as an enticement, reward, benefit of attendance or membership, or as a prize.

[PAC:12/01; BOT: 3/02; PAC 4/06; PAC: 5/08; BOT: 07/08; 9/1/2010; Responsibility: Provost/VP of Academic Affairs; Authority: Cabinet/PAC; Reviewed/Endorsed by: Cabinet/PAC; Review/Effective Date: 4/4/2012; 09/03/2021; Approved by: James L. Gaudino, President]

CWUP 2-40-040 Animals in Research and Teaching

It is the policy of Central Washington University to provide the best possible care for animals used in research or teaching, thereby meeting or exceeding accepted guidelines and all applicable federal, state, and local legislation. The university follows the guidelines outlined in the Public Health Service Policy on Humane Care and Use of Laboratory Animals and The Guide for Care and Use of Laboratory Animals. The latest editions of these publications are available at the Office of Graduate Studies and Research. All university personnel (faculty, employees, and students) are responsible for adherence to this policy. This policy covers all animals owned or in the care of university personnel. All research and/or teaching conducted by CWU faculty involving vertebrate animals, whether it occurs on campus or off, must follow the guidelines established in this document.


(1) Institutional Animal Care and Use Committee (IACUC) – All activities, including research and teaching, that involve live vertebrate animals must be approved in advance by the Institutional Animal Care and Use Committee (IACUC). The clearance form (available on the IACUC website) must be submitted to the committee through the online system with sufficient time for the committee to review the application and, if necessary, to examine the facilities to be used.

The membership of the IACUC is comprised of at least five individuals. As prescribed by Public Health Service guidelines, the committee includes a doctor of veterinary medicine, a non-scientist, at least one person experienced in the care and use of animals, and an individual not affiliated with the university.
Responsibilities of the IACUC include the following:

(A) Review semi-annually the university's animal care and use program.

(B) Inspect semi-annually the university's animal facilities.

(C) Review applications for all activities relating to the care and use of vertebrate animals, including modifications to existing approved protocols.

(D) Review concerns involving the care and use of animals at the university.

(E) Suspend activities involving vertebrate animals when CWU personnel fail to comply with the details outlined in their applications and/or violate animal care and use guidelines.


(2) Guidelines for Animal Care and Use – Approval to use live vertebrate animals in research or teaching requires that the activities be closely matched to the educational use or research objectives. Also, the species and numbers of animals to be used must be carefully matched with the specific aims of the protocol. All efforts should be made to reduce the number of animals to be used, use the least sentient species possible, and to refine procedures to minimize pain and distress. All relevant permits (e.g., state collection permits) are required to be in place before activities involving animals can commence.

Animal Care and Use applications require detailed descriptions of:

(A) A list of all personnel involved in the activities.

(B) The species and quantity of animals to be used, as well as their source.

(C) Animal handling, feeding, and care.

(D) The experimental procedures involving the use of animals, including efforts to minimize pain and distress.

(E) The final disposition of the animals, including techniques for euthanasia and disposal.


(3) Personnel

(A) All university personnel involved in the research of live vertebrate animals must obtain medical clearance from CWU's Occupational Health and Safety Program before engaging in any activities. Enrollment forms for medical clearance are available on the CWU IACUC website.

(B) All university personnel must have completed training as required by the IACUC before engaging in any activities involving live vertebrate animals. This will include general training regarding the use of animals in research and teaching (e.g., training through the Collaborative Institutional Training Initiative) and hands-on training in the relevant techniques from experienced personnel. Information for completing CITI training is available on the CWU IACUC website.

[PAC: 7/18/88; PAC: 1/18/06; Responsibility: Graduate Studies & Research; Authority: Provost/VP for Academic & Student Life; Reviewed/Endorsed by: Provost's Council 03/13/2012; Cabinet/UPAC; Review/Effective Date: 4/4/2012; 2/20/2019; Approved by: James L. Guadino, President]

CWUP 2-40-060 Commercial Activities

The university's primary purpose is academic; that is, discovering and creating new knowledge, preserving and transmitting it, and applying it to life's experiences. All areas of the organization complement and support that function. In carrying out the mission of the university, it is often desirable for units to provide for a fee, goods and services which enhance, promote, or support its instructional, research, and public service mission (including cocurricular activities) in order to meet the needs of the students, faculty, staff, patients, and invited guests participating in the university's programs, activities, and events. The extent to which these services are provided to the university community is governed by policies in each case.

(1) Commercial Activities Committee

The president of the university will appoint a standing Commercial Activities Committee to ensure proposed activities are consistent with this policy. This committee will request to meet with representatives from the Ellensburg business community at any time there is an issue at hand, but not less than twice yearly.

At the discretion of the parties, examples of the areas for discussion are as follows:

1. To provide a forum where the needs for services to the students can be discussed.
2. To review the ongoing activities at the university and the Ellensburg business community and discuss any changes which might affect either party.
3. To discuss with the community how new initiatives being planned at the university or in the business community might affect either party.
4. To work with the local community to increase awareness of opportunities to do business with the university.
5. To provide opportunities for discussion of legislative initiatives related to commercial activities and their effect on the local community.

Business activities shall be established and carried on only pursuant to and in accordance with an authorization and statement of purpose approved by the president of Central Washington University or his designee. An activity is defined as a class of similar goods, services, or facilities. An example of an activity within the University Store is textbooks.

Each activity shall meet one of the first nine and the last of the following conditions:

1. The activity is deemed to be important in the fulfillment of Central's instructional, research, or public service mission; or
2. The activity is part of the university's extracurricular or residential life programs, including residence halls, food services, athletic and recreational programs, and performing arts programs; or
3. The activity is one officially sanctioned by the Associated Students of Central Washington University Board of Directors for the enrichment of student life; or
4. The activity will assist in the recruitment of qualified students; or
5. The activity is needed to provide a public awareness of Central; or
6. The activity is needed to foster the relationship between Central and its alumni; or
7. The activity is one that originated with the university in order to provide a service that was not at the time available in the private sector; or
8. The activity is needed to provide a good or service at a reasonable price, on reasonable terms, and at a convenient location and time; or
9. The activity is one prescribed by operating or cost efficiency standards imposed by state law, regulations, rulings, or directives; and
10. The activity is carried out for the primary benefit of the students, faculty, staff, patients, and invited guests, but with sensitivity to the total community.

(2) Definitions

(A) Sensitivity - Sensitivity to the total community is defined as an assessment of how any proposed activity affects the entire community, including Ellensburg businesses, the citizens of the Kittitas Valley at large, as well as the students, faculty, and staff of the university. This assessment will evaluate where the service is needed, whom it will benefit, and what the options are for the provision of the service. It may include an economic impact study at an agreed upon time after the activity is initiated, provided such information is available from the affected businesses. The results of the study will be shared with the Ellensburg community. Conversely, the local business community will share with the university plans for development which will impact the university's programs or activities.

This sensitivity to the total community may be manifested in several ways: (1) The university may forego offering an activity if it is currently being provided adequately by the private sector. (2) In the event an activity significantly affects the private sector, the university may restrict the activity to part or all of its students, faculty, staff, patients, or invited guests. (3) When establishing fees charged for goods, services, or facilities, the university shall consider full costs and in those instances when goods, services, or facilities are provided to other than students, faculty, staff, patients, or invited guests, the price of such items in the private market place shall be considered as well.

(B) Students - Those enrolled at Central.

(C) Faculty - Those employed by the university as defined in the Faculty Code and including retired faculty of Central Washington University.

(D) Staff - All other full- or part-time employees of the university and including retired staff of Central Washington University.

(E) Patients - Those who have a patient/client relationship with a faculty/staff person of the university as a part of the faculty/staff person's performing their duties and responsibilities as an employee of the university.

(F) Invited Guests -

  1. Those attending a workshop, training activity, seminar, or conference as part of the Conference Program or other official university program.
  2. Those invited to the university by a faculty or staff person to participate in their program or activity.
  3. Parents, relatives or guests of students.
  4. Alumni of the university.
  5. Those invited to the university as a public service to the community.
  6. Spouses, companions, and immediate family members of faculty and staff.
  7. Prospective students of Central.
  8. Students, faculty, and staff visiting from other institutions.

(3) Inquiries - Inquiries from private businesses about commercial activities carried on by Central are to be addressed in writing to the Office of the President through the Ellensburg Chamber of Commerce for review and response by the university. In examining instances where there has been a challenge raised by private business, the university shall take into account as many qualitative and quantitative features of the activity as possible, as made available by both the private business and the university unit in question, and to the extent that facts are made available or can be ascertained through discussions with the Ellensburg Chamber of Commerce.

The fees charged by the university shall not be the only criterion for judgment. Other factors that may be considered include, but are not limited to:

1. access in both time and place to other activities related to the mission of a planned event,
2. the desirability of the quality of the activity as judged by a reasonable person in the citizenry at large,
3. the nature of the relationship between the activity and other activities related to a planned event, and
4. the degree to which the activity is normally viewed as university-related activity on similar university campuses. These are examples of the kinds of consideration that any review may make. There are others.

(4) Identification Required - When an activity is restricted to students, faculty, staff, patients or invited guests, and where unauthorized outside use is a material concern because of significant negative impact on the private marketplace, university identification may be required.

(5) Evaluation Criteria - The privatization of a new activity will be evaluated as part of the deliberations of the Commercial Activities Committee. Evaluation criteria will include but will not be limited to financial considerations. Also considered will be issues such as program delivery, equipment investment, and the use of returns to support other university programs. The university reserves the right to determine other evaluation criteria. If privatization is not considered an option, the reasons therefor will be documented and presented as a part of the discussion between the community and the Commercial Activities Committee.

(6) Special Hearings - In the event that there is an issue affecting a community group that cannot be resolved through the discussions outlined above, either the community representative, or the chair of the Commercial Activities Committee will report the impasse to the president of the university (and the president of the chamber, if the issue is being raised by a chamber member). The president(s) shall then convene a special hearing on the issue. Attendance at the meeting may include members of the community, student representatives, the president of the university and his selected staff, and the president of the chamber and selected chamber members. The local member of the university Board of Trustees may also be invited. Every attempt will be made by the president of the university during this hearing process to resolve the issue. If there is no resolution, the issue may be taken to and decided by the full Board of Trustees of the university. An explanation of the issue, minutes of the hearing, and the actions taken will be provided to the Legislative Representatives of the 13th District.

[Board of Trustees 12/95, Motion # 95-44; Responsibility: President's Division; Authority: Cabinet/PAC; Review/Endorsed by: BOT; Review/Effective Date: 12/1995; Approved by: James L. Gaudino, President]

CWUP 2-40-065 Conflict of Interest - All Employees

The following standards apply to all employees of Central Washington University.

(1) Fiduciary Responsibilities. Employees serve the public trust and are obliged to fulfill their responsibilities in a manner consistent with this fact. All decisions are to be made solely on the basis of a desire to promote the best interests of Central Washington University and the public good. The university's integrity must be considered and advanced at all times.

Employees are often involved in the affairs of other institutions, businesses, and organizations. An effective employee may not always consist of individuals entirely free from perceived, potential, or real conflicts of interest. Although most such conflicts are and will be deemed to be inconsequential, it is every employees' responsibility to make staff, or designee, of the university, aware of situations at CWU that may involve the employee's personal or business relationships.

(2) Affirmation and Disclosure.The university requires all employees annually to affirm adherence to the following standards:

(A) Disclosure of personal or business interests and relationships. All employees will disclose to the university any personal or business relationship or interest that reasonably could give rise to a perceived, potential, or real conflict of interest.

1. Laws. State agencies (including colleges and universities) are subject to different conflict of interest laws in RCW 42.52 relating to financial interests and receipt of gifts. Unlike the local government conflict of interest laws, there are no minimum thresholds or exemptions. Any direct or indirect financial benefit could be assessed as a potential violation.

(B) Disclosure of potential or real conflict of interest. In the event there comes before the university a matter for consideration or decision that raises a potential or real conflict of interest for any employee, the employee shall disclose to staff, or designee, of the university, the existence of a potential, perceived, or real conflict of interest as soon as possible.

(3) Situations that Constitute Conflicts of Interest. While it is difficult to list all circumstances that may create a conflict of interest for individual employees, the university defines certain situations as prohibited actions. (See CWUR 3-45-090 Conflict of Interest Standards Procedures – All employees)

[Responsibility: Business and Financial Affairs; Authority: Cabinet/UPAC; Reviewed/Endorsed by: Cabinet/UPAC; Review/Effective Date: 02/20/2019; Approved by: James L. Gaudino, President]

CWUP 2-40-070 Conflict of Interest in Relationships

Central Washington University is committed to the integrity of professional relationships among employees and students. Professional integrity fosters an environment of respect, mutual trust, and inclusiveness in which the principles of fairness and objectivity are honored. The educational mission of the university is dependent on the establishment of close working relationships between employees and students. While these relationships are encouraged, even required, inherent power differential exists and potential conflicts of interest may result. Because of the potential for conflicts of interest, consensual relationships, with or without inherent power differential, may undermine the real or perceived integrity of any supervision and evaluation provided. Trust and respect are diminished when those in positions of authority abuse or appear to abuse their power or appear to favor a student or employee based on a personal relationship. Consensual relationships can undermine fulfillment of the university's educational mission.

(1) Definitions

Employee: An individual, including faculty, staff, administrators, and student employees, who is compensated for providing services to Central Washington University and whose duties are under the control of the university.

Student: An individual who is enrolled, or applying for admittance, in a course or program offered by the university for credit.

Conflict of interest (related to relationships): When a reasonable possibility exists that a consensual relationship between an employee and a student or another employee may give, or perceive to give, one of them an unfair advantage or disadvantage.

Consensual Relationship: Relationships that are familial, romantic, amorous, or sexual in nature, legal in the State of Washington, in which both parties are willing participants and in which no inherent power differential, perceived or real, exists.

Consensual Relationship with Inherent Power Differential: A familial, romantic, amorous, or sexual relationship between participants one of whom is a university employee with supervisory, teaching, evaluation or advisory authority and the other of whom is either an employee or a student who is in a real or perceived subordinated position to the employee.

Such relationships include, but are not limited to:

1. Close family relationships such as those between spouses or spousal equivalents, parents and children, siblings, in-laws, grandparents and grandchildren;

2. Relationships between persons whose economic interests are closely interrelated;

3. Professional relationships outside the classroom, e.g., consultant-client, therapist-client.

It is not possible to specify all those situations in which there may be a conflict of interest or appearance of fairness.

(2) Examples of Potential Conflicts of Interest

Faculty-student: Faculty members exercise power over students, including praise and criticism, evaluation, and recommendation for future education or employment. Romantic or sexual relationships between faculty members and students create conflicts of interest when the faculty member has any professional responsibility for the student. Consent by the student in such a relationship is regarded as questionable due to the fundamentally unequal nature of the relationship. Other students and faculty may be affected by such behavior because it places the faculty member in a position to favor or advance one student's interest at the expense of others.

Faculty-faculty: Faculty members may exercise power over their colleagues including praise and criticism, evaluation, and recommendation. Romantic or sexual relationships between faculty members may create inherent conflicts of interest when faculty members exercise any professional responsibility for their colleagues. Other faculty may be affected by such behavior because it places the faculty member in a position to favor or advance one colleague's interest at the expense of others.

Staff-student: Staff members and administrators may exercise power over students including praise and criticism, supervision, and recommendation for future education, employment, or other benefits. A conflict of interest may be present in a consensual relationship between a staff member or administrator. The consent of the relationship is questionable due to the power differential in the relationship. Other students may also be adversely affected by the relationship.

Employee-employee: A consensual relationship between any two employees creates a conflict of interest when one person in the relationship has responsibility for evaluation or recommendation or in conferring other university benefits. The consent of the relationship is questionable due to the power differential in the relationship. Other co-workers may be adversely affected by the relationship.

(3) Responsibility

When a potential conflict of interest exists, it is expected that the employee who is involved in a consensual relationship with a student or another employee with whom there is an inherent power differential will take personal responsibility for eliminating the conflict of interest. This can be done by discontinuing the relationship or eliminating the conflict by finding an alternative means for supervision, teaching, advising, or evaluation of the student, faculty or staff member.

See related procedures: CWUR 3-45-080 Conflict of Interest in Relationships.

[Exec Group: 4/15/91; Faculty Senate: 5/96; Pres Cab: 6/96; PAC: 9/99; Cabinet/UPAC: 11/02/2011; 06/06/2012; Responsibility: CFO/BFA; Authority: Cabinet/UPAC; Reviewed/Endorsed by: Cabinet/UPAC; Review/Effective Date: 01/06/2017; Approved by: James L. Gaudino, President]

CWUP 2-40-075 Ethical Conduct Standards

Washington State ethics laws (RCW 42.52, Ethics in Public Service) are designed to protect state employees from conflicts of interest or from engaging in activities where their interests or loyalties could be divided or questioned. Citizens of Washington State should have complete confidence in the integrity of Central Washington University (CWU) employees. Each CWU employee is to be familiar with the state ethics laws, rules, and other related policies and act in a way that is consistent with law, rules, and policies. Compliance with the ethics requirements is an individual responsibility. Maintaining a working knowledge of the requirements will help ensure proper and ethical actions by employees.

