Outside Professional Activities and Conflict of Commitment

I. Scope

This policy applies to all faculty governed by the Faculty Handbook, and implements Faculty Handbook section 2.10.7, Outside Employment and/or Business Interests. In addition, section III.B. of this Policy applies to all Investigators on externally sponsored research. This policy shall be read in conjunction with University Policy 4001: Conflict of Interest, which addresses interests and activities regulated by Federal and Commonwealth laws, including those pertaining to externally sponsored research. Outside Activities and commitments of Postdoctoral Fellows, and of Administrative and Professional Faculty, are governed by University Policy 4018: Postdoctoral Research Fellows, and University Policy 2227: Outside Employment, respectively.

II. Policy Statement

A faculty member’s primary professional commitment is to their teaching, research, service, and administrative responsibilities at the University. Outside Professional Activities that interfere with a faculty member’s, or an Investigator’s, professional obligations to the University represent a conflict of commitment.  A conflict of commitment is a situation in which an individual accepts or incurs conflicting obligations between or among the University and other entities. Any Outside Professional Activity a faculty member performs, or commits to perform, at or for an entity other than the University has the potential to create a conflict of commitment. The potential for conflict of commitment depends both upon a faculty member’s obligations to the University, and upon the nature and extent of the faculty member’s obligations to other entities. Conflicts of commitment also can intersect with regulatory requirements pertaining to externally sponsored research. Faculty members must report to their Chair (or Local Unit Administrator) any activity that is likely to create a conflict of commitment as set forth in this policy.  This requirement applies regardless of whether any compensation is received for the outside activity or commitment.

For Investigators on sponsored research projects, Outside Activities must be disclosed as required by federal regulations.

III. Definitions

Annual Certification: a report made at least once every twelve months to Mason’s online disclosure system of Outside Professional Activities (Faculty) or Outside Activities (Investigator).
Investigator: means an investigator on an externally funded research project, as defined in the Externally Funded Research section of Policy 4001, Conflict of Interests.
Outside Activities: means an activity that an individual performs or commits to perform at or for an entity other than Mason.
Outside Professional Activities: means Outside Activities that are related to one’s professional expertise.

IV. Compliance

Disclosure of Outside Activities shall be made via the University’s online disclosure system.  Failure to comply with this policy will result in discipline consistent with the nature and circumstances of the non-compliance.

A. Outside Professional Activities for Faculty Members
Faculty members must complete an Annual Certification of their Outside Professional Activities. Certification is made using the University’s online disclosure system. Deans, in consultation with Local Academic Units (LAUs), will specify College-level Procedures that implement the Prompt Disclosure, Prior Approval, and Annual Certification requirements to fit the norms and expectations of their units. See the College Implementation Section of the Policy Procedures.

1. Prompt Disclosure
   Outside Professional Activities with significant potential to create a conflict of commitment, such as those that require a significant professional commitment, require additional disclosure beyond what is expected in the annual faculty review process. Engagement in such Outside Professional Activities is limited to the equivalent of one day per week, and disclosure must be provided to the faculty member’s Chair (or Local Unit Administrator) within 30 days. Examples of such Outside Professional Activities include, but are not limited to:
   1. Consulting or testifying as an expert or professional witness;
   2. Serving on a board of directors outside of the University;
   3. Providing or presenting a workshop for industry (for-profit organizations); and
   4. Providing outside consulting services or referrals or engaging in professional practice as an individual or through a single-member professional corporation or sole proprietorship; However, if such activity constitutes a founding or co-founding role or an executive or managerial position with a company, it requires Prior Approval, see below.
2.  Prior Approval
   Outside Professional Activities that are especially likely to create conflicts, or that come under specific Federal or Commonwealth requirements, require prior approval from the responsible Dean. Examples of such Outside Professional Activities include, but are not limited to:
   1. Performing sponsored research, or administration of a grant or award, for an educational institution, trust, organization, government agency, foundation, or other entity outside of the University. Such arrangements, when undertaken as a Mason employee on a subcontract or subaward through the Office of Sponsored Programs (OSP), are a matter of faculty workload and are not outside professional activities.
   2. Affiliations or appointments involving foreign entities or countries, including sponsored research, and including activities that would not otherwise need to be disclosed;
   3. Consulting or employment outside of the University that exceeds the one-day-per-week limit;
   4. Assuming a founding or a co-founding role of a company or otherwise outside of the University;
   5. Assuming an executive or managerial position outside of the University; or
   6. Outside activities, including activities for professional organizations, in which a faculty member uses, or commits to using, university facilities, equipment, supplies, or computer time.

Reasons a Dean may deny a request for approval include, but are not limited to:

• • interferes with the performance of regular employment;
  • competes with coursework offered by the University;
  • competes with services offered by the employee’s unit, such as providing workshops to industry (for-profit organizations);
  • competes with research conducted at the University.

A Dean’s decision to deny a request for approval may be appealed to the Provost. The Provost’s decision regarding any such appeal is final.

Although faculty members are state employees, they consult as private individuals, and the University is not responsible for their work outside the University. When engaging in any Outside Professional Activity as described in the above sections, faculty members should take care to preserve the distinction between projects undertaken through individual initiatives and projects sponsored or officially sanctioned by the University.

B. Externally Sponsored Research
This Section applies to all Investigators. In addition to the Federal disclosure conflict of interest requirements implemented in University Policy 4001: Conflict of Interest, Investigators who apply for any externally sponsored research also must disclose Outside Activities that have a significant potential to create a conflict of commitment. Examples of such activities include, but are not limited to:

1. Teaching at an educational institution outside the University;
2. Performing research or administration of a grant or award at an educational institution, trust, organization, government agency, foundation, or other entity outside of the University;
3. Activities, affiliations, or appointments with foreign countries or entities, including externally sponsored research, and including activities, such as those within the course and scope of University employment, that would not otherwise need to be disclosed. Such activities are subject to Federal regulations;
4. Consulting or employment outside of the University;
5. Assuming a founding or a co-founding role or an executive or managerial position of a company or otherwise outside of the University;
6. Consulting or testifying as an expert or professional witness;
7. Providing outside consulting services or referrals or engaging in professional practice as an individual or through a single-member professional corporation or sole proprietorship.
8. Serving on a board of directors outside of the University; and
9. Providing or presenting a workshop for industry (for-profit organizations);

In addition to the above, all Investigators must complete an annual certification that their prior disclosures are accurate and up to date. Certification is made using the University’s online disclosure system.

 V. Dates

A. Effective Date:
This policy will become effective on September 1, 2023.

B. Date of Most Recent Review:
N/A.

VI. Timetable for Review
This policy, and any related procedures, shall be reviewed every two years.

VII. Signatures

Approved:
_____/S____________________
Executive Vice President for Finance and Administration

Approved:
____/S_____________________
Provost and Executive Vice President

Date approved: May 03, 2023

Page last updated: January 31, 2024