I. Outside Activities and Conflict of Interest
Outside activities, including employment, encompass external activities above and beyond the assigned duties and responsibilities of the faculty or professional staff member. No faculty member should engage in any regular or intermittent activity which interferes with the full discharge of the academic responsibilities of teaching, research, and service.
The Florida State University encourages University faculty and academic staff to undertake outside activities, including compensated outside employment, which will be of public service or will increase their effectiveness through enhanced professional reputations and broadened experience relevant to their University function. "Outside activity" is defined to mean any private practice, private consulting, additional teaching or research, or other activity, compensated or uncompensated, which is above and beyond a faculty or staff member's assigned duties and for which the University has provided no compensation (see Articles 18 and 19 of the BOR/UFF Collective Bargaining Agreement). These activities may include teaching in other institutions, business activities, and serving as members of advisory boards of governmental agencies and accrediting bodies. When outside activity is compensated by a State Agency, such activity is governed by the .i.Dual Employment Policy; of the University administered through the Office of the Dean of the Faculties and the Center for Professional Development and Public Service as described in Sections 7.48 and 7.49 of this Handbook.
Public service is one of the principal missions of the University. Public service may be part of one's academic assignment or may occur in conjunction with outside activity. It is through the outside activities of faculty and academic staff that much of the public service component of the University mission is accomplished. Furthermore the current economic development strategy of the State of Florida utilizes the public service function of the State University System by providing for the growth of high-technology industry based upon the intellectual contributions of university faculty and academic staff. It is not inappropriate for faculty and staff members and the University to profit from such creative technical development, and it behooves the University to encourage such activity within the limitations provided by Florida law.
Florida Statutes, Part III, Chapter 112, provide that no faculty or staff member shall engage in any outside activity which interferes with the full performance of his or her assigned duties. They further provide that such activities shall not create a conflict of interest, which is defined in Chapter 112.312 to mean a situation in which regard for a private interest tends to lead to disregard of a public duty or interest. The responsibility for complying with these provisions of Florida law is placed upon the faculty or staff member.
Before engaging in any compensated professional activity or any outside activity which a faculty or academic staff member should reasonably conclude may create a conflict of interest, the faculty or staff member shall submit to the department chairman or appropriate supervisor (dean in colleges or schools without departments) a written statement on the Florida State University Faculty Outside Employment Statement Form (FSU Form FOA 802) in compliance with University instructions (See Section 7.47.3 of this Handbook). It is the responsibility of the department chairman or supervisor to determine whether or not the proposed activity constitutes a conflict of interest or otherwise interferes with assigned duties and to process the request. This determination is made under the guidelines set out below.
II. Prohibitions under Chapter 112, Florida Statutes
Unless the conditions cited in the Chapter 112.313(12) exemptions listed below apply, the following activities of faculty and academic staff are prohibited:
1. No employee may rent, lease, or sell realty, goods or services to any institution of the State University System, including the Office of the Board of Regents, at which that individual is employed, unless the contract was entered into before October 1, 1975, or before beginning public employment. (Chapter 112.313(3), F.S.)
2. No employee may have an employment or contractual relationship with a business entity which is doing business with the State University System or any of its institutions. (Chapter 112.313(7), F.S.)
3. No employee may corruptly use or attempt to use that employment or any property or resource within that employment to secure a privilege, benefit, or exemption for such employee or anyone else. (Chapter 112.313(6), F.S.)
4. No employee may disclose or use information not available to the general public which was gained because of that employee's position for personal benefit or for the personal benefit of another person or business entity. (Chapter 112.313(8), F.S.)
5. No faculty member shall require the use of a textbook written by the faculty member without complying with University policy concerning the use of such textbooks as described in Section 7.46 of this Handbook.
III. Exemptions under Chapter 112.313(12), Florida Statutes
No employee shall be held in violation of Items 1. and 2. of Section II in doing business with the State University System or any of its institutions if any of the following conditions apply:
1. The business is awarded under a system of sealed, competitive bidding to the lowest or best bidder and: (a) the employee or the employee's spouse or child has in no way participated in the determination of the bid specifications or the determination of the lowest or best bidder; (b) the employee or spouse or child has in no way used or attempted to use their influence to persuade the institution or any personnel thereof to enter such a contract other than by the mere submission of the bid; and (c) the employee prior to or at the time of the submission of the bid has filed a statement with the Department of State disclosing the interest of the employee, spouse, or child in and the nature of the intended business.