(1) Ethical Principles: Employees are to base their conduct on these core ethical principles:

(A) Employees will place the public's interest before any private interest or outside obligation. Choices will be made on the merits of the particular situation.

(B) Employees will not take actions or make decisions in the performance of their position in order to gain financial or other benefits for themselves, their family, or their friends.

(C) Employees have a duty to conserve public resources and funds against misuse and abuse.

(D) Employees will practice open and accountable government. They will be as open as possible about their decisions and actions, while protecting confidential information.

(E) Employees will not place themselves under any financial or other obligation to outside individuals or organizations that might influence them in the performance of their official duties.

(2) Ethics Information and Training: CWU posts this policy and related information on the university website at CWUP 2-30-employee-policies. Employees will receive a copy of this policy at New Employee Welcome and new employees are required to attend ethics training within the first three months of CWU employment along with continuing ethics training according to university classification outlined below.

(A) All permanent classified, exempt, tenured/tenure track faculty, and non-tenure track faculty, including coaches, on annual/academic year contracts are required to attend basic ethics training at least once every three years.

(B) Non-tenure track faculty (part-time, less than 9 month), temporary employees, nonperm employes, graduate assistants, research scholars and student employees are required to acknowledge receipt and understanding of ethics expectations at CWU within 30 days of hire.

(C) CWU Human Resources is responsible for coordinating ethics training, both on-line and in-person. Ethics training can be in-person through scheduled classes conducted by the Washington State Ethics Board or by the CWU Ethics Advisor or electronically through CLA on-line.

(3) Violations: Suspected violations of this policy or state laws on Ethics in Public Service (RCW 42.52) should be reported to a supervisor, the university ethics advisor, or the internal auditor. A hotline, where anonymous complaints can be filed, is available at www.cwu.edu/about/offices/internal-audit/hotline. Reports of alleged violations will be investigated.

(4) Ethics Advisory Committee: The committee reports to and advises the chief of staff on ethical issues. Information about the committee can be found at https://www.cwu.edu/about/offices/civil-rights-compliance/ethics-workplace/ethics-advisory-committee.

(5) Related Policies: In addition to RCW 42.52, CWU has adopted policies which establish additional ethical standards for CWU employees, including but not limited to the following:

(A) CWUP 1-50 Statement of Professional Ethics (Board of Trustees)

(B) CWUP 2-30-070 Employee Participation in Political Affairs

(C) CWUP 2-30-170 Personnel Records

(D) CWUP 2-40-010 Acceptable and Ethical Use of University Information Technology

(E) CWUP 2-40-070 Conflict of Interest in Relationships

(F) CWUP 2-40-165 Research Ethics and Conflicts of Interest

(G) CWUP 2-40-200 Use of State Funds for Light Refreshments and Meals

(H) CWUP 6-20-010 Code of Ethics (Exempt Employees)

(6) Confidential Information: University employees will not disclose confidential information to any person or entity not entitled or authorized to receive the information (RCW 42.52.050(3)). Employees will not disclose confidential information gained by reason of their employment at CWU or use such information for their own, or family or friends, gain or benefit, unless such disclosure is authorized by statute or by a contract with CWU entered into by a university official who had the authority to waive the confidentiality of the information (RCW 42.52.050(2)). See related CWU policy: CWUP 2-20-070 Student Records - The Family Educational Rights and Privacy Act (FERPA).

(7) Gifts: CWU employees will not seek or receive anything of economic value as a gift except as allowed under RCW 42.52.150. In situations where there is uncertainty as to whether accepting and keeping a gift is allowable, employees should contact Human Resources or the ethics advisor.

Reimbursement of an employee's expenses, by a non-university entity, incurred during activities associated with an employee's official capacity or on behalf of the university are not considered gifts and may be acceptable (see CWUR 3-50-270).

(8) Honoraria: Per RCW 42.52.010, an honoraria is defined as “…money or thing of value offered to a (university employee) for a speech, appearance, article, or similar item or activity in connection with the (employee's) official role.” The receipt of honoraria must be authorized by the university. CWU employees are granted approval to accept an honorarium without further approval if:

(A) The honorarium is not cash or a cash equivalent (stocks, bonds, gift cards, etc.),

(B) The item is valued at less than one hundred dollars, and,

(C) All other restrictions in RCW 42.52.130 are complied with.

If the honorarium is a cash or cash equivalent or is valued at more than one hundred dollars, the employees must obtain university approval prior to accepting the honorarium.

Honorarium will not be accepted in situations where the CWU employees could potentially influence an interest of the person offering the honorarium (as described in RCW 42.52.130).

(9) Former Employees: Washington State law does not allow former CWU employees to gain an advantage as a result of their decisions or actions while employed by the state. The law does not allow former state employees to help other people with certain kinds of transactions. To avoid conflicts of interest, a) current employees thinking about doing business with the state after leaving CWU employment, or b) a former CWU employee who wishes to do business with Washington State, should, in advance:

(A) Review RCW 42.52.080 and RCW 42.52.090; and

(B) Seek their own legal advice if desired.

(10) Financial Transactions: Employees will not:

(A) Benefit, directly or indirectly, in a contract, sale, lease, purchase, or grant that is made by, through, or under their supervision (in whole or in part); or

(B) Accept, directly or indirectly, any compensation, gratuity, or reward from any other person beneficially interested in the contract, sale, leave, purchase, or grant; or

(C) Participate in a transaction involving CWU and an organization of which the employee is an officer, agent, employee, member, or in which the employee owns a beneficial interest.

(11) Use of University Resources: Employees must conserve, safeguard, and appropriately use university resources under their control, or provided for the performance of their duties. Examples of official university purposes/appropriate use of resources include:

(A) Training and career development approved by the university under RCW 41.06.410;

(B) Membership or participation in professional associations that enhance job-related skills of the employee, so long as use of university resources for this purpose are approved in writing;

(C) State or university sponsored health, safety, or diversity fairs and events;

(D) Management of or access to state or university-provided or state-sponsored benefits, including health deferred compensation, insurance, retirement, and employee assistance programs;

(E) Searching or applying for Washington State jobs, including taking an examination or participating in an interview; and,

(F) Placement of nongovernmental web page links on the university website for official university purposes as long as the use does not violate RCW 42.52.180.

(G) Appointing authorities, per CWUP 1-80-010 Appointing Authority, may allow limited usage of university resources to achieve indirect benefits. Appointing authorities may authorize, in advance and in writing, the limited use of university resources for activities and events that:

1. Promote organizational effectiveness;

2. Enhance job-related skills;

3. Build teams;

4. Improves morale; or

5. Supports the health safety, and well-being of employees.

(12) Charitable Activities: Planning and soliciting for approved charitable events and activities may be conducted during working hours so long as the planning and soliciting includes de minimus use of state resources (see Section 13 below):

(A) Managers and supervisors should never personally solicit donations, gifts, or contributions from employees who work under their supervision or over whom they have influence.

(B) Staff engaged in any charitable solicitation should avoid conveying the perception that the solicitation is supported or endorsed by manager, supervisors, or the university.

(13) De minimus Use of University Resources: Occasional limited personal use of university facilities, computers, and equipment, including email and Internet access, is permitted only if all five of the following conditions are met (per WAC 292-110-010):

(A) There is little or no cost to the state;

(B) Any use is brief;

(C) Any use occurs infrequently;

(D) The use does not interfere with the performance of any other state employees' official duties; and

(E) The use does not compromise the security or integrity of state property, information, or software.

(F) The following are examples of permissible personal use of facilities, computers, and equipment provided the conditions of de minimus use above are satisfied:

1. Electronic communication with children and dependents;

2. Streaming music at an employee workstation or in a classroom;

3. Using the internet to check personal e-mails and social media and/or for personal shopping;

4. Scheduling personal appointments;

5. Supporting, promoting, or soliciting for charitable activities, including but not limited to CWU Foundation, CWU Alumni, CWU Athletics and member charities of the Washington State Combined Fund Drive; and/or,

6. Use of games, during breaks, that an employee does not personally install on a university computer.

(G) Public use of films, videos, or TV programs must consider the rights of those who own the copyright to the work. In many cases a public performance rights license is needed and must be obtained on a case-by-case basis. Librarians at the CWU Brooks Library should be contacted for assistance and specific information.

(H) The integration of an employee's university and personal on-line information and resources can happen unintentionally. Employees should be vigilant to ensure that personal documents, e-mail, movies, and/or photos are not stored on university computers.

(14) Prohibited Use: The Washington State Constitution, state and federal laws, and the Ethics in Public Service Act strictly prohibit certain private activity and certain uses of university resources. These rules explicitly prohibit at all times the private use of university resources for outside business or employment, consulting, personal businesses, certain private uses, soliciting, campaigning, lobbying, or other types of prohibited uses as set forth below.

(A) Outside Business or Employment: University resources may not be used for the purpose of conducting an outside business, private employment, of other activities conducted for private financial gain.

(B) Consulting: Work performed by faculty and staff with remuneration from any other than CWU.

(C) Private Use: University resources, including but not limited to, computers, cell phones, equipment, tools, materials and supplies may not be removed from university facilities and used by employees for personal or private activities, even if there is no cost to the university. Taking university property for personal use, even property that is to be salvaged or disposed of, is prohibited unless an employee complies with all CWU surplus property procedures.

(D) Soliciting: Any use for the purpose of supporting, promoting the interests of, or soliciting for an outside organization or group, including but not limited to, a private business, a nonprofit organization, or a political party, unless such solicitation falls within the exception outlined for organizational effectiveness.

(E) Campaigning: Any use for the purpose of assisting a campaign for election of a person to an office or for the promotion of or opposition to a ballot proposition is prohibited. Such use of university resources is specifically prohibited by RCW 42.52.180, subject to exceptions outlined in RCW 42.52.180(2).

(F) Lobbying: Any use of university resources for the purpose of participating in or assisting in an effort to lobby members of congress, the state legislature, or other federal or state agency representatives, unless such is part of the employee's official duties and conforms to all applicable laws, including but not limited to RCW 42.17A.

(G) Prohibited by Law or Policy: Any use related to conduct that is prohibited by a federal or state law or rule, or a state agency policy.

(15) No Expectation of Privacy: There is no expectation of privacy regarding the use of university technologies such as e-mails, instant messages, texts, social media posts, websites visited, and voice mails. Ethics rules do not distinguish between the various forms of communication. Such records are subject to disclosure under the Public Records Act (RCW 42.56).

(A) All records related to university business, or created on university technology, must be properly maintained according to state approved records retention schedules, collected, and/or disclosed when requested for university operational or management purposes, even if the records are located on a personal device (See WAC 106-276: Public Records).

(B) The state ethics law also makes it an ethical violation for a state employee to intentionally conceal a record if he or she knew that the record was required to be released under the Public Records Act, was under a personal obligation to provide the record, but failed to do so (See RCW 42.52.050 (4)).

[Responsibility: F&A; Authority: F&A; Reviewed/Endorsed by: Cabinet/UPAC, Review/Effective Date: 04/15/2020, 05/08/2023; Approved by: A. James Wohlpart, President.]

CWUP 2-40-080 Copyright Policy for Computer Programs

It is the policy of Central Washington University to adhere to the provisions of copyright laws in the area of computer programs. Though there continues to be controversy regarding interpretation of those copyright laws, the following procedures represent a sincere effort to operate legally. Therefore, in an effort to discourage violation of copyright laws and to prevent such illegal activities:

(1) University faculty, administrators, staff and students will be expected to adhere to the provisions of S2-2.8 Section 117 of Title 17 of the United States Code to allow for the making of a backup copy of computer programs.

That statute states, in part: "it is not an infringement for the owner of a copy of a computer program to make or authorize the making of another copy or adaptation of that computer program provided:
1. that such a new copy or adaptation is created as an essential step in the utilization of the computer program in conjunction with a machine and that it is used in no other manner, or
2. that such a new copy and adaptation is for archival purposes only and that all archival copies are destroyed in the event that continued possession of the computer program should cease to be rightful."

(2) When software is to be used on a disk sharing system, efforts will be made to secure this software from copying.

(3) University owned or licensed software may not be used, copied, or distributed in any manner in violation of license agreements or laws. University computing resources and computing resources used on university property may not be used in any manner to copy or distribute software in violation of license agreements or laws.

(4) The legal or insurance protection of the university will not be extended to faculty, administrators, staff or students who violate copyright laws.

(5) Nothing in this policy shall be deemed to apply to computer programs or software products which lie within the public domain.

[PAC: 10/5/90; Responsibility: Finance and Administration; Authority: Cabinet/UPAC; Reviewed/Endorsed by: Cabinet/ UPAC; Review/Effective Date: 07/1991; Approved by: James L. Gaudino, President]

CWUP 2-40-100 Events

Central Washington University is committed to maintaining an inclusive and diverse campus community that promotes intellectual inquiry and critical discourse in an atmosphere of mutual respect. We embrace diversity, equity, social justice, and cultural responsiveness throughout the university. In this regard, the university expects all invited guests, employees and students to act responsibly within the framework of this commitment. This policy and the event CWUR 4-20-060 Student Union Operations Event Guidelines are consistent with CWUP 1-30-020, CWUP 1-30-030, CWUP 1-30-040, CWUP 1-30-050 and CWUP 1-30-060.

[PAC: 07/08; PAC: 11/04/09]

CWUP 2-40-110 Firearms Disposition

Disposition of Firearms: In accordance with WAC 106-124-700, any firearms abandoned, seized, forfeited or otherwise in the possession of the University Police and Public Safety, other than those provided to law enforcement officers, shall be destroyed in accordance with the requirements of relevant provisions of the law of the state of Washington.

[BOT Resolution 94-6, Motion 94-15, dated 4/8/94]

[Responsibility: VP of Operations; Authority: Cabinet/UPAC; Review/Endorsed by: Cabinet/ UPAC; Review/Effective Date: 01/2019; Approved by: James L. Gaudino, President]]

CWUP 2-40-120 Intellectual Properties

It is important for Central Washington University (CWU) to provide uniform policies and procedures for the regulation and administration of intellectual property rights generated by the activities of its faculty, employees and others associated with the university such as visiting scholars. The following University Intellectual Properties Policy is therefore established. Nothing in this policy shall be construed to overrule or ignore current law and acceptable use policies regarding existing intellectual properties. This policy supersedes and replaces all prior intellectual properties policies (2-2.10 Copyrights and Royalties Policy).

(1) Definitions – For the purposes of this policy, the definitions of terms are:

(A) Normal and customary supported works: Those works developed with no more than the normal support provided to employees and students of the university: general computer support, email, library resources, office space, etc. The use of these resources that are ordinarily available to employees shall be regarded as normal and customary support by the university, and shall not entitle the university to exclusive ownership rights in an intellectual property. The university will not construe the provision of personal office, department facilities, library, laboratory, word processing, data processing, or computation facilities as solely of themselves constituting significant use of space or facilities. Nor will CWU construe the payment of salary or CWU-funded faculty research grants, professional leaves, etc., solely of themselves to constitute significant use of funds. Should any controversy concerning this policy arise, it will be referred to the Intellectual Properties Committee.

(B) Intellectual Properties (IPs): Intangible properties protectable as to ownership under the laws of patent, copyright, trademark, or trade secret.

(C) Investigator (also called Principal Investigator): Refers to the author, creator, inventor, whether faculty, staff, administrative exempt employees of the university, visiting scholars, etc. In limited cases, students are specifically included.

(D) President: President of Central Washington University.

(E) University: Central Washington University.

(F) University-assigned works: Are those works that are the result of a specific reassignment for an employee that are explicitly out of the norm of regular duties. In general, the university will have supported this work by reassigned time, special funding of equipment, etc., and such support will be documented in a specifically negotiated agreement/contract. Such assignment does not fall under the category of “other duties as assigned” as referred to in many employees' position descriptions, nor does such an assignment equate as “works-for-hire” (q.v.).

(G) University-sponsored works: Works resulting almost wholly from university support of equipment, supplies, etc., that is beyond that which would be defined as normal and customary. As a general rule, such works would rely heavily on the expertise and/or facilities provided by the university.

(H) Works-for-hire: Works qualifying as “works made for hire” under the Copyright Act of 1976, as amended, codified at 17 U.S.C. 101 as well as manuscripts, software, patentable inventions or creations, or other materials produced by persons whose primary employment by the university is specifically to produce such works (e.g., graphic designers, marketing personnel, television producers). Borderline determinations should be documented, when desired, in accordance with this policy. Should any controversy concerning this policy arise, it will be referred to the Intellectual Properties Committee.

