209. Outside Consulting by Employees
Statement
Santa Clara believes that consulting work performed by its employees outside the University can be beneficial both to the employee and to the institution. Consulting work outside the University is subject to prior approval by the department or division head. However, employees engaged in outside consulting represent only themselves, and not the University.
For purposes of implementing this policy, consulting work is defined as professional activity related to a person’s University field or discipline in which a fee-for-service or equivalent relationship with a third party exists. This definition is intended to encompass many activities. For purposes of this definition however, one is acting as a consultant if three conditions exist:
- The person uses his or her professional capabilities;
- The person is paid some form of remuneration, whether in cash or benefits; and,
- The person is acting to benefit a third party.
Procedures
Any plan to perform consulting work must be discussed first with the employee’s supervisor or department head. The employee is required to give full disclosure of the consulting activity, which must include:
- Name of company or organization to be rendered consulting service;
- General nature of consulting agreement;
- Length of time consulting work is expected to continue;
- Hours to be worked;
- Financial interest of the employee in the company or organization;
- A statement from the employee that to the best of his/her knowledge, the consulting work will not have adverse impact on the University; and,
- A certification from the employee that he/she will refrain from participating in any decision making involving the University, the outcome of which may tend to give preference or benefit to the company.
- Actual income from consulting work is not subject to disclosure.
The employee’s supervisor or department head will recommend approval or disapproval of the request to the appropriate department or division head.
The University does not allow its resources to be used by any employee performing consulting work. Such resources include, but are not limited to, office equipment including computing equipment, office supplies, materials, campus facilities, telephone, and personnel services. The University will not allow any of its information, records, data and files to be used by the employee in connection with his or her consulting activity. No consulting work will be permitted during an employee’s regularly scheduled hours of work for the University, unless the employee seeks and obtains prior supervisory approval to use available vacation time to cover the hours.
All employees engaged in consulting work must be sensitive to situations in which consulting may create a conflict of interest or might give the appearance of conflict. Conflict of interest exists when an activity results or appears to result in a negative influence on the welfare of the University. However, no pronouncements about conflict of interest can substitute for individual integrity and common sense.
Responsibility
It is the responsibility of the individual employee to report and request approval of any plan to engage in consulting work. The supervisor or department head has the responsibility to recommend approval or disapproval of such request to the appropriate dean, director or vice president.
Resources
Refer to Conflict of Interest (304) for more information regarding work or situations that may reflect a conflict of interest, to Professional Conduct (303) for information on appropriate behavior, or to the Sponsored Projects Office's Conflict of Interest policy. Contact Human Resources with questions, or for more information regarding this policy.
Policy Approved: October 23, 1998
Last Updated: October 28, 1998
Last Reviewed: June 30 2022
Maintainer: Human Resources