Report of Outside Activity FAQs

 

Why must I file a report?

Reports of outside activity are completed to comply with the University’s Policy on Conflicts of Interest, Conflicts of Commitment and Outside Activity and the College of Medicine Outside Activities Policy.  

Who must file a report?

A report must be submitted and approved for all FAU employees with at least a .5 appointment other than student employees, OPS employees and graduate teaching assistants, as well as and any FAU employee engaged in the design, conduct, or reporting of research regardless of full-time or part-time status.  For clarification purposes, student employees, OPS employees, graduate teaching assistants or employees with a less than .5 appointment are required to complete a report: (i) for any periods in which they are engaged in the design, conduct or reporting of research or(ii) if requested by their supervisor(s) for conflict review.

When must I file a report?

Prior to beginning any outside activities and on an annual basis thereafter on or before September 30 of each fiscal year.  The reports due on or before September 30 cover outside activity occurring during the then current fiscal year (ie, July 1 through June 30).

Do I have to file a report each year if I have no outside activities to report?

Yes, all employees required to report must file a report on an annual basis before September 30 even if you have nothing to report.

What outside activities are included?

An outside activity is any practice, consulting, employment, teaching, research, speaking engagement, or business (including managerial interests or positions or service on boards or commissions), or other activity, compensated or uncompensated, which is not a part of the employee’s assigned duties and for which the University provides no compensation.  

What outside activities are not included?

Outside activities generally do not include participation in political, religious, social, fraternal, recreational or personal educational activities, unless the activity requires the provision of professional or board services, the activity is performed for compensation other than the reimbursement of expenses, or the activity otherwise creates a material conflict of interest or commitment. 

Can I file one report for all of my outside activities?

No, a separate report must be filed for each outside activity.  If several activities are engaged in with a single outside entity or organization, these can be included in a single outside activity report. If several activities occur throughout the year with various entities of the same type (ie, various media outlets), one report may be used unless otherwise directed by your supervisor(s).

What financial interests do I have to report?

Report financial interests if: (i) there is a contemplated business relationship between the outside entity and the University or its direct-support organizations, (ii) there is a relationship of such interest with your University responsibilities, or (iii) you are engaged in the design, conduct and reporting of research and hold financial interests with a foreign entity.  Please note that these threshold criteria differ from the criteria for financial conflict of interest disclosures for sponsored research.  Textbook royalites are reportable, as well as other book royalties that are not being reported as part of your current assignment.

Do I have to report any interests of my relatives? 

Yes, financial or managerial interests of your spouse and children and managerial interests of other relatives must be reported if: (i) there is a contemplated business relationship between the outside entity and University or its direct-support organizations or (ii) there is a relationship of such interest with your University responsibilities. 

I already completed a financial conflict of interest report in connection with my research, do I have to also complete this report?

Yes, the financial conflict of interest report completed for sponsored research projects is a separate and distinct report.  It does not satisfy the University’s outside activity report obligations.  Requirements for financial conflicts of interest in connection with sponsored research are captured in the Division of Research Financial Conflict of Interest (FCOI) Policy and are reviewed and managed pursuant to the requirements of the FCOI Policy and the Division of Research Financial Conflict of Interest Review Process.

Do I report activities that occur oversees?

Yes, reports should include both domestic and foreign activities and interests regardless of the location of the activity.

Must I report activities or interests held during periods of non-appointment or leave?

Yes, all employees required to report must include reports of activity or interests occurring at any time, including periods of non-appointment or leave.

Where can I get help?

You may contact the University’s Chief Compliance & Ethics Officer with any questions or contact your chair or supervisor.  A conference is encouraged between the faculty or staff member and his or her chair or other immediate supervisor.   Supervisors may also consult the COI Review Committee for feedback on any outside activities or financial interests that may present a potential conflict.  

Do I have to report collaborations with other researchers?

Yes, if the research is not being conducted at FAU and in direct connection with your FAU appointment.

Do I report honoraria for speaking/presentations or professional service on boards or committees?

Yes, if the outside activity is not a part of your FAU assignment/appointment.  If the honorarium is for an activity that a faculty member is reporting as community-engaged service, the activity would not be considered reportable outside activity under University Policy 8.3 unless the honorarium is for more than nominal consideration, is paid to a corporate entity, is negotiated, is part of a contractual obligation, and/or includes other factors that make the honoraria more akin to a payment for services. 

Who has to approve my report?