(2) Objectives

(A) To define, clarify and protect the rights and equities of investigators, the university, governmental or private sponsors of research and creative works, and the public, with respect to inventions and original works, by providing for just and equitable recognition of the legitimate interests of each of the above in such inventions and works.

(B) To enhance the university's pursuit of research and creative works, education, and public service by promoting recourse to the patenting, licensing, and copyright process and by providing information, support and liaison concerning the procedures and problems involved therein.

(C) To encourage broad utilization of the results of university-based research and creative works and to provide a vehicle for the transfer of new technology and ideas from the university to the community at large, by permitting exploitation (both commercial and otherwise) in the public interest and for the public benefit, in a manner consistent with the integrity and objectives of the academic process, including the goal of public dissemination of the results of research and creative works.

(D) To stimulate innovative and creative scholarship, research and creative works, writing and their recognition, by establishing an administrative process that enables the university to make payments to investigators when the university licenses IP developed by those investigators.

(E) To encourage and assist scholars and researchers in identifying potentially commercialize-able IP, to require prompt and early reporting thereof to the Intellectual Properties Committee (IPC) and to promote scholarly publication concerning such IP in a manner that does not prejudice the obtaining of a patent or other forms of IP protection.

(F) To devise and promulgate clear and practicable regulations, procedures and forms for the reporting and disclosure of IP and the timely prosecution of patent applications and copyright registrations in appropriate cases.

(G) To provide for obtaining legal protection and licensing of IP, where appropriate, through the Intellectual Properties Committee or an IP management organization or publishing entity designated by that committee.

(H) To preserve and protect the rights, as agreed, of any government or private sponsors of research and creative works in any invention or work that may be generated by such research and creative works, and to ensure compliance with the statutory or other terms of any such grant.

(I) To preserve and protect the rights of the university in inventions or other original works which result from the use of university funds or facilities by faculty, employees, students or trainees, in keeping with state law.

(3) Policy for Determining Ownership Rights

The principle is hereby recognized that there are usually three interests involved in connection with research and creative work and invention performed in the university by or under the direction of the faculty and staff of the university. The investigator, the university, and the general public, whose taxes and gifts support the university, represent these three interests. If the research and creative work is financed wholly or in part by an outside agency there exists an additional interest. In general these interests are best served by immediate publication and dissemination of the results of the research and creative work. In some cases, however, the interests of all are best protected and furthered by obtaining legal protection for, and commercializing, the results of research and creative works, which include but are not limited to copyrightable materials, information, and tangible materials. Distribution of net income resulting from intellectual property is detailed in Section 5 of this document. For intellectual properties developed before the creation of this policy, the investigator(s) has(have) the option to

(1) continue under the existing agreements made at the time of undertaking work,

or

(2) request to the Intellectual Properties Committee to have his/her/their work approved and governed by this policy. Multiple investigators have the requirement to decide for themselves on this matter. Members of the IPC will act as consultants if requested to do so.

(A) Intellectual Properties Resulting from Personal or Private Research and Creative Works (i.e., normal and customary works) - The university shall have no vested interest in intellectual properties clearly resulting from personal or private and developed by a person, without more than normal and customary cost or expense to, or use of facilities, equipment or staff of, the university. Insofar as faculty members have an obligation to produce scholarly works, they may use university property to create such scholarship. The university has no claim on the revenues generated from these properties created by individual effort. Revenues generated by intellectual properties created by the individual effort of the faculty member (or members) remain with the faculty member(s). Such intellectual properties may be voluntarily offered by the faculty member to the Intellectual Properties Committee for the possible securing of a patent or copyright and for subsequent developing, processing and exploitation under university aegis. If such offer is accepted by the Intellectual Properties Committee, the investigator shall assign her/his rights to CWU and shall thereafter receive SEVENTY-FIVE (75%) of the net profits if any (amount received by the university, less costs) derived from any exploitation of the patent or copyright. This policy shall be applied in compliance with all state ethics laws (Cf. RCW 42.52.160, Use of persons, money, or property for private gain).

(B) Intellectual Properties Resulting from University Sponsorship – (i.e., university sponsored and university assigned).

1. Wholly university supported - Intellectual properties resulting from research and creative work wholly supported by university funds shall be the property of Central Washington University. The developers of such IPs shall confirm the university's ownership by assigning their rights to Central Washington University and shall execute all other documents as required to enable the university to protect and manage those rights and shall be entitled to receive a share of the net profits (amount received by the university, less costs) derived from any commercial exploitation of the patent, licensing, or copyright of that work. That share is determined according to the schedule included in the procedures implementing this policy (Cf. Sect. 8).

2. Multiple funding sources - Intellectual Properties resulting from research and creative work supported by an outside agency or agencies, and with CWU funds, shall be governed by the provisions of the agreement with the sponsoring agency and CWU. In the absence of such provisions, the Intellectual Property rights shall be determined in accordance with this policy.

3. Intellectual Properties Resulting from Research and Creative Work Supported by an Outside Agency - Intellectual properties resulting from research and creative work supported by an outside agency or agencies shall be governed by the provisions of the agreement with the sponsoring agency. In the absence of such provisions the intellectual property rights shall be determined in accordance with this policy.

4. Intellectual Properties Produced “for Hire” - The university shall be the sole proprietor of any work done "for hire," and may make such disposition of resultant materials as it may choose. Should any controversy concerning this policy arise, it will be referred to the Intellectual Properties Committee.

5. Intellectual Properties and Rights of Students

a. Coursework assignments - IPs (writings, software programs, artworks, etc.) produced as a result of general coursework assignments are the property of the student or students. Assignments requiring multiple students to participate are the property of those students and they have the requirement to decide for themselves rights and distribution.

b. Mentor-guided projects - IPs produced as the result or by-product of the guided supervision of a mentor on a specific project are the property of the mentor. Such work arrangements should also be documented in a separate agreement between the mentor and student(s) involved. This situation applies to cases in which the student is being paid by funds from a mentor's research grant and also in cases in which a student is taking mentor-guided research credit courses (e.g. CHEM 495).

c. Theses - The university recognizes that copyright for theses remains with the student. The original records (including software) of an investigation for a graduate thesis or dissertation are the property of the university but may be retained by the student at the discretion of the student's major department and faculty mentor. The university shall have, as a condition of degree award, the royalty-free right to retain, use and distribute a limited number of copies of the thesis, together with the right to require its publication for archival use.

6. Asserting or Relinquishing University Rights to Intellectual Properties - The university may relinquish all of its rights to the investigator in the following cases:

a. Normal and customary works - If the invention is judged by the Intellectual Properties Committee to be the result of personal or private research or creative work, under the rules adopted by the state Executive Ethics Board, and have required no more than normal and customary support of the university.

b. Determination to not accept rights offered by investigator - If the university decides not to secure a patent for an invention which is a result of personal or private research or creative work but has been submitted to the Intellectual Properties Committee voluntarily by the investigator for possible development and patent under university auspices as hereafter noted.

c. Determination not to pursue rights for university-sponsored or university assigned works - If the University determines that it is not in its best economic interest to pursue a patent on an invention, the rights may be released to the sponsoring agency (if such action is required by grant or contract agreement), or to the Investigator.

7. Rights when investigator moves to new employment - When an investigator moves to new employment, CWU shall enter into a technology administration agreement (“TAA”) with the new employer to enable the orderly administration of rights related to any IP created by the investigator. CWU will retain all rights to commercialize or otherwise license the intellectual property, and rights in improvements created at the new university will be determined in accordance with that university's intellectual property policy.

(4) CWU Distribution Policy and Schedule for Net Revenues from Licenses, Royalties, and Copyright

(A) Scope and Intent for the distribution and sharing of net revenues Research, invention, creative endeavors, and other intellectual work shall be encouraged and supported by Central Washington University. For university-sponsored and university-assigned materials a sharing of royalties and income is appropriate because of the investigator's provision of creative efforts on the one hand and the university's specific provision of salary, facilities, administrative support, and other resources on the other. If there are two or more investigators, each investigator shall share equally in the said share, unless all investigators have previously agreed in writing to a different distribution and have notified the university in writing thereof.

(B) University-sponsored/University-assigned - A portion of the net profits after obligations from the sale or licensing of university-sponsored or university-assigned intellectual property shall be allocated to its investigator(s) to foster a culture of practical innovation. This should be based not only on cash royalties received, but also on stock or other assets received by the university from the sale or licensing of that intellectual property. A portion of the university's share should go directly to the investigators' academic unit (college or department), to encourage future intellectual property development.

(C) Net revenue - Net revenue income is defined as gross income from licensing minus direct costs. For this purpose, direct costs may include: 1. All costs associated with obtaining legal protection for the intellectual property; 2. All costs from the marketing and licensing of the intellectual property; 3. All legal costs associated with the above or in connection with, or in anticipation of, litigation or controversy between any parties involving rights under such Intellectual Property; Direct costs shall not include operating costs of CWU's sponsored research office.

(D) Net Revenue distribution for Intellectual Properties - When income generated from various discoveries and creations in teaching, research and creative works is small (under $25,000), investigators will retain any generated revenue up to and including $25,000. Sharing beyond that limit for creations in which university resources are instrumental in the production is set forth in the table below. The first $25,000 in net revenue for any individual item of intellectual property shall be paid to the investigator in full, after which distribution is suggested as follows. Individual contracts or agreements may vary in detail from this suggested schedule.

Participation Distribution
Investigator CWU Grad Office Reinvestment [1]
Individual effort 100% 0 0
University-sponsored
$0-$25,000 100% 0 0
$25,001-$50,000 75% 15% 10%
$50,001-$100,000 60% 20% 20%
$100,001 and greater 50% 25% 25%
University-assigned [2] 20% 50% 30%

[1] This specific percentage of royalty funds will be reinvested in the investigator's scholarly activities or that of the department or college.

[2] Excluding employees whose primary duties include creation of intellectual properties (e.g, promotion publications in print, video, and digital formats produced for hire. Cf. Sect. II, definitions).

(E) Distribution process Distribution of the investigator's share shall be made annually from the amount of net royalties if any, received during the previous fiscal year. 1. Prior to the determination of the distribution of net income, the investigator shall receive a statement of direct expenses charged against the gross income derived from an agreement.

2. Investigators shall have 30 working days to challenge the statement of direct expenses.

3. After resolution of such challenge, if any, the distribution of funds will occur.

4. Distributions to investigators are final and shall not be affected by unanticipated expenses 90 days after distribution.

5. Adjustments may be made to correct a clerical error.

6. In the case of the death of the investigator, any unpaid royalties shall be paid to the investigator's estate unless otherwise specified.

7. In the event of any litigation, actual or imminent, or any other action to protect patent rights, distribution of royalties will be withheld until resolution of the dispute.

(5) Procedure with Respect to Outside Employment and Avoiding Conflict of Interest - See relevant CWU policies. (Cf. Policy Manual, 2-2.7 Ethics, 2-2.9 Conflict of Interest, Faculty Code 7.30; state law and regulations (RCW 42.52 Ethics in Public Service)).

(6) Criteria Governing Outside Commercial Sponsorship of Research and Creative Work - Contracts and other arrangements between the university and outside commercial sponsors of research and creative work must comply with the following criteria. Research investigators and the university shall be free to disseminate and publish the results of sponsored research and creative works, provided that in order not to jeopardize applications for patents the university may agree that any proposed publication will be submitted to the sponsor with notice of intent to submit for publication and that unless the sponsor in writing requests a delay within two (2) months from the date of such notice, the investigators or the university shall be free to proceed with immediate publication. However, if the sponsor requests a delay, the submission of the manuscript will be withheld for the period requested, but in no event for longer than SIX (6) months from the date of the notice of intent to submit for publication and only in order to permit the sponsor to prepare and file the necessary application. The university shall retain the right to take title to any patentable inventions or discoveries arising from the undertaking of sponsored research, except that the university may grant an exclusive license to the sponsor for an agreed-upon period and generally bearing a royalty to be agreed upon. Such licenses shall also be subject to a reservation of rights to the university to allow the university to continue to make and use the IP in its own research and education. Any agreement or arrangement with the commercial sponsor shall not impose any restrictions upon the university in conflict with its established policies and practices, but shall permit performance of the research, creative work or other investigation in the same manner and subject to the same administrative requirements applicable to research financed with the university's own funds. Requirements of granting agencies will be complied with (e.g., NSF Grant Policy Manual, Sect. 7 http://www.nsf.gov/pubs/2002/nsf02151/gpm7.htm).

(7) Procedures for the Administration of Intellectual Properties Policy (A ) The Intellectual Properties Committee The Intellectual Properties Committee (IPC) shall be vested with authority to administer this Policy and reports to the President.

1. Membership of IPC - The IPC shall consist of the following persons: Voting: 1 faculty member of each college 1 Dean of Library Services AVP of Grad Studies or designee Non-voting: Legal counsel Chair: Elected by voting members Quorum: Majority

2. Meetings of IPC - The IPC shall meet as often as the Chair deems necessary, but at least quarterly based on the fiscal 12-month calendar.

3. Powers and Duties of IPC - The IPC shall have the following delegated authority, powers and duties.

a. To interpret and apply the Intellectual Properties Policy, in keeping with applicable state and federal laws and regulations.

b. To evaluate inventions for patentability and economic feasibility, and where desirable to seek expert advice to assist it in making such determinations.

c. To decide on the category into which an invention or original work falls for the purposes of determining who has or shares the equity therein.

d. To assign inventions to outside organizations for the evaluation, patenting and licensing of inventions, and to procure the receipt of royalties or other benefits by the university.

e. To release patent rights to the investigator in the absence of overriding obligations to outside sponsors of research, in cases where it is deemed equitable or appropriate to do so, subject to the written approval of the president or a person designated by the president.

f. To submit its decisions on patent and copyright matters to the president of the university, or to a person designated by the president for such purposes.

g. To provide assistance and advice to faculty and other research personnel concerning all aspects related to the patenting and licensing of inventions and the copyright in original works.

h. To ensure an effective system of patent and copyright administration by means of an ongoing review of applicable policies and procedures and to make reports and recommendations for improvement when appropriate to the president.

i. To take the actions necessary to achieve the objectives and goals of the intellectual properties policy, without being limited by the specific powers and duties enumerated above.

j. To determine the patent or related rights or equities of the University to other interested parties in an invention and to decide on the appropriate division of royalties.

(B) Procedure for Early Notification and Reporting Intellectual Properties - All employees of the university, all non-employees who use university research facilities and those who receive grant or contract funds through the university shall promptly report any ideas for and/or reduction to practice of a potentially patentable invention or discovery, or copyrightable work that may be commercialize-able, to the IPC. The purpose of such a report is two-fold:

1. determination of ownership rights, and

2. determination by the university to assert its rights or release them (Cf. Sect.4). A faculty or staff member who writes or produces a work which he or she believes may be commercially exploitable shall notify the IPC in writing (IPC Form 1). Works developed and intended to be published or distributed from the university and with substantial use of university facilities are subject to this notification requirement.

Example 1: Investigator develops a shareware program and wishes to distribute it via the campus network.

Example 2: An author wishes to publish and distribute a chapbook of poetry However, publications of manuscripts as commercial monographs, textbooks, or in academic periodicals, collections and conference proceedings, are not subject to this notification requirement. (Cf. Sect. 4) The report (IPC form 1) shall be submitted at the earliest opportunity to the IPC (IPC Form 1). Such a report is filed when the investigator first sets to work on a project to develop an IP, or later in the process when the investigator realizes that development of IP is probable. The IPC may forward the report to the department chair or the immediate supervisor of the investigator for evaluation. The department chair or immediate supervisor to whom the report is submitted shall review it and shall return an evaluation to the IPC within THIRTY (30) days after receipt, together with a written opinion regarding the accuracy of the investigator's statement and the reasons for such opinion. The chair and members of the IPC shall take steps needed to assure and preserve the confidentiality of all documents. (See confidentiality agreement, IPC Form 2.) The investigator shall be notified of meetings of the IPC and may be invited to attend the meetings at which her/his report will be considered. The IPC shall within ninety (90) days of the submission of the report and required statement notify the president of the university, or a designated agent, the investigator and the departmental head or immediate supervisor of its decision with respect to the disposition of the matter and the respective rights or equities of any interested parties. The president or designated agent may overrule in writing the decision of the IPC, but failing such action within thirty (30) days of submission of the decision to the president or such agent the decision of the IPC shall be binding on all parties, unless appealed within that time. The investigator shall be notified in writing of the final decision of the university within thirty (30) days. If the administration of CWU decides not to pursue development of the intellectual property, or takes no specific action that indicates intent to do so, within one hundred twenty (120) days after the receipt of the IPC Form 1 by the office of graduate studies, all rights shall revert to the investigator upon written claim of the Investigator. If the university pursues development of the intellectual property, it shall take action within two hundred seventy (270) days after the issuance of the final, written recommendation of the IPC. If the university fails to act within this period, all rights shall revert to the Investigator upon written claim.

