Operating Procedures for Submitting and Reviewing Reportable Outside Activity Forms

These procedures supplement the policy on Conflicts of Commitment and Reportable Outside Activities (III.B.1). Please refer to the policy for contact information and applicable definitions.

Effective date: January 8, 2024

PROCEDURES

I.   Annual Notice

Prior to the beginning of each fiscal year, the VPEC will remind all Employees of their obligation to file a Reportable Outside Activity Form with their Unit Head prior to engaging in a new Reportable Outside Activity and annually thereafter. The annual notice will direct all exempt Employees to certify that they are in compliance with policy III.B.1.

II. When to Submit a Reportable Outside Activity Form

All Employees must submit a Reportable Outside Activity Form:

1. For each new Reportable Outside Activity, prior to engaging in the activity,
2. On an annual basis, in accordance with deadlines specified by the VPEC, for each continuing Reportable Outside Activity, and
3. When the scope or nature of a previously approved Reportable Outside Activity changes.

III. Review and Approval of Reportable Outside Activities

1. Within 10 business days of receiving a properly completed Reportable Outside Activity Form, the Unit Head will:
   
   1. Determine whether the Reportable Outside Activity(ies) will result in a Conflict of Commitment or will otherwise violate policy III.B.1 or any other University policy,
   2. Approve or deny each Reportable Outside Activity listed on the form or forward the Reportable Outside Activity Form to the OA Officer if a determination cannot be made.
   
   In the event a Unit Head determines that a Reportable Outside Activity Form has not been properly completed, they will promptly notify the Employee.
   
2. A Unit Head may not grant permission for an Employee to engage in a Reportable Outside Activity that will result in a Conflict of Commitment or that otherwise violates policy III.B.1, which includes participation in or affiliation with a malign Foreign Talent Recruitment Program. Unit Heads may consult at any time with the OA Officer for assistance in interpreting and implementing these procedures and in deciding if a particular Reportable Outside Activity will or may result in a Conflict of Commitment.
   
   Upon receiving a Reportable Outside Activity Form, the OA Officer promptly will evaluate the request to determine if the proposed Reportable Outside Activity, by itself or in conjunction with any of the Employee’s other approved Reportable Outside Activities, would result in a Conflict of Commitment or otherwise violate policy III.B.1. The OA Officer may:
   
   1. Request that the Employee provide the OA Officer with additional information to assist in evaluating a request,
   2. Consult with the Unit Head, the requesting Employee and any other person that the OA Officer deems appropriate to consult, and
   3. Condition permission to engage in a Reportable Outside Activity on the Employee’s acceptance of a management plan to limit participation in the activity within stated parameters. The OA Officer will include a copy of the management plan with the written permission.
   
   The OA Officer will give prompt notice of the decision to grant, deny or impose conditions on an Employee’s request to engage in a Reportable Outside Activity to the pertinent Unit Head, the requesting Employee and other direct or indirect supervisors of the Employee as deemed appropriate.
   
3. If the form includes disclosure of participation in or affiliation with a Foreign Talent Recruitment Program, the OA Officer promptly will notify the Research Security Office of the disclosure. The Research Security Office will determine whether the listed program is malign and take appropriate action based on that determination.

IV. Review of Forms Submitted by the President

A Reportable Outside Activity Form submitted by the President will be reviewed by the chairperson of the Board of Trustees with the advice and assistance of the OA Officer. The chairperson may consult with the rest of the Board of Trustees or any person deemed appropriate in order to determine if the requested Reportable Outside Activity would create a Conflict of Commitment. The chairperson may grant or deny the President’s request or condition permission on an agreement by the President to limit participation in such activity within stated parameters. Written notice of the decision will be provided to the President.

V. Monitoring of Reportable Outside Activities

Each Unit Head is responsible for monitoring approved Reportable Outside Activities to make sure they have not developed over time into Conflicts of Commitment or other violations of policy III.B.1 or any other University policy. If at any time previously granted permission for an Employee to engage in a Reportable Outside Activity is withdrawn, the Employee must stop engaging in the activity.

VI. Appeals

1. An Employee may submit a written appeal to the VPEC within 10 days of receiving a determination to deny a request to engage in a Reportable Outside Activity or to impose conditions or restrictions limiting participation in an activity. The VPEC will appoint and chair an ad hoc appeals committee to review and render a decision on the matter, which will be final for all purposes. The committee will generally render its decision within 15 days following receipt of the written appeal.
2. The President may appeal a decision by the chairperson of the Board of Trustees to the Board of Trustees, whose decision regarding the matter will be final for all purposes.

VII. Auditing

The OA Officer will audit Reportable Outside Activities approved for Employees to ensure compliance with policy III.B.1 and these procedures.

HISTORY AND UPDATES

January 8, 2024: Added to annual notice the requirement that Employees certify compliance. Section III updated to address disclosures of Foreign Talent Recruitment Programs.

January 1, 2019: Procedures separated from the policy on Conflicts of Commitment and Reportable Outside Activities (III.B.1). Updates to the procedures include eliminating sending paper copies of forms to Human Resources, appointing an ad hoc committee to review appeals rather than having a standing committee and replacing annual reporting with auditing.