2. The purchase or sale is for legal advertising in a newspaper for any utilities service or for passage on a common carrier.
3. An emergency purchase or contract must be made in order to protect the health, safety, or welfare of the citizens of the state or any political subdivision thereof.
4. The business entity involved is the only source of supply within the political subdivision of the employee (generally interpreted to be the State University System) and there is full disclosure by the employee of the employee's interest in the business entity to the Board of Regents and the institution prior to the purchase, rental, sale, leasing, or other business being transacted.
5. The total amount of the subject transaction does not exceed $500.
6. The business transaction is specifically approved by the President of the University and the Chancellor of the State University System and is made pursuant to Chapter 240.229 or 240.241, F.S. These sections authorize the University to establish and operate a division of sponsored research and obtain and manage patents and copyrights on products resulting from research programs.
IV. Interference with .i.Performance of Assigned Duties, Interference with
The determination of whether or not and to what allowable extent a given outside activity of a faculty or academic staff member interferes with the performance of assigned duties is the responsibility of the person's department chairman or appropriate supervisor, who is expected to apply sound professional judgment based upon standard practice in the particular field or discipline. This determination is made pursuant to the following general provisions of Florida law and University Policy:
1. No employee shall solicit or accept anything of value that would be influential to the performance of assigned duties or that is based upon an understanding that the official action or judgment of the employee would thereby be influenced. (Chapter 112.313(2), F.S.)
2. No employee shall have an employment or contractual relationship that will create a continuing or frequently recurring conflict between that employee's private interests and the performance of assigned duties. However this shall not prohibit an employee from having an occupation when that occupation by a person holding such public employment is required by law. (Chapter 112.313(7), F.S.)
3. In determining the allowable extent to which a teaching faculty member's classroom teaching assignment may be modified by rearranging schedules or providing substitute instructors to accommodate approved outside activities, the approving authority shall take into account not only the standard practice in the field or discipline but also the extent to which the outside activity benefits the program, the institution, and the faculty member as discussed in Section I above.
4. Any outside activity that involves both an employee and the employee's supervisor in a relationship, such as business relationships, which affects the ability of the supervisor to perform normal supervisory duties relative to that employee is prohibited.
V. Use of University Facilities in Outside Activities
Approval of any proposed outside activity which includes an intended use of University facilities, equipment, or personnel may be conditioned upon reimbursement to the University for any additional costs resulting from such use. Outside employment may be approved but use of University facilities, equipment, or personnel denied. If the intended use of University personnel is approved, such personnel may not be compensated by the University for work performed in connection with the outside employment and must obtain approval for such work as outside employment pursuant to University policy (See Sections 7.47.3 and 7.54 of this Handbook and Article 19.6 of the BOR/UFF Collective Bargaining Agreement).
VI. Development of Commercially Valuable Products
Normal activities of faculty and academic staff of graduate research universities often lead to discoveries which have the potential of being developed into commercially valuable products. Such development is encouraged under University Copyright and Patent policy (see Section 6.21 of this Handbook) administered by the Vice President for Research. Faculty and staff members making such discoveries should consult with the Vice President for Research as soon as it becomes apparent that such development is possible. University policy (Articles 18.3 and 18.4 of the BOR/UFF Collective Bargaining Agreement) includes the following provisions:
1. All patentable inventions and technological developments discovered or developed by a faculty or academic staff member while employed by the University shall be disclosed to the Vice President for Research. Disclosure of discoveries or inventions made during the course of approved outside employment may be delayed when necessary to protect the outside employer's interests until the decision has been made whether to seek a patent.
2. Except for discoveries or inventions made during the course of approved outside employment, a discovery or invention which is made in the field in which the investigator is employed by the University or by using University funds, facilities, materials, equipment, personnel, or proprietary technological information is the property of the University and the inventor shall share in the proceeds therefrom as shall be negotiated with the Vice President for Research and reflected in a written contract between the University and the faculty or staff member.
3. All discoveries or inventions made outside the field in which the discoverer or inventor is employed by the University and for which the University has provided no support are the private property of the inventor. However, the Vice President for Research, acting for the President, and the inventor may agree that the patent for such discovery and invention be pursued by the University and the proceeds shared.
4. While a faculty or academic staff member may engage in approved outside employment pursuant to a consulting agreement, requirements that the inventor's or University's rights to any patentable inventions or discoveries which arise during the course of such outside employment be waived must be approved by the Vice President of Research, acting for the President. The faculty or academic staff member who proposes to engage in such outside employment shall furnish a copy of this provision, and a copy of Article 18 of the BOR/UFF Collective Bargaining Agreement if in-unit, to the outside employer prior to or at the time the consulting agreement is executed.
