COLLATERAL EMPLOYMENT AND ACTIVITIES (DESCRIPTION AND EXAMPLES):
University employees may engage in collateral employment and activities consisting of service within the university that is outside the scope of the individual's normal employment or outside the university during the normal work week so long as it is approved in advance and does not represent a conflict of commitment. Collateral employment and activities must be reported and approved whether performed more or less than one day per week.
Examples are provided below to illustrate excerpts from different UC rules and policies governing collateral employment by a) Faculty and Librarians and b) other employees.
Employees uncertain whether their activities must be reported should seek guidance from the academic unit head or administrative supervisor.
Faculty and Librarians See Rule 30-21-02
"Faculty members and librarians may engage in collateral employment consisting of institutional and/or non-institutional effort, including work of a consulting nature, . . ."
"'Institutional effort' is service within the university or with an affiliated institution that is outside the scope of the faculty member's or librarian's normal employment."
Example of a Non-Reportable Activity: Summer School Teaching
Example of a Reportable Activity: Additional teaching outside the home college during the regular academic year
"'Non-institutional effort' is the service faculty members and librarians provide outside the university during the normal work week for which they receive non-university compensation. Non-institutional effort that meets the criteria . . . will normally be permitted by the university for full-time faculty and librarians to the extent that such activities do not exceed an average of one day of the normal work week." (Note: Academic unit heads provide final guidance when questions arise.)
Examples of Non-Reportable Activities
- Uncompensated, volunteer service outside the University that does not involve any time conflict with U.C. responsibilities
- Receiving honoraria, stipends, and/or royalties for published scholarly works and other writing, creative works, lectures, and/or presentations.
- Receiving honoraria for serving as a special reviewer or on a review panel for academic, governmental, or not-for-profit organizations.
- Accepting honoraria for commissioned papers and occasional lectures.
- Receiving payment for reasonable travel and lodging expenses related to presentations of scholarly work or to a person's academic endeavor.
- Summer employment whether academic or non academic for faculty with a nine month appointment
Examples of Reportable Activities:
- Teaching for another institution
- Consulting arrangements that provide an honorarium and/or per diem for expenses
- Substantial unpaid, volunteer activity that might interfere with UC responsibilities
- Extensive coursework as a student that might interfere with UC responsibilities
"The provision of patient care by college of medicine clinical faculty is an essential and integral part of the responsibilities of such faculty. . . . Participation in a practice plan that is approved by the dean of the college of medicine shall be deemed to be in compliance with this rule. Any other activities of college of medicine faculty, whether institutional or non-institutional in character, may be approved only if they meet all the requirements of this rule."
Examples of Non-Reportable Activities
- Participating in a University approved practice corporation.
- Payments for clinical research to an approved practice corporation or to a department fund for salary or other expenses of conducting clinical trials.
- Volunteer faculty with academic titles and no UC compensation need not report
Example of a Reportable Activity:
- Compensated testimony as an expert witness in litigation.
All other salaried and hourly employees:
See Rule 30-21-03
"A university employee may engage in collateral employment only during the time the employee is not scheduled for work at the university and provided that the appropriate vice president approves such collateral employment and agrees that the collateral employment:
- Does not interfere with nor is inconsistent with the performance of the individual's university duties; and
- Does not raise questions of conflict of interest in connection with other interests or work with which the individual, or the university is involved"
Examples of Reportable Activities:
- Consulting or work for outside agencies by UC attorneys, police officers or others
- Extensive coursework as a student that might interfere with UC responsibilities
CONFLICTS OF INTEREST (DESCRIPTION AND EXAMPLES)
All salaried and hourly employees See Rule 10-17-03
As public servants UC employees must observe the highest ethical standards avoiding any activity or interest that might violate Ohio ethics laws forbidding disclosure or use of Confidential Information without appropriate authorization as well as Soliciting or accepting improper compensation. Faculty and staff
- will not use their positions to secure any item or benefit that would not ordinarily accrue to them in the performance of their official duties.
- will not accept any compensation from any other agency or individual for work performed in the course of their employment by the University.
- in consulting or other outside employment must not use information or procedures that might involve a conflict of interest with assigned University responsibilities.
Employees Conducting Research See Rule 10-17-08
Individual researchers must annually review their activities in order to identify situations that may present a conflict of interest. Unavoidable conflicts must be managed with an approved plan. Public trust requires full disclosure to assure confidence in the judgment of scholars and clinicians and in the dedication of academic institutions to the integrity of the research enterprise. That transparency reinforces the public understanding that scholars are honest and conduct their research with the highest standards and integrity. See the Researcher's Gateway for policies and procedures of Sponsored Research and the Institutional Review Boards.
Activities and Financial Relationships Not Subject to Reporting
- Receiving royalties for published scholarly works and other writings.
- Accepting honoraria for commissioned papers and occasional lectures.
- Receiving payment for reasonable travel and lodging expenses related to presentations of scholarly work or to a person’s academic endeavor.
- Earning income from passive investments such as interest or dividends from banks, mutual funds, or stocks and bonds.
- Participating in a University approved clinical practice corporation.
- Payments for clinical research to an approved practice corporation or to a department fund for salary or other expenses of conducting clinical trials.
Reportable Activities and Financial Relationships: (representative, not all-inclusive)
- Assigning students, postdoctoral fellows, or other trainees to projects sponsored by an entity in which an employee or a member of his/her family has a financial interest.
- Serving on the board of directors or an advisory board of a business from which an employee or a member of his/her family receives sponsored research support or with which the university has a contractual relationship.
- Assuming any position in a not-for-profit business engaged in commercial or research activities.
- Serving as an officer, director, or trustee, or having ownership or management in businesses related to one's professional field.
- Conducting research externally that could be conducted within the university or a university-approved affiliated corporation.
- Conducting applied and/or clinical research on a technology developed by the investigator or a member of his/her immediate family or a faculty member or other employee of the institution.
- Receiving either personally or by a family member of honoraria exceeding $5,000 annually, for serving as director or other executive with the sponsor of his/her research or for acting as scientific advisor or consultant,
- Conducting applied and/or clinical research on a technology owned by a business in which the investigator or a member of his/her immediate family holds stock, stock options, or similar interests.
- Conducting applied and/or clinical research on a technology owned by a business in which another faculty member or other employee of the institution holds stock, stock options, or similar interests.
- Conducting applied and/or clinical research on a technology owned by a business in which another faculty member or other employee of the institution holds a position of senior management officer, or directory of the company.
Reportable Activities involving Research with Human Subjects
- Having any financial interest or relationship with a company whose procedure, technique, product, or software is being tested in a human research protocol or which may appear to conflict with the protection of subjects of human research or which should be disclosed to subjects in order to secure informed consent. Researchers submitting protocols using human subjects must disclose all interests that may be perceived as a conflict with the best interest of the subject in order for the research to be considered for approval. See the policy on Investigator Conflict of Interest in Human Subjects Research.
Academic Deans with questions about financial relationships reported by their employees should consult the Staff Administrator for the Standing Committee on Conflict of Interests, at 558-2044 or Janice.Adams@uc.edu.
Immediate Family
"Family" includes spouse, domestic partner and dependent children
Financial Interest
The regulations cover all financial interests that have a monetary value whether or not that value is readily available. .
