Faculty ConsultingFaculty Consulting

• “ … consulting activities provide a range of benefits including fostering economic development, enhancing the reputation of the University, promoting faculty development and enhancing the faculty’s ability to bring to the classroom current and relevant ‘real world’ experiences, among others.”

• Consulting is an activity performed by a faculty member for compensation as a result of his/her expertise or prominence in his/her field while not acting in his/her official capacity as a State employee (i.e. in his/her own time.) The University's Laws and Bylaws prohibit faculty from consulting on "time due to the University".

• Keys To Consulting– For compensation– Result of a faculty member’s expertise or prominence– Not acting as a State employee

Consulting

The Department Head’s RoleThe Department Head’s Role

• First line of review and approval

• Ensure that the consulting activity does not prevent the faculty member from carrying out his/her assigned duties

• Ensure that the consulting activity is not competing with the University of Connecticut

• Determine if the consulting activity contributes to the faculty member’s professional expertise or academic reputation

Consulting

What to look for while reviewing?What to look for while reviewing?

• Conflicts of Interest

– Does the faculty member own a portion of the contracting entity?

– Do they have a grant/contract from the contracting entity in their State position?

– The Faculty Consulting Office (FCO) will contact the Office of Sponsored Programs (OSP) to ensure that faculty members are up-to-date on financial disclosures

Consulting

What to look for while reviewing?What to look for while reviewing?

• Time Due to the University– “Any time necessary for successfully carrying out the duties assigned to

and for which a faculty member was hired. This includes both sufficient time to perform assigned duties as well as sufficient opportunity to meet with other faculty, staff and students.”

– The University's Bylaws prohibit consulting on “time due to the University”

• Normal Work Time/DaysIf on a 9 month appointment, will they devote more than 39 days to

their consulting activities during “normal work times/days”?• Normal work time/days are Monday – Friday, 8:00 am – 5:00 pm and not

weeknights, weekends, or holiday and vacation days• 10 month appointments may consult up to 44 days per fiscal year• 11 month appointments may consult up to 48 days per fiscal year

Consulting

How do I review and approve?How do I review and approve?

• Faculty Members will submit using the online system:– Online Faculty Consulting Approval System (OFCAS)

• http://consulting.uconn.edu• https://myconsulting.uconn.edu

• Department Heads, Deans, Faculty Consulting Office, Provost’s Office will receive approval emails:– http://myworkflow.uconn.edu

Consulting

How do I review and approve?How do I review and approve?

• Regular Approval (over $1,000 per activity and/or exceeds $5,000 over the Fiscal Year for particular contracting entity)– Faculty members cannot begin consulting activity without full

approval for Regularly requests

• Accelerated Approval (up to $1,000 per activity and does not exceed $5,000 over the Fiscal Year for particular contracting entity)– Faculty members may begin consulting activity following

department head approval.

Consulting

Accelerated ApprovalAccelerated Approval

• What Qualifies?– Scholarly Presentation • Contracting entity must be a state or federal agency,

non-profit entity, higher education unit, or state-national professional society

– Educational (non-promotional) presentation– Educational (non-promotional) course or

workshop that does not compete with the University

Consulting

Accelerated ApprovalAccelerated Approval

– Participation in fine arts/artistic performance– Writing a book, book chapter, introduction to a

book, pamphlet, educational web/computer module, or examination questions• Contracting entity must be a state or federal agency,

non-profit entity, higher education unit, or state-national professional society

– Review of a book chapter or manuscript to be published in a peer review publication

Consulting

Accelerated ApprovalAccelerated Approval

– Review of a book chapter or manuscript to be published in something other than a peer review publication, or serving as an editor• Contracting entity must be a state or federal agency,

non-profit entity, higher education unit, or state-national professional society

– Review of student theses, membership on thesis committee, and/or development of a reference or review for PTR decision• Contracting entity must be higher education unit

Consulting

Accelerated ApprovalAccelerated Approval

– External program, department, school, or institution review• Contracting entity must be higher education unit or

accreditation granting agency

– Review of grant proposals• Contracting entity must be a state or federal agency, non-

profit entity, higher education unit, or state-national professional society

– Safety or scientific advisory committee of an IRB approved clinical trial

– Legal Advice/Expert Witness

Consulting

Where Can I Find this Information?Where Can I Find this Information?

• Consulting Website (http://consulting.uconn.edu)– Policy– Procedures– Accelerated Approval Process

• Submission Form (https://myconsulting.uconn.edu/)

• Approval Queue (http://myworkflow.uconn.edu)

Consulting

When Problems AriseWhen Problems Arise

• Late Requests – When a request to consult is submitted late (i.e., either received by

the Department Head, Dean or the Faculty Consulting Office (FCO) on or after the start date of the activity, or submitted before the start date, but without sufficient time to process it. Ordinarily, at least one week lead-time is suggested.)

– First occurrence – letter or phone conversation explaining implications

– Second occurrence - letter explaining sanctions will be imposed with next occurrence

– Third occurrence – letter to personnel file and all remaining requests (within Fiscal Year) will be denied

– Fourth occurrence – Indefinite suspension of consulting permission

Consulting

When Problems AriseWhen Problems Arise

• Occurrence count will reset each Fiscal Year

• Exceptions– When offer to consult was received so close to the start date that

approval was impossible– Delay at school/college administrative office

• Generally, granted to Accelerated Approval requests

• Sanctions will be case-by-case for faculty who consult after denial of request, fail to submit a request, or other non-compliance

Consulting

ReconciliationReconciliation

• Reconciliation must occur by September 15 following the close of the Fiscal Year– OFCAS allows for online reconciliation

• Failure to Reconcile– No further requests to consult will be approved until 3 months

after the missing reconciliation reports are received

– Notification letter to faculty member and department head• If the faculty member doesn’t complete all overdue reconciliation reports

within two weeks of this issuance of this notification letter, permission to participate in all currently approved consulting activities will be revoked.

Consulting

TravelTravel

• Submission– Approval is needed for all out-of-state Travel

– Travel Approvals are submitted through an online system • http://ta.uconn.edu

– Travelers can submit their our requests, or someone can submit a request on their behalf.

Travel

TravelTravel

• Approval– Department heads and Deans approve all domestic travel– Department heads and Deans approve all travel below

$10,000

– The Provost’s Office approves international travel (for insurance purposes)

– The Provost’s Office approves all travel above $10,000

Travel

TravelTravel

• Approval – What to Look For– Does the travel request enhance the faculty member’s

position? Does it strengthen their reputation and the University's? Is the travel related to their professional duties or field?

– Dates of travel – do they conflict with the faculty members teaching schedule? Has the faculty member resolved any conflicts?

– Correct KFS Accounts and estimate of expenditures

Travel

TravelTravel

• Late Requests– Online system does not allow late requests

– Hard copies of late requests must be signed by the department, dean’s office, and the Provost’s office.

Travel

TravelTravel

• Proxy System– Department Heads can delegate approval authority to staff

members• Travel requests can be routed to the department head and their

delegate(s), or just to the delegates.

– Contact the Provost’s office (Brandon Murray) to set up, update, or remove proxies.

Travel

TravelTravel

• HTH Insurance– For trips up to six months (185 days), the Provost’s office

supplies travelers with international health insurance• Travelers are responsible for travel insurance for the balance of their

trip

– HTH only covers the traveler, not their spouse/partner or children

– The Provost’s office enrolls travelers in HTH insurance once a week

Travel

TravelTravel

• Policy– New Travel & Entertainment Policies will be presented to

the Board of Trustees at the September 27 meeting.

Travel