Please note that this document contains examples to illustrate the approval and disclosure processes for different types of activities. It is not meant to be an exhaustive list and should not be treated as such. If you have a question about a particular activity, please ask your Unit Approver, the University Compliance Office, or the Office of Research Compliance for guidance.
Unit Approvers are expected to make reasonable efforts to clarify questions and provide a definitive answer to requests for pre-approval within two weeks of submission. Unit Approvers who cannot meet this expectation consistently are expected to ensure that additional individuals from their unit are given access and training to ensure that this timeline is maintained.
What requires prior approval in the new Pre-Approval of External Activities System?
- Any professional activity other than University Responsibilities (as defined by the Policy) that is based upon or utilizes professional knowledge, experience, and abilities of the Covered Individual that relate to their University employment. External Activities may be compensated or uncompensated and include involvement with any person, trust, organization, enterprise, government agency, or other entity that is not an entity associated with or under the control of Indiana University.
- University Responsibilities are often reflected in reappointment, promotion, and tenure criteria.
- Any situation that may constitute a conflict of commitment, as defined in BOT-34
- Creation of a new company such as a faculty start-up, non-profit, or consulting company
- Consulting
- Teaching for other institutions, even online teaching, or honorary appointments at institutions
- Research activities where funding is entirely managed outside of IU
- Undertaking activities that compete, or have the potential to compete, with Indiana University in areas that are part of the appointee’s or staff’s university responsibilities.
- Significant changes in existing External Activity, such as increased time commitment or increased compensation
- The use of university resources for activities not related to Indiana University
What does not require prior approval?
- Consulting or other professional services performed by faculty or staff when IU is a party to the consulting or service agreement and receives payment for the services being performed
- Authorized professional development activities.
- The following activities which are generally considered part of University Responsibilities (these are examples only and is not intended to be a comprehensive list of what is considered a University Responsibility):
- Activities that contribute toward service, teaching, and/or research and/or creative activity for purposes of promotion and tenure. Refer to campus, school, and/or unit promotion and tenure policies.
- Guest lecture at other US institutions of higher education
- Membership in professional associations and/or learned societies
- Grant review sections
- Evaluation of colleagues at other US institutions of higher education for program evaluation or tenure and promotion reviews
What requires prior approval in other systems?
- Employment situations where you will supervise or exercise influence over a person with whom you have a familial or personal relationship, including all situations in which one person in a familial or personal relationship controls, in whole or in part, a funding source that is used to compensate the other member of the relationship, even if a formal supervisory relationship does not exist.
- Situations in which university employees or their spouse and dependents will have a personal financial stake in a contract or purchase made by Indiana University
What changes are significant enough to require an update to the Conflict of Interest and Commitment Disclosure?
- Acquiring a new fiduciary role in a previously disclosed external entity
- Starting a romantic/intimate relationship with someone who reports to you or who is paid from an account that you control
- Plans to sell something or otherwise contract with IU, either as an individual or through a company in which you hold an ownership interest (NOTE: this situation requires additional steps that must be completed prior to finalizing any contract or purchase involving IU)
- Employment by or performing services for IU-affiliated entities, such as the IU Foundation and IU Health, Eskenazi, and VA hospitals or physician practice plans
- University appointment or assignment of an academic appointee or employee to an external board or committee
- New or significant changes in financial interests for family members as defined in BOT-34
- Any new or significant changes to outside activities that received pre-approval in the Pre-Approval of Outside Activities system
Note: If a situation falls under more than one of the sections above, or a faculty/staff member is unsure about how/if to report it, please err on the side of caution and ASK before proceeding.