GUIDELINES AND
PROCEDURES ON CONFLICTS OF COMMITMENT FOR ACADEMIC APPOINTEES
INTRODUCTION
These guidelines and
procedures detail IUPUI’s implementation of the Indiana University Policy on Conflicts
of Commitment for Academic Appointees.
(http://www.indiana.edu/~ufc/docs/AY04/circulars/U13-2004.approved.htm
1. Statement of General Policy
All Academic Appointees
are expected to fully and professionally meet the obligations of their
appointments. Their primary
responsibilities within IUPUI are teaching and learning, scholarship (including
research and creative activity), professional service (including librarian
responsibilities) to the University and the wider community, service to the
University, and administration in support of these activities. Due to their special capabilities, Academic
Appointees are often sought to provide professional expertise for activities beyond
the responsibilities of their academic appointment. External activities are often complementary
and synergistic with the Academic Appointees’ primary IUPUI
responsibilities. However, there are
times when external activities interfere with Academic Appointees’ campus
duties. These guidelines identify
activities that might create conflicts of commitment and establish procedures
for managing external activities in such a way that they do not adversely
influence Academic Appointees’ IUPUI responsibilities with respect to extra
work. The two purposes of these
guidelines are to protect Academic Appointees from ungrounded criticism for
participating in already-approved external work and to give IUPUI a means of
addressing instances where Academic Appointees engage in activities with a
potential for conflicts of commitment.
Academic Appointees are encouraged to discuss questions about external
work with their Department Head or Dean.
With the acceptance of
a full-time appointment, Academic Appointees make a commitment to the
University that is understood to be full-time in the most inclusive sense. Full-time Academic Appointees are expected to
devote their primary professional time and energy to their teaching, research,
professional service, and administrative responsibilities. Accordingly, they should arrange outside
activities so as not to interfere with the primacy of these commitments. At the same time, no one benefits from undue
interference with the legitimate external activities of Academic Appointees who
fulfill their primary full-time duties—teaching at the University, conducting
scholarly research under its sponsorship, and meeting other obligations to
students and colleagues. Indeed, the
involvement of Academic Appointees in outside professional activities, both
public and private, often serves not only the participants but also the
University as a whole.
2. Application of this policy
These guidelines and
procedures apply to all Academic Appointees.
(There will be a separate University policy on conflicts of commitment
that applies to professional staff and other non-academic appointees who are
not involved in the design, conduct, or reporting of research, professional
service, the financial administration of research funds, or teaching
activities.)
The potential for conflicts
of commitment to arise is often in proportion to the commitment that exists
between the individual Academic Appointee and the University. The long-term reciprocal responsibilities
that exist between the University and its tenured faculty, for example, mean
that external activities by such appointees can have more significant conflict
of commitment implications than if the same activities were engaged in by an
adjunct faculty member or some other appointee where lesser reciprocal
responsibilities exist. Accordingly,
this policy defines in a consistent manner the types of situations that could
be conflicts and that should be reported, but the evaluation by the appropriate
Department Head or Dean on whether those situations actually pose conflicts may
vary according to the particular facts, including the nature of the appointment
of the faculty member and the culture of the discipline of that academic unit
within the University.
3. Definitions
Academic Appointee means any person who has either a full- or part-time faculty
appointment in the University (these Guidelines and Procedures will not
normally apply to Academic Appointees holding honorary or unpaid positions).
Examples of appointees covered by these Guidelines and Procedures include but
are not limited to the following appointments: FTX, FLX, FAX, FVX, FCX, RSX,
RSS, UAS, RSP, UMD, UCH, LTX, LVX.
Activities outside the
University or Outside Activities are defined as
activities not directly related an Academic Appointee’s University responsibilities
such as the teaching, research, and service..
University Activities, by contrast are defined as activities conducted by an Academic
Appointee’s University that are directly related to the Appointee’s responsibilities such as
the teaching, research, and service.
University
Responsibilities are defined as the
responsibilities of an Academic Appointee to perform University activities as
defined by University or unit policy (or in a contract).
4. General Principles
a. Academic Appointees
may engage in activities outside the University, provided that these activities
do not interfere with the Academic Appointees’ performance of their University
responsibilities or otherwise constitute a conflict of commitment.
b. Academic Appointees
shall not use IUPUI resources in the performance of outside activities without
the permission of his or her Department Head or Dean and without compensating
the University. Where the resource usage
is minimal and the cost difficult or impossible to calculate, such use of IUPUI
resources shall not require reimbursement.
c. Full-time Academic
Appointees shall be permitted to spend, on average, one day each week on
professional activities other than University activities, provided that those
activities do not otherwise constitute a conflict of commitment.
d. Full-time Academic Appointees shall be permitted to spend time without salary or on “Sabbatical Leaves” on professional activities, provided that those activities do not otherwise constitute a conflict of commitment.
e. Academic Appointees’
compliance with these guidelines or with any other University or unit policy on
conflicts of commitment shall not be determined on the basis of income earned
from outside activities or the percentage of the appointees’ University
compensation that such income constitutes, unless required by law.
5. Examples of Conflicts of
Commitment to which this policy applies
The University reserves
the right to determine whether Outside Activities are incompatible with
University Activities, and this may apply throughout the calendar year, regardless
of the actual appointment period. The
following are three examples, but they are not the only situations that may
require disclosure. Other cases may be
deemed appropriate for disclosure.
a. Being employed by or
consulting for a business related to their professional responsibilities that
competes, or has the potential to compete, with the mission of the University
that are part of the Academic Appointees’ University responsibilities.
b. Applying for,
receiving, or conducting sponsored research activities for another organization
that ordinarily would be conducted under the auspices of the University.
c. Teaching for another
educational institution while on salary.
There is no distinction between resident and online teaching.
6. Implementation
All Academic Appointees
and others to whom this policy applies at IUPUI must disclose to their
Department Head or Dean activities that may represent a conflict of commitment.
All disclosure
statements are to be submitted to the dean’s office of the individual
submitting the statement. The dean or
the dean’s designee will review submitted disclosure statements within 30 days
and will work with the Academic Appointees to determine if they may engage in
the external activity and if a specific management plan must be developed. If the Dean and Academic Appointee disagree,
they may seek additional advice regarding the proposed activity from the campus
Conflicts of Interest Committee.
7. Appeals
Appeals of
administrative decisions concerning conflicts of commitment are subject to
applicable University policies and procedures.
8. Compliance
Instances of deliberate
breach of policy, including failure to file or knowingly filing an incomplete,
erroneous, or misleading disclosure, violations of the guidelines, or failure
to comply with prescribed monitoring procedures, will be adjudicated in
accordance with applicable disciplinary policies and procedures at IUPUI. Possible sanctions will include the
following:
a. Formal admonition;
b. The inclusion in the Academic
Appointee’s file of a letter from the Chancellor indicating that the
individual’s good standing as a member of the University has been called into
question;
c. Ineligibility of the Academic Appointee
for grant applications,
d. Non reappointment;
e. Dismissal.