Outside Consulting and Other Commitments by Faculty and Academic Professional and Administrative (P and A) Staff

This procedure applies to faculty and academic professional and administrative (P&A) staff, other than employees in the Athletic Department, who hold full-time appointments (75% or more) and engage in outside consulting.

Faculty and P&A employees who hold part-time appointments (less than 75%) are not eligible to participate in outside consulting during their regular work hours and are not required to report their outside commitments annually unless the activity presents a potential conflict of interest under Board of Regents Policy: Individual Business or Financial Conflict of Interest.

HOW TO REQUEST PRIOR APPROVAL AND RE-EVALUATION OF THAT APPROVAL

Certain activities (see thresholds below) require prior approval. Once the activity is approved, the approval must be reported and re-evaluated annually. To request prior approval, complete the Request for Outside Consulting (ROC) form, which can be found at http://egms.umn.edu/. Instructions for using the system can be found on that website. All prior approvals expire after three years.

REPORTING AND PRIOR APPROVAL THRESHOLDS

Category 1: The following types of activities DO NOT NEED TO BE REPORTED. However they cannot interfere with employment responsibilities or compete with coursework offered by the University or services offered by the employee's unit:

• attendance at professional meetings;
• the writing of books or articles or the creation of works of art;
• the giving of occasional lectures and speeches, participation in colloquia, symposia, site visits, study sections, and similar gatherings;
• ad hoc refereeing of manuscripts;
• outside activities of a personal, family, or social nature; and
• community activities. For certain employees, the distinction between involvement in community activities as a citizen and involvement in such activities as a professional is difficult to determine. Faculty or staff members may judge the nature of their community activities and if they reasonably deem them to be citizen-related rather than professional activities, such activities may be exempt from the prior approval and reporting requirements of this policy.

Category 2: The following types of activities require ANNUAL REPORTING if the time commitment to them exceeds three days during each term of appointment (total, not per activity). In addition, these activities cannot interfere with employment responsibilities or compete with coursework offered by the University or services offered by the employee's unit:

• outside consulting commitments;
• holding office in a scholarly or professional organization during the term of appointment; and
• editorial office or duties for a learned journal during the term of appointment.

These activities are reported on a Report of External Professional Activities form which can be found at: http://egms.umn.edu.

Category 3: The following types of activities require ANNUAL REPORTING AND PRIOR APPROVAL to determine whether they interfere with employment responsibilities or compete with coursework offered by the University or services offered by the employee's unit:

• for full-time faculty and P&A employees, each outside professional commitment or combination of commitments that exceed one day per month during the term of appointment, and
• external teaching during the term of the appointment (resident and online).

These activities are reported on a Report or External Professional Activities form which can be found at: http://egms.umn.edu. Prior approval is obtained by completing a ROC form which can be found at: http://egms.umn.edu.

Category 4: The following types of activities are only permitted with a SPECIAL EXEMPTION from the Senior Vice President for Academic Affairs and Provost. Activities that are granted an exemption must be reported and reviewed annually. This exemption expires after three years :

• for full-time faculty and P&A employees, outside consulting commitments that in total exceed the maximum allowable amount (one day a week or a total of 39 or 48 days per year);
• any activity that competes with coursework offered by the University or services offered by the employee's unit; and
• full-time employment outside of the University during the term of appointment.

REVIEWING AND APPROVING REQUESTS

Role of Unit Head: The unit head reviews and decides whether to approve annual reports and requests for prior approval of outside consulting activities, following the Guidelines for Reviewing Outside Consulting and Commitment Requests.

Role of Dean: The dean reviews the unit head's action and decides whether to approve annual reports and requests for prior approval of outside consulting activities, following the "Appendix." If an outside consulting activity presents a potential conflict of interest, the dean will refer it to the appropriate Conflict Review Committee for evaluation and a recommended plan to manage, reduce or eliminate the conflict.

The unit head and dean will approve outside consulting activities if they determine the activity does not exceed the permitted time limits, interfere with the individual's employment responsibilities, or compete with coursework offered by the University or services offered by the employee's unit and the activity otherwise follows the rules for outside commitments in Board of Regents Policy: Outside Consulting and Other Commitments.

Denials: A unit head or dean who disapproves a request or report will provide a written statement of reasons for the denial. The employee may appeal this denial to the Associate Vice President for Regulatory Affairs. If it cannot be resolved, the employee may appeal the matter to a three person committee who will advise the Provost. This committee will be comprised of the chair of the Faculty Consultative Committee, a senior faculty member or P&A employee (depending on the employee's classification) from outside the college or area where the denial occurred and a member appointed by the Provost.

Timeframe: Decisions must be made within two weeks of the request. If the unit head or dean fails to act within this period, the request should be forwarded to the dean or supervisor for review.

REQUESTING AN EXEMPTION FROM REPORTING AND APPROVAL THRESHOLDS

The Senior Vice President for Academic Affairs and Provost may grant exceptions from the governing principles of this policy, if it is in the best interest of the University. Requests for such exemptions are forwarded through the unit head and dean, who will comment on the submission.

VIOLATIONS OF POLICY

Breaches of this policy include, but are not limited to, failing to request prior approval, filing an incomplete, erroneous, or misleading disclosure form, or failing to provide additional information as required by the approving authority. A violation of this policy may be the basis for discipline of an employee. If sanctions are necessary, they will be imposed in accordance with other applicable Board of Regents and administrative policies and procedures. The potential sanctions may include, but are not limited to, the following:

1. letter of admonition;
2. suspension;
3. nonrenewal of appointment; or
4. dismissal.