Winthrop University Faculty Manual

The university believes that its educational program and effective teaching in all its aspects can flourish only when sustained by continuous, active participation of its faculty in professional development, enriched in many cases by interaction with industry, artistic organizations, business, government, school districts, and other activities and institutions of our society.   This interaction is of greatest value when it contributes significantly to the public welfare, offers an opportunity for professional challenge and growth, or otherwise enhances the effectiveness of a faculty member's service to the university.

Definitions

Interaction can come in many forms, one of which is consulting. Consulting includes those professional activities related to the faculty member's discipline or field for which remuneration is received or where a fee-for-service or equivalent relationship with a third party exists.  In some cases, the commitment of time is the primary consideration, regardless of remuneration.

Professional Standards   The potential magnitude of outside professional activity, particularly when it entails consulting or outside employment, is such that orderly procedures must be followed to avoid ethical and legal conflicts of interest and to ensure that such activity does not conflict with the proper discharge of university responsibilities.  Personal responsibility, integrity, and high ethical standards are the principal factors in avoiding conflicts of interest. The university expects that all faculty members will conduct their outside activities in a manner which reflects credit on themselves, their profession, and the university without need for specific criteria or rules of conduct. The principal safeguards against abuse include the standards required by professional colleagues and the rigorous processes by which the university evaluates and selects individuals for appointment, tenure, and promotion.

Full-time Service  Consulting and outside employment policies and procedures apply during the time in which faculty members are under contract with the university.  (For most faculty members, this period would be August 16-May 15).  The policy is not applicable during periods when faculty members are not under contract. (For most faculty, this period would be May 16-August 15.  For the purposes of this policy, a faculty member teaching a summer school course is not considered under contract with the university.)  The obligation inherent in full-time service is difficult to define, since in academic life it means far more than a stated number of hours per week. In a context in which the faculty member has substantial freedom in arranging his or her professional life, it implies an overriding interest, loyalty, and first responsibility to the university. This obligation, therefore, must be defined qualitatively, depending on principle rather than formula.

Consulting vs. Outside Employment  Several characteristics offer guidance in making a decision on whether an activity is considered consulting or an employment relationship. The primary distinction is in the type of work done and the degree of independence allowed in its implementation.

¹Parts of this policy have been adapted from policies of the University of Texas System’s Office of General Counsel at www.utsystem.edu/ogc/ethics.htm.   Specific references have been drawn from www.utsystem.edu/OGC/IntellectualProperty/1iii13.htm.

For the purposes of this policy, an employee is one who is engaged in the delivery of the primary activity for which the organization exists, not someone who provides advice and suggestions in support of that primary activity. A contributing factor is the degree of independence.  An employment relationship is said to exist when a person is in the service of another and the employer has the right to control and direct the employee in the material details of how the work is to be completed, not just in terms of results but in terms of the details and means by which a result is accomplished.

II.  Disclosure and Approval

Essential to the effectiveness of such procedures is complete disclosure of outside professional activities.  It is the obligation of faculty members to keep their dean/department heads continually informed in adequate detail as to all outside professional activities, service on external committees, and other special assignments.  All consulting and outside employment must be approved prior to engaging in the activity.  The “Request for Approval of Consulting or Outside Employment” form must be completed and signed by all required parties before any consulting or employment is undertaken.  (See attached form.)  If the consulting or outside employment is to be with another agency of South Carolina state government, see the section on “Dual Employment” in the Faculty Manual.

Elected positions or public offices requiring time commitments and/or involving compensation would have to be approved by the president in advance of filing candidacy or accepting an appointment.  Service on boards involving compensation would have to be approved by the president in advance of accepting an appointment.  Because these activities broaden the experience of the individuals involved and expose the university to a larger audience of business, civic, professional, and social leaders (subject to conflict of interest ruling), ­­­­­­­­­­­­­­­­­­­­­­­consideration (­­good) to the university is the improvement of the individual by virtue of his or her continuing contact with nonacademic problems in the nonacademic world.

Absences Due to Consulting or Outside Employment

Consulting and outside employment under the appropriate rules and procedures may require an absence from the campus. Absence from the campus or other regular place of work during the normal working period must be discussed as a part of the “Request for Approval of Consulting or Outside Employment” form.  Appropriate travel policies will also apply.

Use of University Resources

The South Carolina Ethics Act prohibits use of public materials, personnel, and equipment for private economic benefit.  University resources should not be used in outside employment activities.  In consulting activities, incidental use of university resources is acceptable when approved in advance.

Request for Approval of Consulting or Outside Employment

All consulting and outside employment must be approved prior to engaging in the activity.  Requests should be submitted to the department chair, who will forward them to the dean of the respective college for approval.  The dean will forward the form to the Vice President for Academic Affairs.  Once the request has been reviewed by the dean, the Vice President for Academic Affairs, and the President, the person making the request will receive a response.

Name:                                                                                                                                                                                                    

Position Title/Rank:                                                                                                                                                                            

Department:                                                                                                          College:                                                                 

Please answer the following questions as completely as possible.

1.             For whom is this activity being done?                                                                                                                            

2.             What is the nature of the activity?                                                                                                                                  

3.             Where is the activity to be done?                                                                                                                                    

4.             When will the activity take place, and how many hours will the activity require?                                                   

Attach any additional information that will be helpful in reviewing this request.

Based on the information provided, this activity falls into the following category (check one):

                                Consulting                                                                            Outside Employment

I do hereby affirm that the consulting or outside employment described above is consistent with the “Consulting and Outside Employment Policy” of Winthrop University in the Winthrop University Faculty Manual.

Signature                                                                                                                                               Date

For Administrative Use Only:  Approvals                                                                                                                      

Department Chair’s Recommendation:                                             Dean’s Recommendation:

                I support this request.                                                                         I support this request.

                I do not support this request.                                                            I do not support this request.

Department Chair                                 Date                                        Dean                                                       Date                       

Vice President for Academic Affairs                                 Date

President (required only for outside employment)                         Date