(C) Execution of Necessary Documents - Shared copyright registration, the purchase of an ISBN, where appropriate, and marketing and distribution methods will be based on a mutually negotiated agreement between the investigator and the university. A suitable technology transfer agent (TTA) may be selected by mutual agreement of the investigator and the IPC for patent filing and other agreed upon actions. The investigator will submit a detailed disclosure form to the TTA with a copy to the IPC. The investigator will then work directly with the TTA on submission of the patent.
[BOT: 1/17/06; Responsibility: CFO/BFA; Authority: Cabinet/PAC; Review/Endorsed by: Cabinet/UPAC; Review/Effective Date: 03/2006; Approved by: James L. Gaudino, President]

CWUP 2-40-140 Health and Safety for the University Community

Purpose

To maintain a safe and healthful environment for all sanctioned activities, and to provide university employees, students, volunteers, and visitors with guidance associated with safety and health concerns in academic and work environments.

(1) Introduction

(A) This policy applies to all employees, including students and temporary hourly employees, and will prevail for terms not covered under collective bargaining agreements for represented employees. It is to be administered in accordance with federal and state health and safety regulations and WAC 296.

(B) The university will manage occupational and environmental health and safety in compliance with all applicable laws and regulations.

(C) All employees are expected to practice individual accountability for safe behavior within the university community.

(D) All employees are expected to support occupational, environmental, and public health initiatives to reduce hazardous-waste generation, conserve resources, and work toward a sustainable future.

(2) Responsibilities

(A) Administrators are responsible for providing safe working and learning environments for those persons under their direction in accordance with WAC 296-800-110.

(B) Supervisors at all levels will ensure their employees are aware of potential hazards in their working environments and will:

1. Ensure new employees receive safety orientation.

2. Require compliance with health and safety standards

3. Document and communicate workplace hazards and safety procedures

4. Coordinate necessary corrective actions or control methods for identified hazards

5. Monitor and schedule required safety training

6. Ensure employees are provided and use required personal protective equipment (PPE)

7. Ensure employees promptly report accidents or incidents, and review reports to determine whether unsafe conditions, equipment, or practices caused or contributed to the accident or incident

8. Take action to ensure injured employees receive appropriate medical attention

(C) Employees will:

1. Take an active role in establishing and maintaining a safe work environment

2. Comply with university health and safety procedures

3. Maintain required health and safety training and/or certifications, when applicable

4. Properly use and maintain personal protective equipment (PPE)

5. Promptly notify their supervisor of accidents or unsafe conditions and complete an accident or incident report

(D) Environmental Health and Safety staff will:

1. Manage occupational and environmental health and safety activities throughout the university,

2. Ensure university operations are conducted in compliance with applicable occupational and environmental health and safety regulations

3. Coordinate required inspections, audits, and reporting for external agencies concerned with occupational and environmental health and safety compliance

4. Coordinate or provide required safety training or services for situations including, but not limited to confined spaces, hazard communication, ladder safety, and respirator fit testing

5. Administer health and safety programs, procedures, and training in accordance with local, state and federal regulatory requirements

6. Provide consultation and interpretation to employees regarding health and safety requirements and best practices

7. Conduct an annual chemical inventory audit.

(E) The Dept. of Human Resources will:

1. Develop and administer procedures to mitigate workers' compensation claims, such as light or transitional duty assignments, pre-employment testing for safety, sensitive or physically demanding positions, and

2. Return-to-work and/or stay-at-work programs

3. Provide interpretation and consultation regarding this policy, procedures, and best practice

(F) The Health and Safety Council advises the university in the development and revision of official policies and procedures to ensure compliance with occupational and environmental regulations and programs in accordance with WAC 296-800-130.

[Responsibility: Operations; Authority: Cabinet/UPAC Reviewed/Endorsed by: Cabinet/PAC; Review/Effective Date: 9/5/12; 04/06/16; 02/19/2020 Approved by: James L. Gaudino, President]

CWUP 2-40-141 Communicable Disease Outbreak

Recognizing CWU's statewide presence, the Student Medical and Counseling Clinic, as required by law and upon receiving information from any Central Washington University site will report any suspected or known communicable disease to the appropriate County Health Department. Following identification of a communicable disease outbreak and confirmation by the appropriate County Health Department, the Student Medical and Counseling Clinic, in cooperation with local, state, and national agencies (as necessary) will implement the Communicable Disease Outbreak Plan.


[Responsibility: Dean of Student Success; Authority: Provost/VP of Academic & Student Life; Reviewed/Endorsed by: Provost's Council 7-24-2012/Cabinet/PAC; Review/Effective Date: 11-07-2012; Approved by: James L. Gaudino, President]

CWUP 2-40-142 Immunization

All students attending the university are required to have the following 2(two) immunizations: Measles/mumps/ rubella (MMR) 2 doses and Meningococcal Quadrivalent Polysaccharide (Bacterial Meningitis), or sign a waiver for an exemption from immunization. Exemptions may be allowed for medical and religious reasons only. Tdap, Polio, Varicella (Chickenpox), Meningitis B, Hepatitis A & B, Influenza and HPV are highly recommended immunizations. These immunization requirements are consistent with state and national (Centers for Disease Control) recommendations. The University will support, educate, and encourage compliance with these recommendations.

Requirements for student immunizations will be included in all recruiting documents and events, and during orientation. Students who fail to demonstrate appropriate proof of immunizations of immunity; or fail to obtain immunizations; or otherwise get an approved waiver for exemption will be subject to exclusion from campus during an outbreak and have a registration hold placed. Compliance will be monitored through Med+Proctor and the Student Medical staff, who will notify the Registrar periodically of student compliance.

[Responsibility: Dean of Student Success; Authority: Provost/VP for Academic & Student Life; Reviewed/Endorsed by: Provost's Council 7-24-2012/Cabinet/PAC; Review/Effective Date: 11/07/2012; 02/19/2020; Approved by: James L. Gaudino, President]

CWUP 2-40-143 COVID-19 Vaccination

(1) POLICY STATEMENT

Employee and student safety and wellbeing are a primary concern of Central Washington University (CWU). CWU is committed and obligated to provide safe and healthy university environments for employees, students, and visitors.

CWU has developed this policy in accordance with the Governor's Proclamations 20-12.4 (July 12, 2021) and 20-12.5 (August 27, 2021) for Institutions of Higher Education, as well as the guidance of the Centers for Disease Control and Prevention, the Washington state Department of Health, and the Kittitas County Public Health Department. It is the intent of this policy to implement and comply with the requirements of the Governor's Proclamation 20-12.4 for a “Fully Vaccinated Campus.” Additional requirements may be forthcoming due to the evolving nature of the COVID-19 virus and the science supporting best practices for combating this disease. CWU will continue to monitor the situation for additional strategies in order to provide a safe environment for the CWU community.

The best way to ensure the safety of all CWU employees, students, and visitors and the safety of the people they interact with on campus is to implement a policy requiring all CWU employees, as a qualification for employment, and all students, as a condition of enrollment, to be fully vaccinated against COVID-19 and to provide proof thereof by October 18, 2021, unless the employee or student requests and is granted an exemption for medical or religious reasons. Medical and religious exemptions will be provided to employees and students to the extent required by law.

Exceptions for students include:

A. International students living outside the United States and enrollment exclusively in on-line courses and programs, and

B. High school students enrolled in College in the High School. These courses are held at K-12 locations and these students are obliged to follow safety protocols of their school districts.

According the Governor's Proclamation 21-14.1 COVID-19 Vaccination Requirement, the failure of employees to meet this condition of employment by October 18, 2021 may lead to termination of employment. This policy is subject to and shall be construed in compliance with employee collective bargaining agreements and applicable state and federal laws.

The failure of students to submit proof of being fully vaccinated for COVID-19 or to submit an exemption request form by October 18, 2021, may lead to discontinuation of the student's enrollment.

(2) DEFINITIONS

(A) Fully vaccinated against COVID-19:

An individual is fully vaccinated against COVID-19 two weeks after they have received a single-dose COVID-19 vaccine (e.g., Johnson & Johnson (J&J)/Janssen) or the second dose in a two-dose COVID-19 vaccine (e.g., Pfizer-BioNTech or Moderna). The COVID-19 vaccine must be authorized for emergency use, licensed, or otherwise approved by the U.S. Food & Drug Administration. For international students, all valid vaccinations that are recognized by the World Health Organization (WHO), will be accepted by CWU. For those who are not vaccinated by a WHO-approved vaccine, they will be required to receive one (Pfizer or Moderna) booster shot when they arrive to campus.

(B) Proof of full vaccination against COVID-19:

Proof of full vaccination against COVID-19 is a CDC vaccination card, documentation from a health care provider, or a state immunization information system record showing that the employee or student is fully vaccinated against COVID-19.

(3) RESPONSIBILITIES

(A) Employees: As a qualification for continued employment, each CWU employee must, no later than October 18, 2021, provide:

1. Proof of full vaccination against COVID-19, or

2. Apply for a medical or religious exemption.

An employee must provide proof of full vaccination against COVID-19 to HR either in person or through virtual means.

An employee who requests a medical exemption that prevents them from safely being vaccinated against COVID-19 may request a reasonable accommodation as provided in CWUP 2-35-040 Reasonable Accommodation for Persons with Disabilities. An employee may request reasonable accommodation by completing forms available at https://www.cwu.edu/about/offices/humna-resources/benefits-leave/workplace-accommodation.

An employee who requests a religious exemption because of a belief, practice, or observance that prevents them from getting vaccinated against COVID-19 must submit the form available at: /about/offices/business-services/_documents/covid19-vaccination-verification-record and will be contacted by HR to participate in an interactive process to ensure workplace safety and identify appropriate mitigation strategies should an outbreak occur.

The Executive Director of HR will review and make the final determination on requests for exemption, where questions exist concerning undue hardship or reasonableness of the requested accommodation.

HR will maintain a system for tracking which employees have and have not completed the vaccination or exemption process.

An employee who has an approved exemption for the COVID-19 vaccination, either medical or religious, will be required to wear face coverings while present on campus, may be required to test regularly for COVID-19 and may be prohibited from participating in some university activities.

(B) Candidates: All candidates selected for CWU employment, beginning October 18, 2021, must provide:

1. Proof of full vaccination against COVID-19, or

2. Apply for a medical or religious exemption.

If a selected candidate has not provided proof of vaccination or applied for a medical or religious exemption, CWU has the sole discretion to give the candidate additional time to provide needed documentation or to rescind the candidate's employment offer. HR is responsible for tracking which selected candidates have or have not completed the vaccination or exemption process.

(C) Students: All students enrolled at CWU, beginning October 18, 2021, must upload appropriate documents for one of the following via Med+Proctor:

1. Proof of full vaccination against COVID-19, or

2. Apply for a medical or religious exemption.

A student who has an approved exemption for the COVID-19 vaccination, either medical or religious, will be required to wear face coverings while present on campus, may be required to test regularly for COVID-19 and may be prohibited from participating in some university activities.

The COVID vaccination exemptions for students will be in effect for one academic year through August 1. All students wishing to update vaccination information or extend their exemption must submit this by August 1 for the following academic year. Students with an expected graduation date of summer term are exempt from resubmitting an exemption if they are enrolled in a summer course that extends past August 1. This exemption no longer applies if graduation is extended beyond summer term or if the student re-enrolls at Central.

(D) Student employees: When engaged as a CWU student employee, students are acting as workers, not as students, and are thus included in Proclamation 21-14.1 – COVID-19 Vaccination Requirement. Student employees that have placements off campus are also included. As such, they are required to submit proof of vaccination or apply for an exemption by October 18, 2021 as a condition of employment.

(E) Volunteers: All volunteers must follow procedures available at https://www.cwu.edu/about/offices/civil-rights-compliance/ethics-workplace/policies-and-procedures. All CWU volunteers, beginning October 18, 2021, must provide:

1. Proof of full vaccination against COVID-19, or

2. Apply for a medical or religious exemption.

If a potential volunteer has not provided proof of vaccination or applied for a medical or religious exemption, CWU has the discretion to give the volunteer additional time to provide needed documentation or to rescind the ability of the volunteer to serve at CWU.

(F) Contractors: The Governor's Proclamation 21-14.1 requires COVID-19 vaccinations for contractors who perform on-site work in educational settings where students or people receiving services are present. The Office of Contracts and Procurements is responsible for ensuring these expectations are upheld by external entities contracted with CWU.

This does not include non-CWU workers who are present at a site for only a short period of time and have a fleeting physical presence with others.

(G) Visitors and Invited Guests: All visitors and invited guests to CWU are assumed to be unvaccinated and therefore are required to wear a facial covering while on CWU premises.

[Responsibility: BFA, ASL, COVID-19 Fall 2021 Planning Committee and Task Force; Authority: ELT/President; Reviewed/Endorsed by: ELT, COVID-19 Fall 2021 Planning Committee and Task Force; Review/Effective Date: 9/21/2021; Approved by: A. James Wohlpart, President]

CWUP 2-40-145 Face Covering

Central Washington University (CWU) is committed to the health and safety of all members of its university community. The Centers for Disease Control and Prevention (CDC) has recommended that all citizens wear a face covering when around others. This measure is meant to prevent the spread of the COVID-19 virus from person to person.

Face coverings are defined as fabric coverings, as recommended by the CDC. Acceptable face coverings must cover the mouth and nose, fitting as snugly as possible against the sides of the face.

The spread of the COVID-19 virus and variants is constantly evolving and recommendations from the CDC, Washington State Department of Health, and Kittitas County Public Health Department change to meet the environment. Thus, CWU's face covering requirements will also change. Anyone physically present at a CWU location (Ellensburg campus, University Center, etc.), may be required to wear a face covering, regardless of location, role, or ability to engage in physical distancing. This applies to all students, employees, visitors, contractors, and volunteers as described below. The Executive Leadership Team is ultimately responsible for imposing, reducing, or removing any face-covering requirements.

Employees and students with medical and religious exemptions as described in CWUP 2-40-143 COVID-19 Vaccination are required to wear face-coverings continuously when on university property.

Employees: When required, face coverings are to be worn continuously in any CWU building including academic buildings, the SURC, and residential halls, during the shift of work, except when necessary to eat or drink or wash. When the face-covering has been removed, the employee is to follow physical distancing guidelines.

Exceptions to the continuous use aspects of this policy will be made for employees who work alone in a private office with a closed door. In this situation, the employee must still wear a face covering on leaving their office to go elsewhere, but may, when in their office alone with the door closed, work without a face covering. This exception does not apply to offices in which multiple employees are working, nor does it apply to cubicles, or cubicle offices where the space above the cubicle is open to the more general office. Additional exceptions must be submitted to and approved by the employee's division vice president.

Employees and supervisors are both responsible for compliance with this policy. Employees in the workplace failing to follow current face-covering directives will be given an initial warning and remediation regarding the expected use of the face-covering by the supervisor. Repeated failures to adhere to this policy and to comply with the supervisor's instruction may result in additional corrective action, up to and including termination. Supervisors will be held accountable for their assigned employees who are non-compliant with face-covering requirements.

If an employee has a disability and requires an accommodation as a result of this policy, they should contact Human Resources to begin the interactive process.

Students: When required, face coverings are to be worn continuously in any CWU building including academic buildings, the SURC, and residential halls, except when necessary to eat or drink or wash. When the face-covering has been removed, the student is to follow physical distancing guidelines.

Exceptions to the continuous use aspects of this policy will be made for students who are in their own bedroom in a residential hall with the door closed. Additional exceptions must be submitted to and approved by the Dean of Student Success for non-teaching and learning activities of the Office of the President for athletics.

If a student has a disability and requires an accommodation as a result of this policy, they should contact Disability Services to begin the interactive process.

Teaching and Learning: When required, all students and instructors will wear face coverings in teaching and learning spaces. Exceptions to these requirements may be submitted to the provost for approval (e.g. music performances).

The failure of students to adhere to face-covering requirements may lead to discontinuation of the student's enrollment.

Contractors and volunteers: Contractors and volunteers who have complied with CWUP 2-40-143 COVID-19 Vaccination Policy are subject to the same face-covering requirements as employees.

All others: When required, vendors, tenants, customers, volunteers, invited guests, visitors and employees not at work will wear face-coverings continuously when inside a CWU building or when outside in a crowded setting.

