Operating Procedures for Requesting Unpaid Reportable Outside Activity Leave

These procedures supplement the policies on Conflicts of Commitment and Reportable Outside Activities (III.B.1) and Leaves of Absence (VI.E.2) and apply to full and partial unpaid leaves requested by faculty affiliated with the West Lafayette campus.

Effective date: November 1, 2024

A Reportable Outside Activity (ROA) is any work, advice, or service for an entity other than Purdue University that may potentially result in a Conflict of Commitment. In accordance with Purdue University’s policy on Conflicts of Commitment and Reportable Outside Activities, no employee may engage in an ROA until:

1. The employee has submitted the ROA on a Reportable Outside Activity Form, and
2. The Unit Head or Outside Activities (OA) Officer has given written approval for the employee’s participation in the ROA described in the form.

In determining whether an ROA constitutes a Conflict of Commitment, the University will consider the nature of the requested work or appointment, overall time commitment, and whether the activity is to take place during the normal weekday business and/or instructional hours of the University or when an employee is in paid or unpaid leave status. Regardless of whether the ROA takes place during normal weekday business and/or instructional hours or will take place during an approved leave, all proposed outside activities must be disclosed. No employee may engage in an ROA that gives rise to a Conflict of Commitment. 

When an approved ROA requires a leave from the University, such as for Consulting that exceeds a maximum of one business day per week for tenured or tenure-track faculty or taking a leave to work full- or part-time in industry, at a start-up company, or at another organization, the policy on Leaves of Absence allows the faculty member to use either paid vacation leave (fiscal-year appointments only) or unpaid leave. Regardless of which type of leave the faculty member uses, if the activity is reportable, it must be approved prior to requesting leave. Additional approvals are needed for unpaid leaves. The following procedures combine the steps for requesting approval for an ROA and the steps for requesting unpaid leave.

I. Submit the ROA Request

The faculty member initiates the following process at least one semester prior to the start date of the requested leave, or with as much notice as possible.

1. Meet with the department/school head to discuss the scope of the work to be done as a Reportable Outside Activity (ROA) that requires an unpaid leave, including location, funding source(s), and coverage of campus duties.
2. Submit an ROA form, using the Reportable Outside Activity Form Guidelines, for the proposed new or expanded outside activity. Be sure to include all previously unreported outside activities, including affiliations and/or employment agreements with entities other than Purdue and affiliations and/or partnerships with any foreign entity.
3. Submit a written application via email to the department/school head in support of the ROA form containing the following documentation:
   1. Executive summary: Provide a brief, nontechnical overview of the goal of the leave, work to be accomplished, appointments with outside entities, and location where the work will be conducted.
   2. Proposals for the following items:
      1. Intellectual property ownership while on leave and certification that no University owned intellectual property that is not properly licensed will be used in conduct of an outside activity
      2. Purdue affiliation to be identified on published papers, books, oral presentations or posters while on leave
      3. Plan for notification to students, postdoctoral scholars, and Purdue staff
      4. Plan for coverage of all current and pending research contracts and grants
      5. Coverage of supervision and advisor responsibilities while on leave
4. Read, agree to, and submit all requests and forms arising from applicable Purdue policies, including:
   1. Individual Financial Conflicts of Interest (III.B.2): Faculty have the responsibility to manage their financial affairs and relationships in a manner that does not interfere with, or improperly influence the performance of, their duties and responsibilities at Purdue.
   2. Intellectual Property (I.A.1): Intellectual Property that arises in any part in the course of employment at Purdue is Purdue Intellectual Property

II. Review of the ROA Request

1. The ROA form is routed to the department/school head for review, who considers the request and the supporting documentation in light of all the faculty member’s outside activities and responsibilities to the University.
2. The head may recommend approval with or without conditions or recommend denial with or without comments. The ROA form is routed to the dean or the dean’s designee with the head’s recommendation, and the head forwards the email with the supporting documentation to the dean or dean’s designee.
3. The dean or designee may approve the request with or without conditions, forward it to the OA Officer for review, or deny the request. Any new or altered affiliations or partnerships with foreign entities noted on the form may not be approved by the dean or designee and must be forwarded to the OA Officer, along with the email with the supporting documentation.
4. When a form is routed to the OA Officer, the officer may request further review by the Research Security Office (in the case of a foreign entity affiliation or partnership), approve the request with or without conditions, or deny it. Generally, once the issue that required forwarding to the OA Officer has been resolved, the OA Officer returns the disclosure to the dean or designee to enter the approval or denial.
5. If the ROA is approved, the faculty member submits the leave request.

