BOT-34 Guidance

The following list of activities has been created to provide guidance related to pre-approval and disclosure requirements for different external activities. This table is not exhaustive and meant as guidance. If you are unsure if your external activity requires pre-approval you should err on the side of caution and request pre-approval.

Activities that Require Pre-Approval

ACTIVITIES & RELATIONSHIPS (PAID AND UNPAID)

• Consulting, Professional Services, and Other Outside Employment: Any professional activity related to your activities and expertise at IU and involving a contract or legally binding document that is not signed on behalf of IU
• Fiduciary Roles: Board of Directors, Officer, or other fiduciary roles in an external entity related to your university responsibilities, whether compensated or not
• Advisory Role; any advisory role at an entity that is also doing business or contemplating doing business with IU
• Start-ups: Creation of a new company related to your activities and expertise at IU (faculty start-up, non-profit, or consulting company)
• Use of Resources: Any activity involving the use of University resources beyond incidental personal use of IT resources allowed under IT-01
• Gifts, Gratuities, or Benefits: Any item that does not fall under the exemptions listed in the right-side column

ACADEMIC SERVICE (DOMESTIC)

• Activities not listed as exceptions: Any academic service that conflicts with IU commitments or involves a contract between you and another entity

INTERNATIONAL ENGAGEMENTS

(see also Research Security Policy RP-11-012)

• All Appointments: Any appointment, title, or affiliation with a foreign country of concern/entity (paid or unpaid) 
• Foreign Talent Programs: Participation in any foreign talent recruitment program (paid or unpaid)

OWNERSHIP & FINANCIAL INTERESTS

• Vendors: Any equity/ownership in a private company that contracts with IU as a supplier
• Overlap:Ownership in a company providing goods/services related to your expertise or scholarship
• Contracting with IU: Plans to sell something or contract with IU as an individual
• Purchasing/Vendor: Any uncompensated role with a company that is currently bidding on a contract with your department

FAMILY INTERESTS (NEPOTISM)

(See also Nepotism and State COI Websites)

• Supervision: Direct or indirect supervision of a family member or romantic partner 
• Financial Influence: All situations where any level of control is exerted by an IU employee over IU-related financial activities of a family member or romantic partner.  This includes all Principal Investigators and Fiscal Officers with responsibility over accounts from which a family member or romantic partner receives any payment 
• Academic Influence: Any situation involving official influence over the academic progress of a family member or romantic partner, including but not limited to teaching classes, participation on academic committees, scholarship award decisions, etc. 
• Contracts: Situations where a spouse/dependent has a financial stake in an IU contract or purchase
• State Conflict of Interest: The Indiana Criminal Code requires that new or significant changes in financial interests involving IU be declared for a:
  • Spouse
  • Child/stepchild/adoptee who is unemancipated and less than 18 years old
  • Individual for whom you provide more than ½ support during the year

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Primary And Secondary Responsibilities Or External Activities That Do Not Require Disclosure

ACTIVITIES & RELATIONSHIPS (PAID AND UNPAID)

• Professional Development: Authorized professional development activities 
• Uncompensated volunteer activities (e.g., community service, religious organizations, non-profits not related to your research) 
• Uncompensated speaking or performance engagements (e.g., at high schools, local libraries, civic groups) 
• Helping family members with non-professional tasks or businesses (provided the business is not an IU vendor)
• Gifts, Gratuities, or Benefits:
  • Items of de minimus aggregated annual value below $100
  • Meals, beverages, or entertainment as part of a business meeting or discussion or in conjunction with attendance at a conference or similar event
  • Conference registration waivers from the academic appointee’s or employee’s attendance at the conference or where the academic appointee or employee is a speaker, moderator or other participant
  • Payments from U.S. government or not-for-profit entities for:
    • Participation in conferences, seminars, lectures or other educational activities
    • Participation on boards, advisory committees or review panels

ACADEMIC SERVICE (DOMESTIC)

• US Government Service: Service to US federal agencies (e.g., peer review panels, advisory boards) 
• US Academic Institutions:
  • Guest lectures or performances at US institutions
  • Peer review of colleagues/programs at US institutions
  • Advising and mentoring on research activities
• Grant Review: Grant reviewer for US government or US entities 
• Book review: Book reviewer for US government or US institution of higher education 
• Presentations: Speaking about university work and performances to professional/public audiences (libraries, societies, universities) when compensation is under $5,000

INTERNATIONAL ENGAGEMENTS

(see also Research Security Policy RP-11-012)

• International Conferences: Attending international conferences where you are not receiving an honorarium or personal payment beyond travel reimbursement (unless funded by a foreign government):
  • Any international activity that is occurring through IU such as funded research or study abroad
  • Uncompensated travel or speaking for non-US entities that are not in countries of concern

PROFESSIONAL SOCIETIES

• Membership & Service: Membership in a US professional society
• Reviewing: Reviewer of book or journal articles

OWNERSHIP & FINANCIAL INTERESTS

• Passive Investments: (e.g., Mutual funds) where you do not control investment decisions
• Supplemental pay from IU: this exception does not include payments pursuant to a contract or purchase

FAMILY INTERESTS (NEPOTISM)

(See also Nepotism and State COI Websites)

• Non-IU Activities: Family activities unrelated to IU business or your supervision

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