[Responsibility: BFA, ASL, COVID-19 Fall 2021 Planning Committee and Task Force; Authority: ELT/President; Reviewed/Endorsed by: ELT, COVID-19 Fall 2021 Planning Committee and Task Force; Review/Effective Date: 08/05/2020; 9/23/2021; 9/24/2021; Approved by: A. James Wohlpart, President]

CWUP 2-40-160 Protection of Human Subjects

(1) Introduction - Researchers who use human subjects in their studies have an obligation to respect the rights of these participants. As an institution that accepts public support for its operation, Central Washington University has a legal as well as an ethical obligation to ensure that appropriate procedures for the protection of human subjects are followed in university-endorsed research studies. The Human Subjects Review Committee (HSRC) at Central Washington University has been formed to assure the U.S. Department of Health and Human Services (DHHS) that human research subjects will be protected and that CWU will comply with DHHS Regulations for the Protection of Human Research Subjects (Title 45 Code of Federal Regulations, Part 46). The HSRC is appointed by the university provost and is composed of thirteen members representing the diversity of experience and expertise specified in the Federal Regulations [45 CFR § 46.107 (a)]. The HSRC operates according to procedures specified by university policy and federal regulations and published in the CWU Human Subjects Policy and Procedures Manual.

(2) Review of Proposed Research - It is the policy of CWU that all research involving human subjects will be reviewed by the HSRC. The term "research" means a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge. Activities, which meet this definition, constitute research for the purposes of this policy, whether or not they are conducted or supported under a program which is considered research for other purposes. For example, some demonstration and service programs may include research activities. The involvement of human subjects in research activities conducted by faculty, staff, or students is not permitted until the HSRC has reviewed and approved the research protocol. Even if, according to federal regulations, the research appears to be exempt from review, all researchers will nonetheless submit applications for approval of their research activities. No contact with subjects, whether for the purposes of recruitment or obtaining consent, may be initiated until the proposed research has been approved. Furthermore, unless the consent process has been specifically waived by the HSRC in accordance with 45 CFR § 46.116, no subjects may be included in research unless the investigator has obtained the legally effective informed consent of the subject or the subject's legally authorized representative. The required elements of informed consent are established by the federal regulations (45 CFR § 46.116) and by the university. Faculty members who intend to have students collect data from human participants as part of course activities or requirements shall have these activities reviewed by the HSRC prior to student involvement. Finally, although data collected for the sole purpose of assessing or improving the quality of programs or administrative units within the institution are likely exempt from these regulations, CWU staff members who undertake such projects are encouraged to consult with the HSRC regarding procedures for protecting the rights and welfare of their respondents.

In reviewing research, the HSRC will give careful consideration to the following:

(a) risks to subjects and procedures for minimizing such risks;
(b) anticipated benefits to the subjects and others;
(c) importance of the knowledge that may be reasonably expected to result from the research;
(d) methods by which subjects will be recruited and compensated;
(e) consent processes to be employed; and
(f) procedures for providing post-study information and, where necessary, debriefing subjects regarding deception. In doing so, the HSRC will see that the requirements in 45 CFR § 46.111 are satisfied.

Following its review, the HSRC shall issue one of the following decisions:

(a) approval of the research protocol;
(b) approval conditioned on modification; or
(c) disapproval.

The results of the HSRC review shall be communicated in writing to the investigator and the appropriate institutional officials. Research that has been approved by the HSRC is subject to continuing review on at least an annual basis.

Furthermore, investigators with approved research protocols shall notify the HSRC upon:

(a) the occurrence of unexpected risk or harm to study participants;
(b) proposed modifications in study procedures; and
(c) termination of the research project.

HSRC-approved research may be subject to review and disapproval or further restrictions by the president or provost for institutional reasons; however, HSRC disapprovals, restrictions, or conditions cannot be rescinded or removed except by action of the HSRC.

(3) Appeal of HSRC Decisions - Researchers whose applications have been disapproved by the HSRC shall be notified in writing of:

(a) the reasons for disapproval;
(b) recommendations for modifications in study procedures where appropriate; and
(c) the investigator's right to request reconsideration of a research proposal by the HSRC.

Specific procedures for reconsideration of HSRC decisions shall be published in the CWU Human Subjects Policy and Procedures Manual. The Human Subjects Policy and Procedures Manual is available online https://www.cwu.edu/academics/research/human-subjects-review-program/index

(4) Oversight of the Human Subjects Research Policy - The HSRC shall have general oversight responsibility for the university policy and procedures for the protection of human research subjects. The HSRC shall consider policy changes that may be required to comply with federal regulations, to ensure fairness to investigators, or to protect more adequately the rights and welfare of human subjects in research. When appropriate, such policy changes will be recommended by the HSRC to the university president.

[PAC: 04/04; Responsibility: Human Subjects Review Committee; Authority: Provost's Council/Cabinet; Reviewed/Endorsed by: Provost's Council 03/06/12; Cabinet 03/14/12; Review/Effective Date: 03/14/12; Approved by: James L. Gaudino, President]

CWUP 2-40-165 Research Ethics and Conflicts of Interest

(1) Relation to the University Mission - Central Washington University, as one of the six state-supported institutions offering baccalaureate and graduate degrees, is committed to serving as an intellectual resource to assist central Washington, the region, and the state in solving human and environmental problems.  To this end, one of the university’s goals is to build mutually beneficial partnerships with the public sector, industry, professional groups, institutions, and the communities surrounding our campuses. The university is equally committed to the state’s economic development, competitiveness, and technological leadership.  The university thus supports the active engagement of its faculty in basic and applied research, technology transfer, and related approved consulting activities to assist in the development, application, or commercialization of its intellectual resources for the mutual benefit of the university and Washington state.

(2) Principles for Conducting Research at the University - The university is a public institution and has a duty to the public to perform research and to apply its intellectual resources in a manner that conforms to the highest ethical standards and that complies with applicable state and federal laws.  Research investigators, including faculty, research associates, staff, students, and associated entities, must either avoid conflicts of interest or must annually disclose any actual or potential conflicts that may arise so that the university can work with the investigator to manage, reduce, or eliminate those conflicts.  Since such management helps ensure that the research is conducted in a way that will withstand public scrutiny and is consistent with ethical standards, university research investigators must fully cooperate with the university’s management of any actual or potential conflicts of interest.

Any financial interest of an investigator that may affect the design, conduct, or reporting of university research, or which may compromise the university’s duty to the public or to the university’s students or employees, must be disclosed annually so that conflict(s) can be managed, reduced, or eliminated.

(3) Definitions Used in this Policy -

(A) Clinical Trial: Any research project that prospectively assigns human subjects to intervention and comparison groups to study the cause-and-effect relationship between an intervention (e.g., medical or psychological) and an outcome (e.g., health or behavioral).  “Intervention” means any intervention used to modify a health or behavioral outcome.  The definition includes drugs, medical procedures or devices, behavioral treatments, process-of-care changes, and the like.

(B) Conflict of Interest (COI): The existence of an interest which may reasonably be determined to affect or appear to affect the design, conduct, or reporting of research.  COI is not limited to financial interests but may consist of other personal interests of a non-financial nature (e.g., relationships, family, business interests, etc.).

(C) Internal Audit: The university’s Internal Audit office reviews all pertinent documentation, including COI resolution plans, relating to potential or actual financial COI cases based on federal and state law and university policy. Internal Audit has the responsibility and authority to (1) manage the dissemination and submission of annual disclosures, (2) assess whether a potential conflict exists, and (3) assess the extent of the conflict. Internal Audit will work with Graduate Studies and Research and Finance and Administration to disseminate any pertinent information regarding significant conflicts that require a mitigation plan for grant-funded faculty/staff. In the event a conflict requires a mitigation plan, Internal Audit will refer the conflict to management who will initiate a mitigation plan. Management will discuss with Internal Audit how they plan on implementing the mitigation plan. Once finalized, management will forward the mitigation plan to Internal Audit for automated filing.

(D) Ethics Safe Harbor Provisions: Annual disclosure of COIs is required for research employees to be protected within the “safe harbor” provisions of the Ethics in Public Service Act, RCW 42.52, relating to university research employees. Research employees must disclose any actual or potential COIs to Internal Audit on the part of persons responsible for the design, conduct, or reporting of research and any significant financial interest in the conduct or outcome of the research. Internal Audit will work with Graduate Studies and Research and Finance and Administration to disseminate any pertinent information regarding significant conflicts that require a mitigation plan for grant-funded faculty/staff.  In the event a conflict requires a mitigation plan, Internal Audit will refer the conflict to management who will initiate a mitigation plan. Management will discuss with Internal Audit how they plan on implementing the mitigation plan. Once finalized, management will forward the mitigation plan to Internal Audit for automated filing.

(E) Equity Interest: Stocks, stock options, ownership, partnership or limited liability company, or other ownership interests. Equity interest does not include interest in a mutual fund or other stock management not under the individual’s control but does include interest held in a deferred compensation plan that is under the individual’s control.

(F) Family: The investigator or research employee, the investigator’s or research employee’s spouse/domestic partner, and dependent children and other dependent relatives living in the investigator’s or research employee’s household (investigator’s or research employee’s financial interest includes the aggregate financial interest of the family).

(G) Financial Interest: Financial interest is defined in accordance with applicable federal or state law and includes but is not limited to monetary and equity interests.

(H) Gift: Anything of value to the extent that adequate consideration is not received. A gift of greater than $50 from an outside entity is a significant financial interest and must be disclosed if it is from an entity that may be affected by the investigator’s or research employee’s applied research or technology transfer activities.

(I) Investigator: Any individual responsible for the design, conduct, and reporting of research, basic or applied, including the principal investigator, a co-principal investigator, a collaborator, or the applied project’s director.

(J) Research: A systematic scientific investigation designed to develop, apply, or contribute to generalizable knowledge, including basic and applied research as well as associated instruction, scholarly, creative, public service, product development, and extension activities.

(K) PHS Awarding Component: A division of the Public Health Service (PHS), such as CDC, NIH, FDA, HRSA, etc., which is sponsoring the research.

(L) Research Employee: The university research safe harbor provisions of the Ethics in Public Service Act apply only to research employees engaged in basic or applied research, technology transfer, or approved consulting activities related to research and technology transfers, or other incidental activities. The university defines research employees as individuals who are:

1. Faculty with appointments in the professorial ranks whose terms of employment and advancement include contributions via scholarly research.

2. Any other university employees, including research scientists, postdoctoral research associates, professional staff, and graduate students, who are responsible for the design, conduct, or reporting of research.

3. Appointees who are not formally employed by the university, but who are obligated to follow applicable faculty and university policies and procedures. This may include visiting scientists.

4. Faculty or administrative staff who directly manage the application or transfer of technology process on behalf of the university, including the Provost, Dean of Graduate Studies and Research, and the Authorized Organizational Representative (AOR).

(M) SBIR/SBTT:  Small Business Innovation Research (SBIR) and Small Business Technology Transfer (SBTT) Programs.

(N) Significant Financial Interest exists whenever:

1. The investigator, research employee, or member of his/her family, is a manager, officer, trustee, or employee of an external entity whose financial interest would reasonably appear to be affected by the outcome of the research;

2. The investigator or research employee, and/or member of his/her family, receives aggregate (1) fees for consulting, (2) gifts, and/or (3) honoraria in excess of $1,000 in any 12-month period within the past 24 months from an external entity whose financial interest would reasonably appear to be affected by the outcome of the research;

3. The investigator, research employee, or family member has ANY financial interest that would reasonably appear to be affected by the outcome of research that involves clinical trials of human subjects or other human subject research requiring the review of the full Institutional Review Board; or

4. The investigator, research employee, and/or family member has an interest in an external entity that exceeds $5,000 in fair market value, an ownership interest in any single entity in excess of 5%, compensation from an external entity in excess of $5,000 during a calendar year, or intellectual property rights and royalties from such rights in excess of $5,000 per year. A significant financial interest does not exist if such interest exists due to ownership of stock through diversified investments such as mutual funds in which the research employee does not control investment decisions.

The above thresholds apply to the aggregate financial interests of both the investigator/research employee and the investigator/research employee’s family member(s).  Included in the aggregate is anything of monetary value, consisting of but not limited to salary, consulting fees, honoraria, gifts, equity interests, ownership interests, and royalty income.  Not included are wages or salary from the university, income from seminars, lectures, or teaching engagements sponsored by public or nonprofit entities, or income from service on advisory committees or review panels for public or nonprofit entities.

(O) Sponsor: The entity which has or will provide financial support for the research, which may include corporate sponsors, state agencies, the university, or agencies of the federal government, including the Public Health Service (PHS), the National Science Foundation (NSF), the National Aeronautics and Space Administration (NASA), and the U.S. Department of Energy (DOE).

(P) Technology Transfer or Application: The efforts of university research employees that transfer and/or apply intellectual property and technology to or on behalf of a third party, including a private enterprise. For federally sponsored research, the Bayh-Dole Act requires the university to transfer resulting inventions and technology into the economy through commercialization whenever possible. The transfer and/or application of technology may often include interaction with and investment in external entities which may create actual or potential COI.

(4) Purpose - Protect investigators, research employees, and students from the risk of COI or appearance of conflict and to ensure that such COI does not create doubt about the integrity of the research resulting in possible federal and state sanctions or the tainting of professional reputations.

(A) Protect research subjects from risks related to the investigator’s and research employee’s COI.

(B) Ensure the integrity of research conducted by university investigators, project directors, and research employees, and ensure that all projects and research are free from bias by reducing, managing, or eliminating COI when necessary.

(C) Facilitate the responsible transfer and/or application of university technology and the provision of applied research to the public and industry for the benefit of society.

(D) Meet the University’s obligations to the sponsors of university research and projects, including federal sponsors, to adopt and enforce a COI policy which is effective in practice.

(E) Provide investigators, project directors, and research employees guidance on requirements and processes for identifying and disclosing COI.

(F) Provide university administrators and Internal Audit guidance on requirements and processes for managing COI.

(G) Guide investigators, project directors, and research employees in making informed decisions on when and how to engage in technology transfer, applied research, and/or outside professional activities to avoid compromising the integrity of their research or their responsibilities to the university and to the public.

(5) Application - This policy applies to all university investigators, project directors, and research employees and to all university research or its application regardless of the source of funds, including federal and non-federal funds, state funds, gifts, and any university fund.

(A) Federal funding provisions:

If Public Health Service (PHS), the National Science Foundation (NSF), the National Aeronautics and Space Administration (NASA) and/or the U.S. Department of Energy (DOE) funds university research, this policy applies to all entities involved in the research project, including subcontractors, sub-grantees, and collaborators, to the extent required by:

PHS - 42 CFR Part 50, Subpart F, and/or 45 CFR Part 94.

NSF – 88 Federal Register 60243

DOE – PF 2022-17

The university may need to report any COI to the above federal agencies involving research sponsored activities.  Conflicts may need to first be reported to the applicable federal agency prior to expending any federally sponsored funds. Any subsequently arising conflict must be reported within 60 days of being identified. The university must provide information on conflicts of interest to the applicable federal agency upon request.

When the university intends to collaborate with another institution on PHS, National Science Foundation (NSF), National Aeronautics and Space Administration (NASA), and U.S. Department of Energy (DOE) sponsored projects, the university must receive written assurance that the collaborating institution has a COI policy which complies with the federal sponsor’s regulations.

(6) Applied Research/Technology Transfer Activities by Research Employees - Research employees’ professional relationships with private industry, nonprofit institutions, and other government entities can facilitate the transfer and/or application of technology or the provision of applied research, thus stimulating economic growth while providing investigators, research employees, faculty, and students with a rich environment in which to teach, learn, and conduct research.

(A) Travel to promote the university’s applied research/technology transfer activities:

1. The university can usually provide investigators and research employees with funds for travel, including related meals and lodging expenses, to meet with representatives from external entities when pursuing research collaborations through sponsored research agreements and when exploring opportunities for university transfer and/or application of technology through intellectual property licensing. Travel must be justified and reimbursed following university travel policies, including the University’s policy on travel paid by third parties.

2. Investigators, project directors, and research employees must avoid accepting gifts from external entities (not including gifts from friends and relatives that may have an interest in external entities as long as the gifts are not related to the working relationships). This is particularly true if the external entity’s financial interest would reasonably appear to be affected by the outcome of university research. However, travel, meals and lodging expenses can be provided by external entities and be exempt from the gift designation if the external entity’s payment of the travel expenses will qualify under Internal Revenue Service rules as a bona fide business expense of the investigator, project director, or research employee. Travel reimbursed by an external entity must be justified by the university traveler as a legitimate applied research or technology transfer activity or an outside professional activity related to the traveler’s scholarly expertise.

(B) Applied research/technology transfer through outside professional activities and consulting:

1. Outside professional activity related to an investigator’s, project director’s, or research employee’s field or discipline is a critically important method of applied research and technology transfer. Faculty members may perform such outside activity under the provisions of applicable CWU policies or the Collective Bargaining Agreement (CBA) between the United Faculty of Central and Central Washington University. Other employees should consult the terms of their employment to determine what activities are allowable.

