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Policy on Faculty Consulting and Outside Activities - Dartmouth

Policy Number T96-047
Effective Date February 07, 2001
Responsible Office/Person Board of Trustees
Related Policies
Additional History
Additional References

DOC. T96-047

Passed by the BoT
4/2/97 (UMD)

Revised 2/7/01


University of Massachusetts
Policy on Faculty Consulting and Outside Activities

Faculty members are expected to devote to the University their primary professional loyalty and to direct to the University their time and energy. As they are considered "special state employees" for purposes of the Massachusetts law governing the conduct of public officials and employees (Massachusetts General Laws Ch. 268A), however, they are permitted to engage in limited activities outside of the University during normal working hours, provided such outside activities do not interfere with their primary obligations. The University recognizes that outside activities can be of value to faculty and the University. This Policy is intended to further the mission of the University and to enrich the experiences of the faculty by facilitating appropriately limited outside activities for faculty.

I. Definitions

As used in this Policy, the following words shall have the following meanings:

A. Academic Week - The period of Monday through Friday in each week.

B. Outside Activities - Non-academic activities undertaken by a Faculty Member in his or her area of expertise in association with individuals or entities outside the University. Such activities include for example, working as an employee or consultant, or serving as an executive, trustee or director for a company or non-profit organization. Such activities do not include, for example, short-term academic activities undertaken for professional development, such as lectures, participation on governmental or professional society advisory panels or scholarly events, or membership on editorial boards.

C. CVIP - The University Office of Commercial Ventures and Intellectual Property.

D. Faculty Member - A full-time or part-time employee of the University whose principal title is Lecturer, Instructor, Assistant Professor, Associate Professor, or Professor, or any other University employee whose principal duties consist of teaching and conducting academic research.

E. Vice Chancellor for Research - The Vice Chancellor for Research at each campus, or where no such position exists, the Provost (or their designees).

II. Policy

A. Scope of Policy

This Policy applies only to Faculty Members.

B. Allowable Activities

The University ordinarily permits full-time Faculty Members to devote the equivalent of one day
within the Academic Week to the performance of Outside Activities. The University ordinarily
does not place a specific limit on the amount of time that part-time Faculty Members may devote
to the performance of Outside Activities. The time commitment devoted by any Faculty Member
to Outside Activities may not interfere with the Faculty Member's professional commitment to
the University.

C. Prohibited or Restricted Activities

1. Use of Students or University Resources - Faculty Members are ordinarily prohibited
from performing Outside Activities that involve the use of University-administered
funds, facilities, or equipment, and must obtain approval to involve students in
connection with Outside Activities in accordance with the University Policy on Conflicts
of Interest Relating to Intellectual Property and Commercial Ventures.

2. Activities Involving a Conflict of Interest - In the event a Faculty Member is considering undertaking an Outside Activity that poses an actual or potential Conflict of Interest, as defined by the University Policy on Conflicts of Interest Relating to Intellectual Property and Commercial Ventures, the Faculty member should disclose all relevant information as required by that Policy. In addition, no member of the faculty shall accept or retain employment which would bring him as an expert, or in any other capacity, into conflict with the interests of the University or the Commonwealth. If in the opinion of the faculty member, proposed employment might involve such conflict, he/she shall disclose the relevant facts to his/her department chair and dean.

3. Use of University's Name - The University's name shall not be used in relation to any
Outside Activities, except in describing an individual's credentials, and except in
accordance with University policy.

D. Administrative Procedures

1. Disclosure and Approval of Outside Activities - Before the commencement of any
Outside Activity subject to this Policy, the University requires a Faculty Member to
disclose the proposed Outside Activity to his or her Department Chair, and to receive
approval of such Outside Activity. The University shall make available appropriate
forms. The University also requires prompt disclosure of material changes in previously
disclosed Outside Activities. Each Department Chair shall periodically provide to the
applicable Dean a report on the Outside Activities of Faculty Members within that
department, and the Dean shall provide this report to the Director of the University Office
for Commercial Ventures and Intellectual Property and to the Conflicts Committee.

When Faculty Members are negotiating consulting arrangements with non-University
entities they should keep in mind that under the University Intellectual Property Policy,
the University will be the presumed owner of any patent or other intellectual property
rights that arise in the course of consulting work or other Outside Activities if that work
is the same as, is directly related to, or is substantially similar to a research project in
which that Faculty Member is engaged at the University. In order to avoid potential
ownership disputes and liability, Faculty Members and Department Chairs are strongly
encouraged to consult with the Vice Chancellor for Research to ensure that Outside
Activities are outside the scope of the University Intellectual Property Policy.

2. Standard Form Rider - The CVIP will make available standard form riders, to be attached to all written agreements to undertake Outside Activities entered into by a Faculty Member, which will describe the intellectual property rights of the University, and which will contain an acknowledgment of such rights by the non-University entity. This rider is intended to avoid potential misunderstandings and disputes regarding ownership of intellectual property developed by the Faculty Member. The University strongly encourages use of this standard form rider.

III. Interpretation and Evaluation

The President or his or her designee will have authority to interpret this Policy. Periodically, but at lease every three (3) years, the President or his or her designee will conduct an evaluation of this Policy and formulate amendments for the consideration of the Trustees of the University.

IV. Enforcement

The Vice Chancellor for Research may refer any matter to the appropriate University official for
disciplinary or other appropriate action. If a matter involves a Conflict of Interest under the University Policy on Conflicts of Interest Relating to Intellectual Property and Commercial Ventures, the Vice Chancellor for Research shall refer the matter to the Conflicts Committee.

V. Appeals

A Faculty Member may request that the Vice Chancellor for Research review any decision of his or her Department Chair concerning Outside Activities. A Faculty Member may appeal any decision of the Vice Chancellor for Research by requesting a review of the decision by the President or his or her designee. The decision of the President shall be final.

VI. Other Policies

As noted above, Outside Activities may involve other University policies, such as the Intellectual
Property Policy, the Policy on Conflicts of Interest Relating to Intellectual Property and Commercial Ventures, and the Policy on Compensation for Certain Additional Professional Services (to the extent not superseded by this Policy). Faculty Members should refer to these other policies as necessary.


(Dartmouth Version, 2/3/97)