III. Submit the Leave Request

1. Upon approval of the outside activity, the faculty member submits the leave request in SuccessFactors. Faculty with two concurrent positions must request leave for both positions.
2. For leaves of one year or longer, complete the template leave agreement letter with the department head (see appendix).
3. Work with your business office to determine how fringe benefits will be charged during the unpaid ROA leave. Benefits will be continued during ROA leaves unless the faculty member chooses to discontinue their benefits. Faculty may choose to be billed for benefits during the leave or to have benefit reductions taken from payroll upon their return; however, faculty will automatically be billed if the accrued benefits-related balance exceeds 30% of a standard monthly payroll. To discontinue benefits during the leave period, the faculty member needs to record a life event in the benefits enrollment system using a reason of “Beginning Leave of Absence” within 31 days after the leave begins.
4. In SuccessFactors, use the applicable “ROA unpd” leave type and identify:
   1. Dates of leave
   2. Locations while on leave; if traveling internationally identify the primary country
   3. Planned appointment(s), compensation, and title(s)
   4. Upload the following documentation (must be combined into one document):
      1. The executive summary and proposals that supplemented the ROA form
      2. A PDF of the approved ROA form
      3. The completed template leave agreement letter for leaves ≥ one year

IV. Review of the Leave Request

1. Department head reviews the leave request in SuccessFactors using general criteria as a guide:
   1. The scholarly productivity of the faculty member and the rationale for the leave
   2. The completion of all prior approval items for the relative ROA
   3. The completion and acceptability of the template leave agreement letter for leaves ≥ one year
2. Department head provides comment in SuccessFactors related to the review criteria, acknowledgement of correct account numbers, and how the department will handle coverage of campus duties while the faculty member is on leave.
3. The leave request routes to the dean, or designee, who reviews the request using the same general review criteria used by the department head. The dean may approve or deny the request.
4. If approved by the dean, the leave request routes to the Leaves of Absence Coordinator in Human Resources for review of administrative issues including eligibility.
5. The leave request routes to Sponsored Program Services (SPS) for review of existing and proposed funding awards, current sponsor disclosures, and possible constraints. For international leaves, SPS also coordinates review and approval from Global Support and confirms with the Research Security Office that export control and research security reviews were completed during the ROA form review.
6. The vice provost for faculty affairs, or designee, conducts final review of the leave request in SuccessFactors, either approving or deny it.

V. Return from ROA Leave

Upon completion of an unpaid leave and return to campus, the faculty member provides a report to the department/school head and dean that outlines the accomplishments while on unpaid leave.

If the faculty member needs to reinstate benefits, this must be done within 30 days of returning by recording a life event in the benefits enrollment system using a reason of “Return from Leave of Absence.”

Additional Considerations

• If a faculty member has two concurrent appointments, leave must be requested for both positions.
• No leave is automatically approved in the SuccessFactors workflow. Everyone in the workflow must actively review and approve. Please monitor the leave request and watch for comments.
• Reportable Outside Activity Forms must be approved for activities conducted during the academic year as well as during the summer. However, leave requests are not required for academic-year faculty during the summer.
• Unpaid leave granted to tenure-track faculty does not extend the faculty member’s probationary period.
• ROAs may trigger additional reporting, disclosures, or management/oversight plans under other policies.

Related Policies

• Conflicts of Commitment and Reportable Outside Activities (III.B.1)
• Export Controls and OFAC Regulations (I.A.2)
• Individual Financial Conflicts of Interest (III.B.2)
• Intellectual Property (I.A.1)
• Leaves of Absence (VI.E.2)
• Research Security Program (I.A.6)

Appendix – Template Leave Agreement Letter

Dear Professor [name],

You will be on unpaid leave from [date] to [date] for [purpose]. [statement as to how the leave helps the dept/college/univ].

While on unpaid leave, your rights and privileges will include serving as an advisor and graduate committee member and continuation of your Purdue career accounts to facilitate your discovery and learning activities. You [will/will not] be allowed to continue as a PI on grants and contracts, assuming approval by your funding agencies. Your rights and privileges will not include participation in promotion and tenure processes or other departmental, college, or university committees. [consider any special circumstances for rights and privileges that relate to this faculty member’s work.]

As this is an unpaid leave, you will not be compensated during your leave period. You will receive benefits but will not receive retirement contributions during this period.   You [will/will not] be considered for annual raises during your leave period.  We have reviewed your [appointment letter/agreement/contract] with [outside entity] and have concluded that your appointment there does not violate any university policy. It is your responsibility to inform Purdue of any changes to the terms and conditions of your appointment at [outside entity].

On or before [date], you will notify me in writing of your intention to return full-time to Purdue faculty. [Optional alternative language: You can discuss the potential of staying on leave with me. / No extension of this leave beyond [date] will be considered.] If you decide to return full-time, your rights and privileges that attend your current appointment will be restored to you effective your return date and there will be no break in your service. You will be eligible to receive university benefits in accordance with university policies and the plans that are in place at the time of your return. [If we determine that an extension of this leave is necessary and mutually beneficial, all paperwork must be processed before the end of your current approved leave. Please allow up to one (1) month for processing after we have worked out the details of extending your leave.]

If you fail to inform me of your intention regarding your return on or before [date] or you do not return to full-time service at the end of your approved leave period, the University will deem leave beyond the currently approved period as a resignation of your current appointment. All rights and privileges associated with your current position will be revoked, including tenure.

Please ensure that your leave paperwork is complete, that you have agreed to the assignment of intellectual property in accordance with the IP policy, and that you work with Sponsored Programs Services to develop plans to manage any currently funded grants or contracts before leaving campus for your leave.

Sincerely,

Head/Associate Dean/Dean – whoever is negotiating with the faculty member