2. To avoid actual or perceived COIs, investigators, project directors, and research employees must annually disclose all outside professional activities in their field or discipline beyond the employee’s university duties and obtain approval from the appropriate department chair or other supervisor and/or consider guidance from Internal Audit as needed within five working days of the commencement of the activity. Such disclosure and approval must occur prior to receiving any wage, fee for services, honoraria, or other compensation.

3. Investigators, project directors, and research employees need not disclose scholarly activities, including publications, journal article reviews, grant applications, panel reviews, presentations, seminars, and lectures unless they are aware of an actual or perceived COI. Scholarly activities are not generally considered “consulting” or “outside employment.” Such activities need only conform to the standards of applicable CWU policies or the CBA between the United Faculty of Central and Central Washington university or for non-faculty investigators, project directors, or research employees, their contract of employment, when applicable, employment letter, Washington Administration Code, or the respective collective bargaining agreement.

4. Outside consulting agreements are personal employment agreements, regardless of whether compensation is provided for the activities. The research employee may wish to seek personal legal advice prior to signing any such agreement. Although consulting agreements may require the consultant to assign all patentable discoveries to the external entity, the university research employee cannot transfer intellectual property to an outside entity if the university has ownership rights in that intellectual property. Thus, it is essential that care is taken by university research employees who are presented with such agreements to not violate the employment contract with the university, as articulated in applicable CWU policies or the CBA between the United Faculty of Central and Central Washington University, or other conditions of employment.

5. If the employee anticipates that university facilities, personnel, equipment, land, or other resources will be used in an outside professional activity, such use must be declared and approved in advance. When facilitating applied research and technology commercialization activities, use of university resources is conditionally allowed under this policy. Approval for such activities would typically take the form of an approved sponsored research agreement. Such agreements must clearly justify why the work is being conducted as a consultancy rather than an agreement between the sponsor and the university and must articulate how the work advances applied research and/or technology commercialization. Such an agreement between the university and the employee engaged in the outside professional activity must be executed prior to the use of university resources for private activities. It is anticipated that the employee engaged in the outside professional activity will pay full charges paid by others, including appropriate F&A fees, for the use of such resources. Agreements between the university and the employee to use resources for outside professional activities are considered a conflict only when the resources are those which the research employee normally uses during his or her employment with the university or over which the research employee or a member of his or her family has direct input in determining the availability of a resource.

7. In addition to annual disclosure and approval, the research employee is expected to perform his or her university duties and the outside professional activity ethically, legally, and professionally. Care must be taken by the research employee to minimize the potential that the outside professional activity will damage the university’s academic integrity, mission, or interests.

8. A research employee must update his or her COI information annually.

9. The annual COI disclosure form must be completed through Internal Audit’s COI software system. Once the annual disclosure is received, Internal Audit will then decide whether any outside activities are an actual or perceived conflict(s) with the research employee’s duty to the university or the research in which the research employee is engaged. If any actual or perceived conflicts are identified, Internal Audit will work with the research employee (and chair/director/dean, as needed) to disseminate any pertinent information regarding significant conflicts that require a mitigation plan for grant-funded faculty/staff. In the event a conflict requires a mitigation plan, Internal Audit will refer the conflict to management who will initiate a mitigation plan. Management will discuss with Internal Audit how they plan on implementing the mitigation plan. Once finalized, management will forward the mitigation plan to Internal Audit for automated filing.

10. A research employee, funded by PHS/NSF/NASA/DOE, must complete online CITI COI training prior to expending any federal funds. The CITI COI training must be renewed every four years.

11. If the research employee disagrees with the chair or supervisor’s referral of the activity to Internal Audit, the research employee may ask that the Dean of Graduate Studies and Research and the Authorized Organizational Representative (AOR) to review the decision. If a determination is made that imposing conditions or restrictions will be either ineffective or inequitable, and that the potential negative impacts that may arise from a potential COI are outweighed by interests of the applied research, the application or transfer of technology, or the public health or welfare, then, when permitted by applicable regulations, the Dean of Graduate Studies and Research and the Authorized Organizational Representative (AOR) may allow the research to go forward without referring the disclosure to Internal Audit.

12. Any significant COIs that arise at the time of proposal submission or during a research project must be disclosed. For PHS/NSF/NASA/DOE-funded research, the university must report any significant conflicting interests to the federal awarding component at time of application AND within 30 days of any new significant conflict of interest being discovered or acquired. Upon request, the university will make information available to the federal agency about all actual or perceived conflicting interests and how those interests are managed, reduced, or eliminated.

13. The university, via the provost or deans, relevant department chair/director, and research employee, must maintain records, identifiable to each research project, for each disclosure of COI, including the determinations by management (in consultation with Internal Audit) and the research employee’s actions in managing the conflict. These records must be maintained at least three years beyond the termination or completion of the research. This requirement complies with PHS regulation, 45 CFR 74.53(b). If a federal or state agency is reviewing the history of the conflict management, the records must be maintained for three years beyond such review.

(C) Applied research and/or technology transfer through research employee private enterprise involvement, including start-up companies:

1. Research employee start-up companies that are founded by or have a close relationship with university research employees are a valuable method of promoting economic development through applied research or the transfer of university-created knowledge and technology.

2. Companies started by others also encourage and foster applied research and the transfer of technologies from the university to private enterprise. Such companies may engage research employees in a variety of ways, including technical advising.

3. When engaged in applied research and/or technology transfer activities through the formation of start-up companies, the research employee must disclose actual or perceived COI to Internal Audit using the COI software program. Once the disclosure is received Internal Audit will then decide whether any of these activities are an actual or perceived conflict(s) with the research employee’s duty to the university or the research in which the research employee is engaged. If any actual or perceived conflicts are identified, Internal Audit will work with the research employee (and chair/director/dean as needed) to disseminate any pertinent information regarding significant conflicts that require a mitigation plan for grant-funded faculty/staff. In the event a conflict requires a mitigation plan, Internal Audit will refer the conflict to management who will initiate a mitigation plan. Management will discuss with Internal Audit how they plan on implementing the mitigation plan. Once finalized, management will forward the mitigation plan to Internal Audit for automated filing.

The university will:

1. Ensure that the provost, appropriate dean, Dean of Graduate Studies and Research, Authorized Organizational Representative (AOR), and relevant department chair/director are aware of the research employee’s enterprise;

2. Manage any COI through the provost, appropriate dean, Dean of Graduate Studies and Research, Authorized Organizational Representative (AOR), and appropriate chair/director; Internal Audit will work with the research employee (and chair/director/dean as needed) to disseminate any pertinent information regarding significant conflicts that require a mitigation plan for grant-funded faculty/staff. In the event a conflict requires a mitigation plan, Internal Audit will refer the conflict to management who will initiate a mitigation plan. Management will discuss with Internal Audit how they plan on implementing the mitigation plan. Once finalized, management will forward the mitigation plan to Internal Audit for automated filing.

iii. Manage all intellectual property disclosed to the Intellectual Property Committee.

1. Not take equity ownership in the private start-up enterprise that utilizes university intellectual property.

The research employee will:

1. Fully disclose any significant financial interest or other potential, actual, or perceived COI to Internal Audit.

2. Comply with all applicable university policies, including employment, intellectual property, and COI polices.

vii. Fully disclose her/his relationship to any start-up company to anyone working on his/her research or related research, including co-investigators, research assistants, trainees, fellows, or students, and to subcontractors working on related research.

viii. Not allow her/his relationship to the start-up company to impair the rights of any graduate or undergraduate student or university employee. A research employee must never allow outside interests to impair a student’s best interests including right to publish, progress toward degree, or opportunities for related training and experience.

1. Never compromise the safety and health of a research subject based on the research employee’s outside interests. Any outside COI related to research involving human subjects must be disclosed to the Institutional Review Board (IRB) for their consideration in the IRB review and management of research protocols, as well as to Internal Audit.

2. Disclose any potential COI’s to Internal Audit. The research employee, in collaboration with management, must develop a suitable management strategy for an identified COI. Internal Audit will work with the research employee (and chair/director/dean as needed) to disseminate any pertinent information regarding significant conflicts that require a mitigation plan for grant-funded faculty/staff. In the event a conflict requires a mitigation plan, Internal Audit will refer the conflict to management who will initiate a mitigation plan. Management will discuss with Internal Audit how they plan on implementing the mitigation plan. Once finalized, management will forward the mitigation plan to Internal Audit for automated filing.

(D) Approved private use of university resources:

The Ethics in Public Service Act (RCW 42.52) was revised in 2005 with respect to university-approved research, researcher consulting, and technology transfer. A new section (safe harbor provisions) of RCW 42.52 provides that the university may have an administrative process to allow approved private use of university facilities, equipment, and staff time to advance the university’s research and technology transfer mission. The university costs must either be de minimis or the activity must be a pre-approved outside professional activity. The university must be reimbursed for all costs which are more than de minimis pursuant to a contract with the university for use of facilities or resources. If the contract only utilizes existing university resources, a facility use agreement may be used.  If the contract includes deliverables such as experimental design or data analysis, a contractual, sponsored program agreement, which includes a description of expectation and deliverables, should be utilized. In no instance may a philanthropic donation be used to reimburse the university for the costs of providing such facilities or resources.

University policy will conditionally allow the private use of university facilities for applied research and technology transfer activities, provided that:

1. Appropriate university offices, including the office of graduate studies and research, the finance and administration office, the intellectual property committee, the office of business affairs, and the office of the provost shall work closely to collectively determine that private use is acceptable under tax law and does not conflict with grant requirements or existing university obligations. Such offices will consult, as appropriate, with the university’s legal counsel.

2. All projects which include a potential COI must have management assurance (in consultation with Internal Audit) that a COI does not exist or that the COI can be appropriately managed prior to facility use. 

3. All projects are subject to approval by the appropriate dean and/or provost using established university approval mechanisms. As noted above, such activities may not be supported by philanthropic donations.
 
4. All projects must comply with and not interfere with state and federal research projects underway in the research employee’s lab.
 
5. If any employee(s) of a start-up company or other private entity wishes to be included as named participants on any research contract with the private entity, the request will be referred to management. Management (in consultation with Internal Audit) will determine whether the integrity of the research will be compromised by the proposal and if the COI can be managed, reduced, or eliminated. Internal Audit will work with the research employee (and chair/director/dean as needed) to disseminate any pertinent information regarding significant conflicts that require a mitigation plan for grant-funded faculty/staff. In the event a conflict requires a mitigation plan, Internal Audit will refer the conflict to management who will initiate a mitigation plan. Management will discuss with Internal Audit how they plan on implementing the mitigation plan. Once finalized, management will forward the mitigation plan to Internal Audit for automated filing.
 
6. Except to the extent provided by other applicable university intellectual property policies and/or contracts, all inventions arising from university research are owned by the university and subject to an option to negotiate additional licenses. Joint ownership may be possible if private entity employees separately contribute to the invention.
 
7. Students (including employed graduate research assistants) in the research employee’s lab will not be permitted to function as employees of a private entity in which the research employee has an interest without obtaining prior permission from the chair/director, dean (as appropriate), and Provost. The students must be free to pursue publication, advance in their line of study, and publish their thesis without restriction.

(7) Guidance for De Minimis and Contracted Use of University Resources in Applied Research and/or Technology Transfer Activities

(A) The revised Ethics in Public Service Act, RCW 42.52, recognizes that limited private use of university resources by university research employees for applied research and/or technology transfer activities will not undermine public trust and confidence and can advance the mission of the university.

If the applied research/technology transfer activity and the planned use of university resources has prior approval by the supervising department chair and dean, a research employee may use his or her personally assigned offices, telephones, computer, e-mail account, internet connections, and comparable types of personally-assigned equipment to conduct outside applied research/transfer technology activities if:

1. There is little or no additional cost to the university;

2. Any use is reasonable in duration and frequency and is the most effective use of time or resources;

3. The use does not interfere with the performance of the official duties of either the university research employee, other university employees, or students;

4. The use does not disrupt or distract from the conduct of university business due to volume or frequency;

5. The use does not disrupt other university employees and does not obligate other university employees to make unauthorized uses of university resources; and

6. The use does not compromise the security or integrity of university property, information, or IT network.

7. The use is otherwise consistent with this and other applicable university policies and with the standards under 42 CFR Part 50, Subpart F, relating to the promotion of objectivity in research.

(B) The following resources may not be used for outside applied research and/or technology transfer activities unless a sponsored research agreement between the outside entity and the university has been approved to use the stipulated university resources for the contractual purpose.

1. Long-distance or other toll calls or use of a university cell phone.
 
2. Paper and other university consumables.
 
3. Time of other university employees during the employee’s assigned work.
 
4. Assistance of a graduate student.
 
5. University laboratories, laboratory supplies, or hardware.
 
6. University research support including but not limited to grant and sponsored project administration.
 
7. Equipment that is assigned to another university employee or student.
 
8. University-owned intellectual property.

(8) Failure to Comply with University COI Policy - Sanctions

(A) Any university employee shall report to Internal Audit, the Dean of Graduate Studies and Research and the Authorized Organizational Representative (AOR) any investigator or research employee who he or she believes has:

1. Failed to file a required report.
 
2. Knowingly filed a false or misleading report.
 
3. Refused to cooperate with Internal Audit or compliance officer in implementing this policy.
 
4. Substantially and knowingly failed to observe the terms of a conflict mitigation plan adopted by management.
 
5. Knowingly failed to report a COI.
 
6. Used university resources for outside applied research and/or technology activities in a manner that did not comply with this policy, which includes breach of a contract between the research employee and the university for use of resources.

(B) The Dean of Graduate Studies and Research and the Authorized Organizational Representative (AOR), in consultation with Internal Audit, shall review the report and attempt to resolve the matter. If a resolution is not achieved, and if the dean, in consultation with Internal Audit, determines that a violation of university rules may have occurred, he or she may initiate such corrective action or disciplinary proceedings as may be indicated after consultation with human resources or faculty relations, whichever is applicable. 

Failure to comply with this policy may result in action under federal or state law against the investigator or research employee. If the COI involves a research project administered by the university, any action legally required by the funding agency will also be taken.

(C) For PHS-funded research: In accordance with 42 CFR Part 50, Subpart F, if the investigator’s or research employee’s failure to follow conflict of interest policy has biased the research, the university is required to promptly notify the PHS-awarding component of the corrective action taken or to be taken.

(D) If HHS determines that a PHS-funded project to evaluate a drug, medical device, or treatment was conducted by an investigator or research employee with a conflict that was not disclosed or managed, the university requires the investigator or research employee to disclose the conflict in each public presentation of the results of the research.

The Dean of Graduate Studies and Research or other designee through the Provost/VP for Academic & Student Life and the Authorized Organizational Representative (AOR) is responsible for this policy and relevant procedure, CWUP 2-40-165.

 [Responsibility: Graduate Studies and Research, Authority: Provost's Council; 1/25/2022, Reviewed/Endorsed by: UPAC, Review/Effective Date: 12/02/09, 03/02/22; 1/25/24 (reviewed); Approved by: A. James Wohlpart, President]

 

CWUP 2-40-170 Security for Public and Special Events

(1) Event Security – The chief of University Police and Public Safety bears responsibility for security at all public and special events. He will discuss and plan the security needs for any such events with the sponsor(s) of such events, but he may not surrender his responsibility.

(2) Need for Security – Sponsors of events expected to generate crowds of 100 persons or more, or any event requiring unusual security must initiate discussion with the chief of university police and public safety concerning security for the anticipated event no fewer than ten (10) days in advance to allow for appropriate planning. Any charges for extra security expenses will be billed to the sponsoring organization.

The nature of the event may, at the discretion of the chief or designee, permit the assignment of on duty campus safety officers at no extra charge.

Events requiring unusual security arrangements are defined as those events requiring security arrangements beyond the capacity of the regular on-duty university police officers to handle adequately, in the judgment of the chief or designee.

(3) Security Personnel – The chief or designee of public safety and police services may, for public and special events, assign student security personnel, police officers, Ellensburg City Police, Ellensburg Police Department Auxiliary, Kittitas County Deputies, Kittitas County Auxiliary, or any combination of the above, by agreement with the sponsors.

(4) Pay Rate – Those additional security personnel assigned from off-duty status will be paid at the following rates:

1. University Police Officers at time and one half;

2. Ellensburg Police Department, Ellensburg Police Department Auxiliary, Kittitas County Sherriff's Office, Kittitas County Sherriff's Office Auxiliary at the prevailing rate;

3. Set at prevailing student rate, minimum charge will be for two hours. 

(5) Further Provisions – In some events plain clothes officers may be used. There will always be some form of direct, immediate communication between the security personnel at the scene and uniformed officers.

