1.Whohasto completetheCompliance Formdisclosingconsultingand/orresearchwith privateand/orpublicentities?
Anyfull-timeand part-time instructionalfacultymemberwho ishired/contracted bya public orprivateentitytoperformconsultingorresearchactivitiesduringthe Falland Springsemesterscoterminouswithhis/herregularfacultyduties.
2.Does afacultymembercompleteaComplianceFormduringWinterIntersession or SummerSession?
Possibly.Ifthe facultymemberis hired/contracted bya publicorprivateentitytoperformanyconsulting/researchactivityduringthe WinterIntersessionorSummerSessionANDuses collegefacilitiesormaterialsin conjunctionwiththeactivity,theformshould becompleted.Forexample,ifasciencefacultymemberis securedforresearchandutilizescollegelabfacilities to examinesamples,he/sheshouldcomplete a form.
3.Whodetermineswhethertheactivitycomplieswiththestatute,policy,andcollectivebargainingagreement?
Prior to engaging in consulting and/or research activities, the faculty member must complete the compliance form for “Reporting of Research or Consulting with Outside Public or Private Entity” and submit the form to the Office of the Dean of Academic Affairs at ACC. Approval of ACC’s Dean of Academic Affairs and the President prior to any such member entering into any such agreement or engaging in any such project. Bylawand policy,thePresidentofthecollegemakes the finaldetermination. The President may designate the Dean of Administration to approve request during his/her absence.
4.When inournegotiationsshouldwesubmittheComplianceFormtodetermineiftheanticipated activitywill comply?
To besafe,youshouldsubmitthe formas soonas youcan reasonablydisclosetheanticipatedactivity,itsduration,andinteractionwithyourregularduties.
5.HowlongdoesreviewbytheDean of Academic Affairstake?
TheDean of Academic Affairs and the President will makeeveryeffortto turntheserequestsaroundasquicklyaspossible.Duringthesemester,suchreview andreplyto thefacultymembershould nottakemorethan 48hoursordinarily.
6.Is there anappealprocessiftheDean of Academic Affairsdeterminesmy expected activitydoesnotcomplywiththestatute or policy?
Yes.A facultymembermayappeal,in writing, totheBOR VicePresidentforHumanResourceswithinten(10)calendardays upon receivingwrittennoticethattheoutsideworkwas notincompliance.
a.Thefacultymembershallreceive a writtenresponsefromthe BOR VicePresidentforHumanResourceswithinten(10)calendardaysstatingthereasonsforthe decision
b.ShouldthefacultymemberdisagreewiththedecisionoftheBOR Vice PresidentforHumanResources,the matterwill be submittedto theOfficeofStateEthicswithinten(10)calendardays fromthe daythefacultymemberreceivestheresponse.TheBOR VicePresidentforHumanResources mayelecttosubmitthematterdirectlyto theOffice ofStateEthicsforitsopinion.Thiselection bytheBOR VicePresidentforHumanResourceswouldsatisfytheobligationtorespondasstatedin paragraph(a).
c.Thedeterminationbythe OfficeofStateEthicsshall befinaland notsubjecttothegrievanceprocedure.
7.Arethereanyconsequencesiftheactivityisnotendorsed bytheDean of Academic Affairsandthefacultymemberproceedswith theconsultingand/orresearch activity?
Yes. Sucha disregardforthedirection oftheDean of Academic Affairswillresultina referraltoappropriatecollegeauthoritiesto determineifthedisciplinaryprocessshouldbecommenced.
8.IfI amhiredto reviewa textbook,should I completetheComplianceForm?
Yes,ifyou arereceivingcompensationforthisactivityandsuchreview occursduringa periodwhenyou areteaching.
9.WhatifIamwriting atextbook?
Yes,seenumber8 above.
10.WhatifIreceive anadvance forwriting a textbook?
Yes,seenumber8 above.
11.WhatifIdonotreceivean advance?
Ifthere is achancethatyouwillultimatelybe compensatedforthisactivity,youmustdisclose it.
12.WhatifIamalreadyengaged inconsulting orresearch activitythatbegan priorto November21, 2013?
YoushoulddisclosethisactivityifitisbeingperformedafterNovember21, 2013,and isongoing.In the case ofanongoingassignment,you should updateyourformwheneverthereis achangeinyouragreementwiththepublic orprivateentityorannually,whicheveroccursfirst.
13.IfI havemy own business,shoulditbereported onthisCompliance Form?