VII. Financial Disclosure Policy
Faculty and academic staff members are reminded that they must comply with the financial disclosure provisions of Florida law. The Florida Commission on Ethics publishes a Guide to the Sunshine Amendment and Code of Ethics for Public Officers and Employees annually. A copy of this document and any information related to financial disclosure may be obtained from the Commission on Ethics, P.O. Box, 6, Tallahassee, Fl 32302-0006 or by calling 904-488-7864. The "Code of Ethics for Public Officers and Employees" adopted by the Legislature is found in Chapter 112 (Part III) of the Florida Statutes.
VIII. University Review Committee on Outside Activities
If questions arise concerning the application of any of these standards and guidelines, any employee of the University may seek an advisory opinion from the University Review Committee on Outside Activities. This Committee shall consist of five tenured faculty members appointed by the President of the University after consultation with the Faculty Senate Steering Committee and the Vice President for Research. The terms of Committee members shall be determined by the President, who shall designate one member to chair the Committee.
Provision for administrative and staff support for the University Review Committee on Outside Activities shall be made by the Vice President for Research. The following are included in the charge to the Committee:
1. The Committee shall provide advice and interpretation when requested by a department chairman, dean, or other appropriate supervisor who has received a request to approve an outside activity of a faculty or academic staff member.
2. The Committee shall provide advice and interpretation when requested by a faculty or academic staff member who is considering requesting approval for an outside activity.
3. The Committee may consider both hypothetical and real situations.
4. When a department chairman, dean, or other appropriate supervisor has denied approval for an outside activity on which the Committee has not been consulted previously, the affected faculty or academic staff member may request that the Committee review the action taken. If the Committee concludes that the outside activity could have been approved under these guidelines, it shall consult with the approving authority to seek resolution of the matter. Should satisfactory resolution not be attained, the Committee may recommend to the President that the activity be approved.
5. When necessary the Committee may seek advisory opinions concerning matters before it from the State of Florida Commission on Ethics.
6. The Committee shall exercise a continuing overview of the functioning of these standards and guidelines and related University policy. From time to time, when appropriate, it shall report to the President and recommend any modifications to policy that it deems desirable for the best interests of the University. Such recommendations also might include suggestions that the University seek modifications to State Law in this area.
Before assuming any outside activity, the Florida State University Faculty Outside Activity Statement form (FSU Form FOA 802) shall be completed and sent through the supervisor/ chairman/ dean/ director. The original (ONLY) of this form when all signatures have been affixed is to be sent by the dean/director to the Office of the Dean of the Faculties. IF THE OUTSIDE ACTIVITY EXTENDS FROM ONE ACADEMIC YEAR INTO THE NEXT, A NEW OUTSIDE ACTIVITY STATEMENT MUST BE SUBMITTED IN SEPTEMBER OF EACH NEW ACADEMIC YEAR INVOLVED.
Special note on intermittent, recurring activities: It is not necessary for employees whose activities are in the nature of offering services, such as private consulting or expert witness appearances, on an intermittent or recurring basis to a variety of individual clients throughout the year to submit a separate form for each occurrence. Instead, a single form giving general information about the nature of the activity may be submitted at the beginning of the year. For example, NAME OF PROPOSED EMPLOYER might be listed as "Florida Legal Firms," LOCATION listed as "Appropriate to Activity," FUNDING SOURCE listed as "Client Fees," and EMPLOYMENT DATES indicated to encompass the entire year.
If there is to be any use of University equipment, supplies, personnel, or space in any outside employment or activity, a specific written agreement covering the conditions under which such use is permitted, including an agreement for reimbursement to the University of any additional costs resulting from such use or an agreement that reimbursement is not required, shall be attached to the Faculty Outside Activity Statement form (FSU Form FOA 802) reporting the activity. This agreement shall be drawn between the employee and the dean or director responsible for the management of the resources in question. Questions concerning such written agreements and whether or not reimbursement should be required are to be referred to the Vice President for Research.
University policy requires that each chairman/ dean/ director certify to the Office of the Dean of the Faculties each October that to the best of their knowledge all employees within their unit have complied with University outside activity/employment policy for the current year. Deans of departmentalized colleges and schools will collect certifications from departments and attach them to the dean's certification submitted for the college or school. Statements of compliance are to be submitted to the Office of the Dean of the Faculties no later than October 31 each year.