Outside Interests and Employment

Outside professional activities and interests are an accepted part of academic life. They make faculty better scholars and teachers and thereby better equip them to serve the University. Nonetheless, the opportunities available to faculty and other officers to conduct research, engage in consulting, practice their professions, and turn their discoveries and ideas into commercial ventures create the potential for conflict between their outside interests and commitments and their responsibilities to the University. Outside professional interests and employment, whether gainful or not, must not interfere with an officer's teaching, scholarly research, and other departmental and University duties. Even the appearance of conflict can be injurious to both the individual officer and the University.

The primary professional obligations of full-time faculty are to the University. They consequently may not participate in any outside activities, for or without compensation, that will absorb an undue amount of their time and thereby divert their attention from their duties as officers of the University. Outside employment, consulting, and other interests may not require an average commitment of more than one day a week during the period in which a faculty member is expected to provide services to the University, except in the case of participants in private practices in the Health Sciences whose outside activities are determined by those plans.

Depending upon the nature of the outside activity, a conflict of interest or a conflict of commitment may exist even when a faculty member observes the time limit prescribed by the University's policies or engages in them during vacations or the summer months in the case of those serving in schools on nine-month academic calendars. This has become increasingly true in recent years, as new information technologies have greatly expanded the opportunities for faculty and other members of the University community to create and disseminate their works to new audiences without leaving the premises of the University. Faculty may not engage in outside activities that directly compete with the core mission of the University or are in conflict with their University responsibilities, regardless of the time they require. Outside activities also should not conflict with the University's patent and copyright policies, adversely affect an officer's independence, or compromise the integrity of the University.

Full-time faculty may not create courses, substantial parts of courses or courseware for, or accept teaching assignments from, either a non-profit institution or a commercial enterprise, unless specifically authorized in advance by the Provost on the recommendation of the appropriate dean or vice president. This policy applies equally to courses taught in person, or via the Internet or some other method of electronic transmittal. This policy is not intended to prevent faculty members from giving guest lectures at another institution or engaging in similar activities. However, faculty should be sensitive to the fact that the distinction between occasional lectures, which are a normal part of academic life, and a teaching assignment for another university, which requires prior approval, is not always clear cut. When there is any question as to whether an outside engagement falls within the range of allowable activities, a faculty member should first consult with the appropriate dean or vice president. Prior provostial approval is also required to hold full-time positions outside of the University or to be the principal investigator on an externally funded award that is administered by another institution.

The responsibility for recognizing and avoiding conflicts of interest rests primarily with the individual. To aid and protect all concerned, the University has put in place a number of policies and procedures. Many of these were incorporated into the "Statement of University Policy on Conflicts of Interest," which was issued in 1987 and is reprinted as Appendix J. In 1986, the University adopted a separate statement on the potential commercial and industrial applications of scientific and technological research. This statement provides guidelines for avoiding conflicts between the commercial opportunities arising from such research and an officer's University responsibilities. These guidelines are reprinted as Appendix K. Given the distinctive conflicts that can arise from the activities of faculty and staff in the Health Sciences, the Faculty of Medicine adopted separate guidelines in 1993 that incorporate the policies of the University. These are included in Appendix L.

To monitor for conflicts of interest and provide guidance with regard to specific activities, the University requires officers to file an annual disclosure statement of their outside interests. There are different disclosure procedures governing different groups of officers.

Outside of the Health Sciences, the Provost sends a disclosure statement each year to all officers of instruction, research, and the libraries; all officers of administration in Grade 14 and above; and to those officers of administration in a lower grade who have the authority to make purchases from or transact business with outside entities. Officers should submit their completed forms for review to the dean, vice president, or other senior officer to whom they report. If an outside activity or interest is found to create an actual or apparent conflict, the senior officer will determine how it should be resolved. In those cases where the senior officer is unable to reach a determination, the case is referred to a Standing Committee on Conflicts of Interest, which is appointed by the President and consists of representatives from the faculty as well as senior officers of administration, with the Provost as chair.

Within the Health Sciences, all officers are also expected to report regularly on their outside interests. Each year, the Office of the Executive Vice President for Health and Biomedical Sciences disseminates disclosure statements to individuals covered by the Health Sciences procedures. A committee, appointed by the Vice President, reviews the completed forms and makes recommendations to the Vice President on the resolution of any conflicts it has identified.

Officers of the University may appeal decisions of the appropriate committee on their outside interests to the Provost.