Faculty and Academic Staff Handbook

21st Edition, 2011 Version

Chapter IV: Faculty Personnel Rules and Procedures of UW-River Falls

4.11 Faculty Personnel Rules - UWS Guidelines for Reporting Outside Activities under UWS 8.025

4.11.1 Reporting

It is the policy of the University of Wisconsin System to require a report from all faculty and academic staff who engage in remunerative outside activities in their field of professional interest and whose appointments are half time or more for the period under contract to the UW System. If an employee has a joint appointment, he or she must file a report for each department/unit. This report covers activities that occur during the full year, even if the employee was not under contract to the University for part of that time. The employee should discuss with his or her Dean any activities that may present carryover questions of conflict with the employee's responsibilities during his or her contract period.

4.11.1.1 Report Form Definitions

For purposes of the reporting form:

Remunerative Relationship: A remunerative relationship is any relationship that results in payments, transfer of goods, or provisions of services to the reporting staff member.

Net Remuneration: Net remuneration includes the value of all payments, goods, and services received as compensation for an activity less expenses. Expenses deducted should not exceed those that could ordinarily be claimed from University administered funds.

Organization: An organization is any corporation, partnership, proprietorship, firm, enterprise, franchise, association, trust or other legal entity other than an individual or body politic (see UWS 8.02 (12), Wisconsin Administrative Code).

Professionally Related Activities: Professionally related activities are activities related to the staff member's field of academic interest or specialization.

Ordinary Professional Activities: Ordinary professional activities are those activities which extend a faculty or staff member's normal institutional responsibilities of teaching, research and service to serving other public institutions, organizations, and professional societies. Examples of such ordinary professional activities would be:

1. occasional lectures, colloquia, seminars, etc., given at colleges and universities and at meetings of professional societies;
2. preparation of monographs, chapters, and editorial services for nonprofit educational organizations;
3. service on advisory committees and evaluation panels for government funding agencies, non-profit foundations and educational organizations;
4. leadership positions in professional societies.

4.11.1.2 Reportable Activities

Those items which are reportable under  UWS 8.025 include:

1. Professional related outside activities occurring while one is under contract to the University for which net remuneration is received, not including ordinary professional activities.
2. The names of organizations or businesses for which net remunerative outside activities were performed, the type of activity (consulting, teaching, research, writing, etc.) and the aggregate time spent (days) in that activity.
3. Royalties from writing and patents need be reported only in the year that they first appear.
4. The organization or source must be named and the aggregate amount of time in days spent in outside activities with that organization must be indicated. If $5,000.00 or more compensation per year from a single source is received, the last column of section A should be checked. If the name of the organization should not be publicly identified, Dean's approval to withhold the name must be received (e.g., if revealing the name would be damaging to the organization's legitimate competitive interests.)
5. Any remunerative relationships with organizations which sponsor university research, teaching or training. If these relationships exist, the name of the organization must be reported.
6. Officerships, directorships, or trusteeships held by faculty or members of immediate family in businesses or commercial organizations related to professional fields.
7. Ownership interests in organizations related to an academic area of specialization, provided that immediate family collectively owns more than 10 percent of the equity.

Those activities which need not be reported include:

1. Activities for which remuneration comes from University administered funds (e.g., teaching and innovation awards, etc.).
2. Remunerative ordinary professional activities (see definitions above).
3. Instruction at another nonprofit educational institution or research supported by a government agency if the instruction or research is performed during periods when the staff member is not in the University payroll, or in the case of part-time appointment, if the work is performed during time not contracted to the University.

4.11.2 Outside Activities

Rules and procedures governing outside activities are intended to ensure devotion to teaching, research activities and all normal University responsibilities on the part of members of the faculty, while permitting their broad participation in public service or endeavors related to their fields of interest. (In addition to the provisions of this section, see Chapter UWS 8, Section 11.36 Wisconsin Statutes.)

4.11.3 University Responsibilities

Full-time appointment to the faculty of the University implies that the University has first claim to the individual's professional services. The faculty member's professional duties include such activities as teaching, research, committee assignments, and making his or her services available to students and to the University as a whole. Absences from regular duties are justified when occasioned by (1) the requirements of University-assigned responsibilities, (2) efforts and activities that make specific, identifiable (as opposed to general) contributions to the individual's ability to fulfill the responsibilities of his or her position, and (3) the taking of time that is partially compensatory for unusually long hours devoted in service to the University. This compensatory time shall not entail absences from classes. Faculty members employed on a fractional time basis have similar responsibilities, but they shall be proportionate to the fractional time appointment.

4.11.4 Definitions

4.11.4.1 Extensive, Recurring or Continuing Activities

In addition to the outside activities specified in Section 4.11.2, outside activities are those activities of a member of the faculty which are of an extensive, recurring, or continuing nature outside of his or her institutional responsibilities during any period of employment by UW-River Falls.

4.11.4.2 Substantial Outside Activities

Substantial outside activities are any outside activities that do reduce or threaten to reduce the faculty member's effectiveness in the performance of teaching, research activities, and all normal University duties. All instances of the following activities are specifically recognized as substantial outside activities:

1. teaching for remuneration;
2. service as an expert witness in legal proceedings;
3. service as staff, advisor, or consultant to granting agencies.

4.11.5 Reporting

It is the responsibility of each faculty member to submit a written report of all his or her substantial outside activities to the head of his or her academic unit. This shall be done before an activity is undertaken. If there is doubt as to whether or not the outside activity is "substantial," it is the responsibility of the faculty member to consult the academic unit head regarding the matter. Failure to report substantial outside activities may subject the faculty member to disciplinary action under either Section 4.9 (Complaints) of these rules or UWS 4 (Dismissal).

4.11.6 Review and Action

4.11.6.1 Forwarding of Reports

Copies of reports of substantial outside activities shall be forwarded through normal administrative channels to the Dean, Provost and Vice Chancellor for Academic Affairs, and Chancellor for the purpose of permitting reviews of the reports.

4.11.6.2 Dealing With Activities Determined Excessive or Improper

If it is determined, at any administrative level, that outside activities are excessive or otherwise improper, oral communication with the faculty member concerned may be used as a means of correcting the situation. However, (a) at the discretion of the administrative officer, (b) upon the request of the faculty member, or (c) if the improper activity persists after oral communication of disapproval and suggested corrections, the faculty member shall be notified of the impropriety in writing. The notice shall include reasons for judging the outside activity improper and recommendations for adjustments in those activities. If the notice does not originate with the head of the academic unit, it shall be transmitted by him or her to the faculty member concerned.

4.11.7 Appeal

The faculty member may appeal a decision regarding the impropriety of his or her outside activities. The appeal shall be submitted to the Faculty Hearing, Grievance, and Appeals Committee in accordance with the procedures of Section 4.10 (Grievances).

4.11.8 University Equipment and Services

No faculty member shall use University facilities, equipment, or services for purposes of private practice without first obtaining written approval from the department chair, Dean, and the Vice Chancellor for Administration and Finance, and the payment of a reasonable fee for the privilege enjoyed.