(1) Your chair or immediate supervisor; (2) dean, if applicable, (3) Vice President for Research or designee, if intellectual property rights are to be waived; and (4) the Provost (for faculty) or applicable Vice President or designee.  Employees engaged in the design, conduct, or reporting of research must also receive a determination from the Chief Compliance & Ethics Officer, or designee, that their outside activity or financial interest does not affect the integrity of the University.

I’ve been doing this for years with no issues, do I still need to report?

Yes, all outside activity must be reported and approved pursuant to the designated University process.

When can I use a management plan?

A management plan may be used/approved when your supervisor, dean or unit director, and Provost or applicable Vice President agree that a potential conflict can be reasonably managed with specific actions which will be taken, or conditions that will be conformed, to minimize or eliminate the risk of a conflict.  Management plans may not be used if an activity is prohibited by the Florida Code of Ethics.

If my appointment is less than .5, am I still bound by (i) the Florida Code of Ethics and (ii) the University’s conflict of interest policy?

(i) Yes, all FAU employees regardless of status are bound by the Florida Code of Ethics; and (ii) yes, you are subject to the University’s conflict of interest policy but are not required to completed an outside activity report unless there is a potential for conflict with your FAU responsibilities or you are engaged in the design, conduct or reporting of research.

Can an FAU employee sell goods or services to the University?

Generally, no, the Florida Code of Ethics prohibits public employees, in their private capacity, from renting, leasing, or selling any realty, goods or services to their own state agency. 

Can I purchase goods or services for FAU from a company owned or managed by myself, my spouse or child?

Generally, no, the Florida Code of Ethics prohibits a state employee, acting in their official capacity as a purchasing agent or public officer to directly or indirectly purchase, rent, or lease any realty, goods or services for their state agency from any business entity which the officer or employee or the officer’s or employee’s spouse or child is an officer, partner, director, or proprietor or in which such officer or employee or the officer’s or employee’s spouse or child, or any combination of them, has a material interest.  A material interest means direct or indirect ownership of more than 5 percent of the total assets or capital stock of any business entity.  Indirect ownership does not include ownership by a spouse or minor child.

Can I have an employment or contractual relationship with a business entity doing business with the University?

Generally, no, the Florida Code of Ethics prohibits state employees from having or holding any employment or contractual relationship with any business entity doing business with their state agency or that will create a continuing or frequently recurring conflict between the employee’s private interests and the performance of the employee’s public duties or that would impede the full and faithful discharge of the employee’s public duties.

Do I need to request leave if my outside activity will occur during work hours?

Yes, for staff (non-faculty) you must request leave if the outside activity takes place during your assigned work hours.  Faculty must complete a Faculty Absence Notification/Leave Report if their outside activity will cause them to miss class hours.

Do I need to report the pursuit of an educational degree?

Yes, if the degree if not already being disclosed and approved under FAU’s Educational Employee Educational Scholarship Program (EESP). 

Do I need to report service on the board of my homeowner’s association?

No, only service on professional boards are reportable, as well as disclosure of time commitments and the use of University resources in connection with such service.

What if my outside activity involves confidential or classified information?

If your outside activity involves confidential or classified information, it is your responsibility to secure the required approvals needed to share sufficient information with your supervisor(s) such that they can adequately review whether a conflict of interest or conflict of commitment exists. If the activity involves classified information and your supervisor does not have the relevant classified clearance, your supervisor may, at his or her sole discretion, agree that the information may be disclosed to another FAU employee with the relevant classified clearance.

Are there examples of reportable and nonreportable activities?

Yes, the Collective Bargaining Agreement between the FAU Board of Trustees and United Faculty of Florida includes an Appendix (Appendix J) with Examples of Reportable and Nonreportable Activities

Is community-engaged service by faculty considered reportable outside activity?

No, if the faculty member is performing such service as part of their FAU assignment and is reporting such activity within their department. Then, the activity is considered a part of their FAU responsibilities and is not reportable as outside activity.  If the service activity is not a part of the faculty member's FAU assignment it should be reported unless it is purely personal in nature and does not involve compensation (other than expenses) or professional services.  If the service activity is not a part of the faculty member's FAU assignment, but they anticipate or intend to include it in their annual evaluation, it must still be reported as outside activity for conflict review until and unless it is formally incorporated into their FAU assignment. 

What information should be included for employees (faculty or staff) proposing to teach courses or programs outside of FAU?

For any proposed courses or programs being taught outside of FAU, please include the course/program entity, location, sponsor, content, dates, times, delivery method, and resource materials anticipated.