This policy applies to all University of Wisconsin System institutions when a contract with a research company is subject to Wis. Stat. § 946.13.
The purpose of this policy is to define the required elements of a management plan issued in relation to a contract between a UW System institution and a research company where Wis. Stat. § 946.13 may apply.
The Board of Regents recognizes the right of UW System employees to personal financial interests and the duty of the UW System to ensure that UW System activities are conducted with integrity. Where Wis. Stat. § 946.13 applies, the following elements must be incorporated into a management plan issued by the appropriate UW System institution’s institutional body or individual responsible for evaluating and managing potential conflicts of interest:
- Reporting of outside activities. The university employee must submit annual and updated reports of outside activities consistent with institutional requirements and processes.
- Use of university facilities and services. Any activity involving the use of university facilities or services for the benefit of the research company must be conducted in accordance with all institutional and system policies and state and federal laws pertaining to the use of university facilities and services. Except with respect to use of facilities and services made available for general public use in accordance with established rates and conditions applicable to all users, any such activity must be approved by the university employee’s Dean, Director, Division Head or their designee, and a written and approved contract is required before the activity begins.
- Contract negotiation, approval and signature. The university employee may not negotiate or sign any contract with the research company on behalf of their institution. In addition, any such contract’s terms and budget must be approved by the university employee’s Dean, Director, Division Head or their designee.
- Invoicing and billing. The university employee may not be responsible for invoicing or billing the research company, or for institutional decision-making should any issue regarding the research company’s performance under a contract with a UW System institution arise. Any such decisions must be made by an impartial party who is not under the supervision or control of the university employee.
- Purchases. The university employee may not be directly involved in making decisions involving the purchase of items or services from the research company. Any such decisions must be made by an impartial party who is not under the supervision or control of the university employee.
- Human resources matters. The university employee may not be directly involved in any final institutional decision-making regarding their institution’s employment of any individual who the university employee knows has a significant financial interest in the research company. Any such decisions must be made by an impartial party who is not under the supervision or control of the university employee.
Institutions may impose additional and/or more restrictive requirements as appropriate for a given situation. If a Dean, Director, or Division Head has a financial interest in the research company, a higher level administrator must be responsible for all necessary approvals referenced in this policy.
Oversight, Roles, and Responsibilities
Institutions may adopt policies or practices consistent with this Regent Policy Document.
Related Regent Policies and Applicable Laws
- Regent Policy Document 13-1, “General Contract Signature Authority, Approval, and Reporting”
- Regent Policy Document 13-2, “Real Property Contracts: Signature Authority and Approval”
- § 946.13, Wis. Stats., “Private interest in public contract prohibited”
History: Res. 11358, adopted 01/21/2020, created RPD 13-6. Res. 11373, adopted 02/07/2020, amended RPD 13-6.