(6) Supervision – Police and security personnel employed by the chief of University Police and Public Safety will answer only to the supervisor designated by the chief or designee. The senior officer present at the event on campus will be assigned as supervisor. They will not normally be assigned or permitted to perform non-security or non-safety tasks. 

(7) Termination of Events – If circumstances and conditions at any public event make it appear that the safety of persons or property is in imminent danger, the officer assigned as supervisor will so notify the university to make necessary changes or corrections, and if action by security personnel is ineffective or inadvisable, the senior officer will then notify and confer with the chief or designee, if possible, or the next available superior. 

If circumstances and conditions place persons or property in imminent danger, continue or increase in severity, and no other remedy becomes apparent, the event will be terminated by order to the chief or designee or the next available university official superior of the senior university police and public safety officer assigned to the event.

The event will be terminated only when it appears that no other means is available to reduce or eliminate the danger to safety of persons or property and when it appears that by terminating the event such danger can be obviated.

Before terminating the event, the official ordering the termination will notify the university sponsor or manager or representative of same, in person if possible, of intention to terminate the event.

[Responsibility: VP of Operations; Authority: Cabinet/UPAC; Reviewed/Endorsed by: Cabinet/UPAC; Review/Effective Date: 09/1992; 08/23/2019; Approved by: James L. Gaudino, President]

CWUP 2-40-180 Smoking in Public Places or Places of Employment

1. Compliance (A) Central Washington University complies with RCW 70.160.020, 70.160.011 and 70.160.030 which prohibit smoking in public places or places of employment. The policy is enforced on campus or on any off-campus site for which the university is directly responsible or for which it is legally accountable except in designated areas, including any off-campus site which has been leased or rented, and any university owned vehicle. (B) In addition to those areas designated as non-smoking under RCW 70.160.020, the east and west patios of the student union and recreation center are designated as non-smoking. (C) Supervisors are responsible for instructing staff responsible for any off-campus site in the intent of the law and assist in every reasonable way in carrying out the university's responsibility regarding such off campus sites. (D) This prohibition includes electronic cigarettes (e-cigarettes), battery powered devices of many different configurations that deliver vaporized nicotine and other chemicals or flavorings to users, but that do not contain tobacco or require combustion. 2. Designated Smoking Areas (A) The president may designate smoking areas provided that such designation is permissible under the law. The university is not required to incur any expense or make structural or other physical modifications to provide designated smoking areas. No public place under the control of the university may be designated as a smoking area in its entirety. (B) Each vice president (or equivalent) may recommend possible designated smoking areas to the president. All due consideration of allowances and limitations contained within the law shall be made. The list of areas recommended to be "designated areas" shall be approved by the president. The list of approved "designated areas" shall be examined and evaluated at appropriate intervals for continuing validity and utility. (C) The university will post signs prohibiting or permitting smoking as appropriate. The boundary between a smoking area and a nonsmoking area shall be clearly designated so that persons may differentiate between the two areas. The facilities maintenance and operations department is responsible for the procurement, posting, and maintenance of appropriate signs as required by law. [PAC: 9/25/85; 06/06/2012. Reviewed/Endorsed by: Cabinet/UPAC; Review/Effective Date: 02/11/2015; Approved by: James L. Gaudino, President]

CWUP 2-40-190 Speakers

(1) Any faculty, staff or recognized student group may invite to the campus any speaker the group would like to hear.

(2) The appearance of an invited speaker on the campus does not involve an endorsement either implicit or explicit, of her or his views by this university, its faculty, its administration, or its board of trustees.

(3) Provisions of the university event policy (CWUP 2-40-100) apply to all guests of the university, including speakers.

[PAC: 11/04/09]

CWUP 2-40-200 Use of State Funds for Light Refreshments and Meals

Reference: OFM State Administrative & Accounting Manual

Authority: RCW 43.03.050(4)

(1) General. University funds cannot be expended for hosting activities related to lobbying or social gatherings.

(2) Light Refreshments. University funds may be used to serve light refreshments in certain circumstances subject to programmatic and fund approval by the principal budget administrator (PBA). Light refreshments include non-alcoholic beverages and edible items commonly served between meals, but not intended to substitute for meals. See SAAM 70.10 for rules.

(A) In order to meet state reporting requirements, a memorandum of approval for the payment for light refreshments signed by a principal budget administrator in advance of the event must include the amount to be spent, the purpose of the event, and the estimated number of people attending the event.

(B) The university may pay for the purchase of non-alcoholic beverages and other light refreshments for the exclusive consumption of uncompensated volunteer committees or groups who work on university projects, provided that:

1. the principal budget administrator formally approves in writing the need for the activity;

2. the activity is held in a locality other than the “official workstation” of the majority of the volunteers; and,

3. the majority of attendees at the activity are volunteers.

(C) RCW 41.60.150 allows recognition awards for outstanding achievements, safety performances, and longevity. Expenditures for light refreshments may be made as part of the award. The total amount for the award may not exceed $200 per award.

(3) Meals. University funds may be used to pay for meals at meetings when the purpose of the meeting is to conduct official university business or training. See SAAM 70.15 for rules.

(4) Prospective Employee Interview Expenses. SAAM 70.20 defines the circumstances when university funds may be used to pay a prospective employee for their necessary travel expenses.

(5) Grant Funds (Fund 145) – Prior to expenditure of grant funds for food, light refreshment or meals, the Grants Office must determine if the expenditure is allowable under the grant rules. Once the determination is made that the expense is allowable, grant purchases are subject to the same policy and procedures as state funds; however, there are times when a grant specifically authorizes the purchase of food, meals, or light refreshments that would not be allowed with general operating funds. In that case, the Grants Office will attach documentation that shows the special grant circumstances that allow the purchase.

(6) Student Activity Funds – Generally speaking, refreshment may be served as incidentals of approved student programs such as graduation ceremonies, scholarship convocations, student activity or club meetings, student awards, student work sessions, etc.) Activities funded by service and activity fees are subject to the applicable policies.

(7) Policies for Food Purchased as a Supply or for Resale – Certain university activities require the purchase of food that is not subject to state meals and light refreshments policies. For example, a designated state-funded lab or research project may purchase food as an instructional or research supply. Or, a specific self-support program may purchase food for resale or for a fundraiser.

[10/01/2008; Responsibility: CFO/BFA; Authority: RCW 43.03.050(4); Reviewed/Endorsed by: UPAC; Review/Effective Date: 03/06/2013; Approved by: James L. Gaudino, President]

CWUP 2-40-210 State Property

(1) Use of University Resources - Overview (In conformity with RCW 42.52.160 and WAC 292-110-010)

University officers and employees are obligated to conserve and protect state resources for the benefit of the public interest, rather than their private interests. Responsibility and accountability for the appropriate use of state resources ultimately rests with the individual university officer and employee, or with the officer or employee who authorizes such use.

A university employee may not use state resources under his or her official control, direction, or custody for private benefit or gain of the employee or any other person. Resources include any person, money or property.

A university employee may use his or her own business stationery or letterhead carrying his or her university title and may use his or her official title in correspondence and reports pertaining to work outside the university, but may not use university stationary for these purposes.

(2) Resource Use Prohibitions - The following private uses of state resources are specifically prohibited (as set forth in WAC 292-110-010) even if there is no cost to the university and the use does not interfere with the performance of official duties:

(A) Any use for the purpose of conducting an outside business;
(B) Any use to promote, support, or solicit for an outside organization, charity, or group unless provided for by law or authorized by the university president or designee;
(C) Any use for the purpose of assisting a campaign for election of a candidate to any office or to oppose or promote a ballot proposition;
(D) Any use for commercial purposes such as advertising or selling;
(E) Any illegal activity or activities incompatible with a professional workplace; or
(F) Any lobbying activity unless authorized by law.

"Resource use prohibitions" are subject to the following qualifications and limitations:

1. Use of university resources in political campaigns (RCW 42.52.180): The facilities of the university are broadly construed to include, but are not limited to, stationary, postage, machines, equipment, use of state employees during working hours, vehicles, office space, publications of the university, and client lists of persons served by the university. It is a violation of the ethics law to use public resources for political campaigns. Knowing acquiescence by an employee with authority to direct, control, or influence the action of an employee using public resources in violation of this section constitutes a violation of the ethics law.

Exceptions to this prohibition apply to elected officials and to activities that are normal and regular conduct of the university.

A university employee may not make private use of any university property (laptop computer, equipment, tools, vehicles, etc), which has been removed from the university facilities or other official duty station, even if there is no cost to the state.

A university employee or student may, with appropriate approval, temporarily use state property at his or her place of residence to facilitate the performance of services for which he or she is contracted. However, a property removal/identification authorization form should be completed and approved by the appropriate supervisor before any property is relocated from the university. The form may be obtained from the inventory control officer or the web site.

Materials of the university library, the IMC center, or a university storeroom, are exempted from these procedures and subject to unit procedures.

(3) Occasional/Limited Use of Resources - The Executive Ethics Board has adopted guidelines for exceptions to the no personal use standard. These exceptions are narrowly construed and do not apply to all uses. University officials may authorize occasional but limited (de minimis) personal use of state resources only if:

(A) The use is not specifically prohibited or subject to the qualifications and limitations noted in section 2-40-210 (2);
(B) There is little or no cost to the university;
(C) The use of university resources does not interfere with the performance of official duties;
(D) The use is brief in duration and frequency;
(E) The use does not disrupt or distract other university employees and does not obligate them to make personal use of state resources; and
(F) The use does not compromise the security or integrity of university information or software.

Occasional local telephone calls for medical and dental appointments, childcare arrangements, transportation coordination, etc. are acceptable. Occasional and brief personal email messages are acceptable. Regularly using university resources for activities addressed by this de minimis section during break periods is not acceptable.

A university employee may use university computers, electronic mail, and Internet web pages for occasional or limited private use if the use is limited in time and is infrequent, not every day. Personal use of university e-mail distribution lists is prohibited.

(4) Authorized Personal Use - University officials may authorize a personal use that promotes organizational effectiveness or enhances the job-related skills of a university employee. In addition, university officials may authorize a use of state resources that is related to an official university purpose but not directly related to an employee's official duty, for example, conducting the university's combined fund campaign. The designated university employee to provide authorization is the executive assistant to the president.

(5) Reimbursement - A university employee may not avoid a violation of the use of resources policy by making private use of university resources and subsequently reimbursing the university so there is no actual cost to the university.

(6) Consultation - A person seeking advice or an interpretation regarding activities that may constitute violations of the state ethics law should consult with the university's Department of Internal Audit.

Although the Department of Internal Audit does not have institutional authority to make final decisions regarding ethics matters, it may provide advice based on the facts presented. The advice includes relevant criteria university employees should consider when making decisions regarding potential violations of the state ethics law.

[Responsibility: VP BFA; Authority: Cabinet/UPAC; Review/Endorsed by: PAC; Review/Effective Date: 10/02/2002; Approved by: James L. Gaudino, President]

CWUP 2-40-220 Voice Mail

All university faculty, exempt, and civil staff by virtue of their use of Central Washington University telephone services accept the responsibility of using these resources only for appropriate university activities.

Information technology resources include voice mail telephone services.

(A) Voice mail service is provided to faculty, staff, and administrators who use the university's telephone system.

(B) Each employee's voice mailbox has a capacity of 15 mail messages. These messages may be archived messages or messages not yet listened to.

(C) The voice mail system purges all messages that are 15 days or older.

(D) Messages may be saved for up to 15 days.

(E) Employees away from their station for extended periods of time have two options. The voice mail system may be accessed remotely or an extended absence greeting may be left on the system for callers.

(F) All messages left on voice mail will be deleted after 15 days whether listened to or not.

[6/22/1999; Responsibility: AVP of ISS; Authority: Cabinet; Review/Endorsed by: President's Cabinet; Review/Effective Date: 04/2006; Authorized by: A. James Wohlpart, President]

CWUP 2-40-230 Whistleblower Act

The Whistleblower Act (RCW 42.40) encourages employees of the state of Washington to report improper governmental actions and protects the rights of state employees making disclosures to the Office of the State Auditor or some other designated public official. https://www.sao.wa.gov/report-a-concern/how-to-report-a-concern/whistleblower-program/

(1) Improper governmental action is defined as any action by an employee undertaken in the performance of the employee's official duties which:

(A) Is a gross waste of public funds or resources,

(B) Is in violation of federal or state law or rule, if the violation is not merely technical or of a minimum nature,

(C) Is of substantial and specific danger to the public health or safety,

(D) Is gross mismanagement,

(E) Prevents dissemination of scientific opinion or alters technical findings,

(F) Violates the Washington State Administrative Procedure Act (RCW 34.05).

(2) Personnel actions (e.g., appointments, promotions, transfers, assignments, reassignments, demotions, etc.) are not considered improper governmental actions.

(3) Public officials are those individuals who are designated to receive whistleblower reports. These officials include the attorney general's designee or designees; the university president; several specific individuals designated by the president; and the executive ethics board. The current list of designated public officials is available in the CWUR 3-20-010 Whistleblower Complaints).

[05/04/2011; Responsibility: VP of BFA; Authority: RCW 42.40; Cabinet/PAC; Reviewed/Endorsed by: Cabinet/PAC; Review/Effective Date: 06/06/2012;12/11/18; 02/19/2020; Approved by: James L. Gaudino, President]

CWUP 2-40-240 Campus Security and Safety Policy

Central Washington University is committed to the safety and security of students, faculty, staff and visitors in all buildings and grounds owned, leased and/or operated by CWU. It safeguards the campus community and facilities by identifying conditions or circumstances that may pose risk, and establishes reasonable practices that support a safe and secure environment. All faculty, staff, students and other members share responsibility for the safety and security of the institution and must conduct university activities and operations in compliance with applicable federal and state regulations and other university policies.

The Crime Awareness and Campus Security Act, commonly referred to as the Jeanne Clery Act is contained in Section 485 of the Higher Education Act, a Federal law. This Act requires certain institutions of higher education, such as Central Washington University, to have policies and procedures and take specific measures relative to campus security, safety and crime reporting. These procedures are available at CWUR 7-80-020.

[Responsibility: Operations; Authority: Cabinet/UPAC; Review//Endorsed by: Cabinet: 04/24/2013: Review/Effective Date: UPAC 05/01/2013; 11/04/2020; Approved by: James L. Gaudino, President]

CWUP 2-40-250 Responding to Allegations of Research/Scholarly Misconduct

(1) Mission.

Misconduct in research/scholarship runs contrary to Central Washington University's mission as an institution of higher education, undermines the public trust placed in the research enterprise of our nation's colleges and universities, and wastes valuable public and private resources. Therefore, it is the policy of Central Washington University to neither condone nor tolerate research/scholarly misconduct by any member of its community.

(2) Scope.

This policy is intended to carry out CWU's responsibilities under the Public Health Service (PHS) Policies on Research Misconduct, as well the corresponding policies on research/scholarly misconduct of a variety of federal funding agencies.

This policy applies to allegations of research/scholarly misconduct (fabrication, falsification, or plagiarism) in proposing, performing, or reviewing research, or in reporting research results involving a person who, at the time of the alleged research/scholarly misconduct, was employed by, was an agent of, was under the authority of, or was affiliated by contract or agreement with CWU. This policy applies to all members of the university community, including faculty, staff, and graduate and undergraduate students.

Research/scholarly misconduct (as defined in this policy) is a specific instance of impropriety within the broader domain of personal and professional conduct. Allegations of misconduct outside the scope of this policy should be directed to the appropriate department chair, dean, director, vice president, Faculty Senate, or other university official. In cases where students are alleged to have committed plagiarism, falsification, or fabrication in scholarship/research, the Research Integrity Officer (RIO) and Dean of Student Success will decide which process will be followed to be consistent with the WACs for student conduct. In cases where classified, exempt, or temporary staff are alleged to have committed plagiarism, falsification, or fabrication in scholarship/research, the RIO and the staff member's supervisor and/or Principal Budget Authority will decide which process will be followed to preserve staff rights. This policy does not distinguish between funded and unfunded research/scholarly activities, except where it refers to specific agency requirements, and does not apply to authorship or collaboration disputes.

(3) Definitions.

(A) Deciding Official/DO: The DO is provost and vice president for academic and student life, or his/her designee as assigned by the president. The Deciding Official (DO) is the institutional official who makes final determinations on allegations of research/scholarly misconduct and any institutional administrative actions. The DO will not be the same individual as the Research Integrity Officer (RIO) and should have no direct prior involvement in the institution's inquiry, investigation, or allegation assessment. A DO's appointment of an individual to assess allegations of research/scholarly misconduct, or to serve on an inquiry or investigation committee, is not considered to be direct prior involvement.

(B) Fabrication: Fabrication is making up data or results and recording or reporting them.

(C) Falsification: Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.

(D) Inquiry: Inquiry means gathering information and initial fact-finding to determine whether an allegation or suspected research/scholarly misconduct warrants an investigation.