Possibly. Ifyourbusinesshas norelationto youracademic orfacultyresponsibilities anddoesnotinvolve the useofcollegeproperty,you do notneedtoreportthe businessactivityon theCompliance Form.(Notethatfull-time and part-time facultymembersmaynotmake use ofcollegepropertyto engage in abusinessthathasno relationtotheiracademic orfacultyresponsibilities.)Ifthe businessis relatedtoyouracademicorfacultyresponsibilities,youwillneedtoreportthebusinessonthe ComplianceForm. Thefollowingexamplesillustratethetwosituations. First,ifyouarea historyprofessorandown an icecreamshop thathasno relationtoyouractivitiesas afacultymember, such a businessdoesnotneedto bedisclosed. Second,ifyouare anaccountingprofessorand youown a CPA firmthatperformsaccountingactivitiesthroughoutthe academicyear,youshoulddisclosethisinformation.
Note:Full-timeand part-time 4Cs,4Cs/AFSCME and AFTmembersmustnotifythe collegePresidentofOutsideEmploymentwhichincludesself-employment.
14.WhatifIhave anoccasionalopportunityto consultwitha numberofclients?Howdo Ireportthat?
Reporttheanticipateddates/scopeofsuch anengagementforthepresentacademicyear.Reportagainduringthefollowingacademicyearifyouanticipatean additionalengagement.
15.Do I needto discloseifI amreceivinganNSFgrant?
Possibly.Ifthe grantisadministered byCSCU/BOR,you do notneedto disclose the grant sincewealreadyhaveapprovedsuchactivity.Ifyouhave the grantthrough an institution notaffiliatedwith CSCU/BOR,youmustdisclosetheactivity.
16.Do I needto discloseifI amreceivinga grantandthegrantisbeingadministeredthroughmycollegeor anotherCSCUinstitution?
No, see number15above.
17.Do I needto submita ComplianceFormwhenreceiving reimbursementfromgrants?
Yes,unlessthegrantis beingadministeredthroughthecollege andthereimbursementcheckcomesfromthe state
18.Do Ineedto completetheComplianceFormifIamhired byanotherConnecticutpublichighereducationinstitution(UConn,UConn Health Center, other CSCU institutions)oran executivebranchagencytoperformresearchor consultingservices?
Notthisform.However,youmusthave on filea fullyexecutedDualEmploymentRequestForm;and forfull-timeand part-time 4Cs,4Cs/AFSCME, and AFTmembersyoumustnotifyyourcollegePresidentofOutsideEmployment.
19.IfI amaskedto teach acourseatanotherinstitution ofhighereducation duringtheregularsemester,doI needtocompletetheComplianceForm?
Notthisform. However,full-timeand part-time 4Cs,4Cs/AFSCME, and AFTmembersmustnotifythe collegePresidentofOutsideEmploymentwhichincludesteaching. Thismustbedone whetherataConnecticutpublichighereducationinstitution oratanyotherinstitution.
20.WhatifIamengaged inan outsideactivitythatis notcovered bythispolicybutrequiresmeto spenda considerableamount oftimeeachweekatsuchactivity?
Itis importanttonotethatthefull-time and part-time 4Cs,4Cs/AFSCME,andAFTcollectivebargainingagreementsareveryclear onthismatter.Yourprimaryresponsibilityis to thecollege and yourstudents.Ifitisdeterminedthatanyoutsideactivityinterfereswithyourabilitytofulfillyour obligationsto yourcollegeand/orthestudents,the collegemaydirectyouto ceasesuchactivity.
23.I’maboutto goto Akron,Ohio, togive a talkforwhich Iwillbepaid an honorarium.I havealreadyreceived approval ofmytravelauthorizationforthis.Inthefuture,do I needtoreceivepriorapprovalforthistype ofactivitybefore I acceptan invitation togive aguestlecture?
In the future,at the sametime a TravelAuthorizationFormis submitted,theCompliance Formshouldalso besubmitted.
24.I getpaid $10 aweektowrite a blogpostaboutpoetry-related newsfor a popularonlineliterarymagazine. Doesthisneed to beregistered?Doesitmatterthatit'sopen-ended?
Yes,thisongoingactivityshould besubmittedfora determinationofcompliance.
25.I reviewonetothreenew booksofpoetryeverymonth (I keepthebook,butgetnoothercompensation),and alsowritea columnon psychoanalysisin literaryculture(nocompensation). Likewise,I ama staffwriterforanonlinepublication,whereI reviewbooks
videos,and occasionallyinterviewauthors. Doesallofthisuncompensated activityneed toberegistered?
Ifitis uncompensated,itdoesnothave tobe disclosed.Pleasenote,however,inConnecticut,receivinga copyofthe bookmightbe consideredcompensation bythe StateOffice ofEthics. Assuch,itisrecommendedthatsuchactivitiesbedisclosed.
26.Recently,InsideHigherEd.compublished aneditorialIwrote.It's aone-timething(i.e., Ihavenorelationshipwiththem),butthey'repayingme $100.Should I disclosethis?
Yes.