(E) Investigation: Investigation means the formal development of a factual record and the examination of that record leading to:

1. A decision not to make a finding of research/scholarly misconduct, or

2. A recommendation for a finding of research/scholarly misconduct which may include a recommendation for other appropriate actions, including administrative actions.

(F) ORI: ORI is the Office of Research Integrity of the Public Health Service (PHS), a federal office promoting integrity in biomedical and behavioral research supported by the PHS by monitoring institutional investigations of scientific misconduct and facilitating the responsible conduct of research.

(G) Plagiarism: Plagiarism means the appropriation of another person's ideas, processes, results, or words without giving appropriate credit.

(H) Research Integrity Officer: The RIO is the Dean of the School of Graduate Studies and Research (SGSR) or his/her designee assigned by the president. Research Integrity Officer (RIO) means the institutional official responsible for:

1. Assessing allegations of research/scholarly misconduct to determine if they fall within the definition of research/scholarly misconduct and warrant an inquiry on the basis that the allegation is sufficiently credible and specific so that potential evidence of research/scholarly misconduct may be identified;

2. Overseeing inquires and investigations; and

3. Other responsibilities as described in this policy.

(I) Research/scholarly misconduct: Research/scholarly misconduct means fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results. It does not include honest error or differences of opinion. A finding of research/scholarly misconduct requires that there be a significant departure from accepted practices of the relevant research community; that the misconduct be committed intentionally, knowingly, or recklessly; and that the allegation be proven by a preponderance of the evidence.

(J) Respondent: Respondent means the person against whom an allegation of research/scholarly misconduct is directed or the person whose actions are the subject of the inquiry or investigation. There can be more than one respondent in any inquiry or investigation.

(4) Responsibility to report misconduct.

All institutional members have an explicit duty to report observed, suspected, or apparent research/scholarly misconduct to the RIO. An allegation of misconduct in research/scholarship, defined as a disclosure of possible research/scholarly misconduct through any means of communication, should be made to the Dean of the School of Graduate Studies and Research, who is the university's RIO. Promptly after receiving a disclosure of possible research/scholarly misconduct through any means of communication, the RIO shall assess the allegation to determine if an inquiry will be conducted. An inquiry is warranted if:

(A) It meets the definition of research/scholarly misconduct;

(B) It involves either the research, applications for research support, or research records; and,

(C) The allegation is sufficiently credible and specific so that potential evidence of research/scholarly misconduct may be identified.

(5) Inquiry.

(A) Appointing the inquirer.

The RIO shall appoint an inquirer who shall complete the inquiry within 60 calendar days of its initiation, unless circumstances warrant a longer period. The inquirer shall conduct the review, prepare the inquiry report, solicit comments on the report from the respondent, consider the respondent's comments, and issue the final inquiry report within the 60 day period. If the inquiry takes longer than 60 days to complete, the inquirer shall include documentation of the reasons for the delay in the inquiry record.

1. The purpose of the inquiry is to determine whether there is reasonable cause to believe misconduct occurred and whether a formal investigation is recommended.

2. Upon appointment, the inquirer will receive a briefing from the RIO and the University Legal Counsel on the relevant misconduct guidelines, federal regulations, and the legal parameters of the inquiry.

(B) The inquiry report.

The inquiry report shall contain the following information:

(1) The name and position of the respondent(s);

(2) A description of the allegations of research/scholarly misconduct;

(3) The federal or sponsor support involved, including, for example, grant numbers, grant applications, contracts, and publications listing support;

(4) The basis for recommending that the alleged actions warrant an investigation; and

(5) Any comments on the report by the respondent or the complainant.

(C) The inquiry determination.

1. The RIO will transmit the final inquiry report and any comments to the DO, who will determine in writing whether an investigation is warranted. The inquiry is completed when the DO makes this determination. In making his or her determination, the DO may take into account the information provided by the inquirer and any oral or written statements made by the person accused of misconduct. The DO may choose not to proceed with an investigation if there is no reason to believe the misconduct occurred or if the person accused of misconduct admits the misconduct occurred and it is determined that an investigation will not likely uncover further information necessary to reach a final conclusion regarding the allegation. The inquiry determination period should be brief, preferably concluded within a week.

2. The RIO shall notify the person who reported the alleged misconduct and the person accused of misconduct of the DO's determination and recommendations in writing. If an investigation is to be conducted, the notification shall include a clear statement of the allegations to be investigated. If a decision not to investigate is rendered, the complainant may appeal the decision of the DO to the President who will render the final decision of the University. The complainant must file a written appeal within 30 days of the committee's completion of the investigation report.

3. The RIO will notify granting agencies supporting the research/creative activity under investigation as may be required by the granting agency, state or federal law or regulations.

(6) Investigation.

(A) Appointment of Investigators.

1. If the inquiry results in a determination that an investigation is warranted, the RIO shall appoint investigators to conduct the investigation. The investigator may be either:

a. A group of institutions, professional organizations, or mixed groups which will conduct research/scholarly misconduct proceedings for other institutions, or

b. Other persons that the RIO reasonably determines to be qualified by practice or experience to conduct research/scholarly misconduct proceedings.

(B) Investigation Timelines

The appointed investigator(s) shall begin the investigation within 30 calendar days of the RIO's written determination. On or before the date on which the investigation begins, the RIO will send the inquiry report and the written determination to the Office of Research Integrity [ORI], or other federal agency, if required under federal regulations.

The investigation is to be completed within 120 days of its initiation, including conducting the investigation, preparing the report of findings, providing the draft report for comment and sending the final report to ORI (for PHS funded activities) or other pertinent agencies as required by regulation. However, if the RIO determines that the investigation will not be completed within this 120-day period, he/she will submit to ORI (or other pertinent agency as required by regulation) a written request for an extension, setting forth the reasons for the delay. The RIO will ensure that periodic progress reports are filed with ORI (or other pertinent agency as required by regulation), if ORI/other pertinent agency grants the request for an extension and directs the filing of such reports. This time period does not apply to separate personnel actions which may be undertaken as a result of the investigation.

(C) Conduct of the investigation.

In conducting all investigations, CWU shall:

1. Use diligent efforts to ensure that the investigation is thorough and sufficiently documented and includes examination of all reasonably available research records and evidence relevant to reaching a decision on the merits of the allegations;

2. Interview each respondent, complainant, and any other available person who has been reasonably identified as having information regarding any relevant aspects of the investigation, including witnesses identified by the respondent and record or transcribe each interview, provide the recording or transcript to the interviewee for correction, and include the recording or transcript in the record of investigation;

3. Pursue diligently all significant issues and leads discovered that are determined relevant to the investigation by the investigator(s), including any evidence of additional instances of possible research/scholarly misconduct, and continue the investigation to completion; and

4. Otherwise comply with the requirements for conducting an investigation in the federal regulations that may apply based upon the funding source for the research/scholarship.

(D) Requirements for findings of research/scholarly misconduct.

A finding of research/scholarly misconduct under this policy requires that:

1. There is a significant departure from accepted practices of the relevant research community; and

2. The misconduct was committed intentionally, knowingly, or recklessly; and

3. The allegation of misconduct is proven by a preponderance of the evidence.

(E) Investigation report.

The Investigator(s) shall prepare the draft and final institutional investigation reports in writing and provide the draft report for comment by respondent in a manner consistent with applicable federal regulations. The final investigation report shall:

1. Describe the nature of the allegations of research/scholarly misconduct;

2. Describe and document the federal, state or private financial support, including, any grant numbers, grant applications, contracts, and publications listing federal, state or sponsor support;

3. Describe the specific allegations of research/scholarly misconduct considered in the investigation;

4. Include the institutional policies and procedures under which the investigation was conducted;

5. Identify and summarize the research records and evidence reviewed, and identify any evidence taken into custody, but not reviewed. The report should also describe any relevant records and evidence not taken into custody and explain why.

6. Provide a finding as to whether research/scholarly misconduct did or did not occur for each separate allegation of research/scholarly misconduct identified during the investigation, and if misconduct was found,

a. Identify it as falsification, fabrication, or plagiarism and whether it was intentional, knowing, or in reckless disregard,

b. Summarize the facts and the analysis supporting the conclusion and consider the merits of any reasonable explanation by the respondent and any evidence that rebuts the respondent's explanations,

c. Identify the specific federal, state or other grant support for the research/scholarship;

d. Identify any publications that need correction or retraction;

e. Identify the person(s) responsible for the misconduct, and

f. List any current support or known applications or proposals for support that the respondent(s) has pending with federal, state or private agencies; and

g. Include and consider any comments made by the respondent and complainant on the draft investigation report.

5. Upon receipt of the report, the DO shall determine whether the institution accepts the findings in the report. If any finding is not accepted, the finding and the reasons why it is not accepted shall be identified and included in a written report by the DO.

CWU shall maintain and provide to ORl upon request all relevant research records and records of our research/scholarly misconduct proceeding, including results of all interviews and the transcripts or recordings of such interviews.

(7) Confidentiality and protection of reputations.

The RIO shall make all reasonable and practical efforts to maintain confidentiality, consistent with federal regulations and institutional policy, and to:

(A) Limit disclosure of the identity of respondents and complainants to those who need to know in order to carry out a thorough, competent, objective and fair research/scholarly misconduct proceeding; and

(B) Except as otherwise prescribed by law, limit the disclosure of any records or evidence from which research subjects might be identified to those who need to know in order to carry out a research/scholarly misconduct proceeding. The RIO should use written confidentiality agreements or other mechanisms to ensure that the recipient does not make any further disclosure of identifying information.

(C) Following a final finding of no research/scholarly misconduct, including ORI or other pertinent agency concurrence, the RIO must, at the request of the respondent, undertake all reasonable and practical efforts to restore the respondent's reputation. Depending on the particular circumstances and the views of the respondent, the RIO should consider notifying those individuals aware of or involved in the investigation of the final outcome, publicizing the final outcome in any forum in which the allegation of research/scholarly misconduct was previously publicized, and expunging all reference to the research/scholarly misconduct allegation from the respondent's personnel file. Any institutional actions to restore the respondent's reputation should first be approved by the DO.

(8) Appointment of impartial inquirer or investigator.

(A) CWU shall take all reasonable steps to ensure an impartial and unbiased research/scholarly misconduct proceeding to the maximum extent practicable. CWU shall select those conducting the inquiry or investigation on the basis of subject expertise that is pertinent to the matter and, prior to selection, the RIO or designee shall screen them for any unresolved personal, professional, or financial conflicts of interest with the respondent, complainant, potential witnesses, or others involved in the matter. Any such conflict which a reasonable person would consider to demonstrate potential bias, shall disqualify the individual from selection.

(B) A respondent may request disqualification of an inquirer or investigator upon filing of a timely and sufficient affidavit of personal bias, lack of independence, or other basis for disqualification. The affidavit must state the facts and the reasons for the belief that the inquirer or investigator should be disqualified and must be filed not less than 5 days from the date the respondent receives notice of appointment of the inquirer or investigator. The RIO shall determine the matter and submit a written decision on the request for disqualification.

(9) Notice to respondent.

During the research/scholarly misconduct proceeding, CWU will provide the following notifications to all identified respondents:

(A) Initiation of inquiry.

Prior to or at the beginning of the inquiry, the RIO shall provide the respondent(s) with written notification of the inquiry and contemporaneously sequester all research records and other evidence needed to conduct the research/scholarly misconduct proceeding. If the inquiry subsequently identifies additional respondents, they shall be promptly notified in writing.

(B) Comment on inquiry report.

The inquirer shall provide the respondent(s) an opportunity to comment on the inquiry report in a timely fashion so that any comments can be attached to the report.

(C) Results of the inquiry.

The inquirer shall notify the respondent(s) of the results of the inquiry and attach to the notification copies of the inquiry report and these institutional policies and procedures for the handling of research/scholarly misconduct allegations.

(D) Initiation of investigation.

Within a reasonable time after the DO's determination that an investigation is warranted, but not later than 30 calendar days after that determination, the DO or designee shall notify the respondent(s) in writing of the allegations to be investigated. The DO or designee shall give respondent(s) written notice of any new allegations within a reasonable time after determining to pursue allegations not addressed in the inquiry or in the initial notice of the investigation.

(E) Scheduling of interview.

The investigator(s) will notify the respondent sufficiently in advance of the scheduling of his/her interview in the investigation so that the respondent may prepare for the interview and arrange for the attendance of legal counsel, if the respondent wishes.

(F) Comment on draft investigation report.

The investigator(s) shall give the respondent(s) a copy of the draft investigation report, and concurrently, a copy of, or supervised access to, the evidence on which the report is based and notify the respondent(s) that any comments must be submitted within 30 days of the date on which he/she received the draft report. The Investigator(s) shall ensure that these comments are included and considered in the final investigation report.

(G) Appeal.

Respondent shall be advised of his/her right to appeal the findings of the investigative report. The respondent may appeal the findings of the Investigative Report to the DO by filing a written appeal with the DO within 30 days of receipt of the report. The grounds for appeal would be that the report is not supported by the evidence, the policies were misapplied to the evidence or that new evidence that was not available to the Investigator should be considered in reaching a final decision. The respondent shall be given timely notification of the appeal process. Any appeal process must be completed within 120 days unless the institution has requested and received an extension from ORI. This 120 day deadline does not apply to institutional termination hearings that are conducted separately from the appeal process.

(10) Notice to ORI or other pertinent agencies of institutional findings and actions.

Unless an extension has been granted, the RIO must, within the 120-day period for completing the investigation (or the 120-day period for completion of any appeal), submit the following to ORI (in the case of PHS supported activities) or other pertinent agencies as required by regulation:

(A) A copy of the final investigation report with all attachments (and any appeal);

(B) A statement of whether the institution accepts the findings of the investigation report (or the outcome of the appeal);

(C) A statement of whether the institution found misconduct and, if so, who committed the misconduct; and

(D) A description of any pending or completed administrative actions against the respondent.

(11) Maintaining records for review by ORI or other pertinent agencies.

The RIO must maintain and provide to ORI (or other pertinent agencies as required by regulation) upon request records of research/scholarly misconduct proceedings. Unless custody has been transferred to HHS or ORI (or another pertinent agency) has advised in writing that the records no longer need to be retained, records of research misconduct proceedings must be maintained in a secure manner for seven years after completion of the proceeding. The RIO is also responsible for providing any information, documentation, research records, evidence or clarification requested by ORI or other pertinent agency to carry out its review of an allegation of research/scholarly misconduct or of the institution's handling of such an allegation.

(12) Completion of cases; reporting premature closures to ORI or other pertinent agencies.

Generally, all inquiries and investigations will be carried through to completion and all significant issues will be pursued diligently. The RIO shall notify ORI (or the pertinent agency as required by regulation) in advance if there are plans to close a case at the inquiry, investigation, or appeal stage on the basis that respondent has admitted guilt, a settlement with the respondent has been reached, or for any other reason, except:

(A) Closure of a case at the inquiry stage on the basis that an investigation is not warranted; or

(B) A finding of no misconduct at the investigation stage, which must be reported to ORI (or the pertinent federal agency), as described in this policy.

(13) Institutional administrative actions.

If the DO determines that research/scholarly misconduct is substantiated by the findings, he or she will decide on the appropriate actions to be taken, after consultation with the RIO and other institutional officials, including the appropriate collective bargaining unit leadership. The administrative actions may include:

(A) Withdrawal or correction of all pending or published abstracts and papers emanating from the research where research/scholarly misconduct was found;

(B) Removal of the responsible person from the particular project, letter of reprimand, special monitoring of future work, probation, suspension, salary reduction, or initiation of steps leading to possible rank reduction or termination of employment;

(C) Restitution of funds to the grantor agency as appropriate; and

(D) Other actions appropriate to the research/scholarly misconduct (in consultation with existing internal policies/procedures that may apply to the situation).

(14) Other considerations.

(A) Allegations not made in good faith:

If relevant, the DO will determine whether the complainant's allegations of research/scholarly misconduct were made in good faith, or whether a witness or committee member acted in good faith. If the DO determines that there was an absence of good faith he/she will determine, in consultation with other institutional officials, including the appropriate collective bargaining unit leadership, whether any administrative action should be taken against the person who failed to act in good faith.

(B) Eventual disposition/maintenance of inquiry and investigation reports:

The RIO will maintain copies of all the reports for at least the period required to fulfill reporting obligations to outside agencies. The DO and President may also have and maintain copies of reports. The inquiry and investigation reports will NOT become part of the respondent's personnel file maintained by Human Resources.

[Responsibility: President's Office; Authority: Cabinet/UPAC; Reviewed/Endorsed by: Cabinet/UPAC; Review/Effective Date: 06/07/2017; 06/13/18; Approved by: James L. Gaudino, President 06/07/2017; 06/13/18]

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