Authorization for Individual Services – Outside Consultants – Payee Information Form – Standard Business Agreements – Useful Links and Forms – Visiting Scholars and Students – Visitor Parking Permits – Who Can Be Paid via APS
Previously known as APS (Authorization for Professional Services), an Authorization for Individual Services (AIS) is required to pay individuals who are not regular employees or cannot be paid via a regular purchase order. Your support staff needs your assistance in completing this form. In addition to the obvious sections in the form, here are some sections not to be overlooked:
- AIS forms should be completed before service date begins. Also, please allow ample time for processing. The form generally requires 2 approvals before reaching the Dean’s Office.
- Consultant should only sign and date form after service completion. The date must be after the ending period listed on the form.
- Nepotism section must be filled in. Does your consultant have any relatives working at UT or related to a Regent?
- Late requests will need to be accompanied with a reasonable explanation. “I forgot this form was needed” is NOT a valid reason.
- If the consultant works for another state agency, his/her supervisor will also need to sign the form.
Occasionally the School must hire individuals to provide specific services that our own faculty or staff cannot provide. For example, keynote speakers at School-sponsored conferences are hired by the University for a few days so that they can provide their services, have their travel expenses paid for by the School, and possibly receive an honorarium. These individuals are casual employees or independent contractors.
UT defines a casual employee in the Handbook of Business Procedures as:
An individual who has been determined to be an employee for income tax purposes based on the evaluation of the individual’s relationship with The University and the degree of control over the individual. The term casual employee was created by The University to distinguish this type of employee from regular full, part-time, or temporary University employees appointed through Human Resource Services.
UT defines an independent contractor in the Handbook of Business Procedures as:
An individual who has been determined to be a non-employee for income tax purposes based on the evaluation of the individual’s relationship with The University and the degree of control over the individual.
Casual Employee or Independent Contractor’s payments are generally handled via an Authorization for Individual Services (formerly known as an APS – Authorization for Professional Services). If you do not have mainframe access to process an AIS, then you need to fill out the old APS form and provide all required information to a staff member who can then process the AIS on the web. You must complete both the APS and the Independent Contractor Checklist. Incomplete forms will not be processed.
If a paper APS must be submitted, it must have the appropriate signatures before it reaches final approval at the Dean’s Office. Make sure you obtain all other information and required signatures (PI, director, etc.). Then the Designated Final Approver, DFA (Egídio Leitão or Julie Cunniff), can sign the paper APS. No expenses related to a casual employee’s or independent contractor’s services (such as hotel costs) can be paid by the School unless the APS or AIS form is completed in advance and prior to services being rendered. Arrangements should be made as far in advance as possible in order to acquire the proper approvals.
This form is required for new consultants and businesses that you intend to pay for services provided. The form must be completed and returned to your support staff in order to set up a vendor identification (VID) number. If it is an individual, a legible copy of a driver’s license is required along with the completed PIF.
In situations when a purchase order or AIS cannot be used, you will probably need to use one of UT’s Standard Business Agreements. There are several standard business agreements for hotels, inter-agency contracts and other businesses.
Our faculty and administration often get requests from scholars and students from other universities and institutions in the U.S. and abroad to come to our School to spend from weeks to months as visiting scholars. That our faculty is recognized for its expertise and that people want to study or collaborate with us is very important. Such requests sometimes bring great opportunities to individual faculty members and to the School.
However, we cannot accommodate all requests as they impose costs in the forms of time, space, resources, and money on our School, even when visitors come with their own subsidies. History shows that it requires considerable dedication by the faculty member to host a visiting scholar.
The Executive Committee and Dean are committed to insuring that only under certain conditions can we accommodate a visiting scholar. Before visitors can be approved, there must be a UT SSW faculty in their area of study and can show that their work is a good match for our School.
The UT SSW faculty member must either decline the request or consider it further.
In the event a faculty member entertains the prospect of hosting a visitor, the responsibility falls on the faculty member to make an application to the Executive Committee and Dean providing a detailed plan of the arrangement for the visiting scholar, including any accommodations being requested (e.g., office space, access to computers and library resources, copying, supplies, etc.). Under no circumstances should the faculty member commit the School to hosting the visitor until two levels of approval occur: the Executive Committee and the Dean.
The Executive Committee and the Dean have agreed to a set of conditions:
- The UT SSW faculty member must make a detailed written request that includes:
- The proposed visitor’s vita and any other information about the individual that may assist in making the decision.
- A statement of how the visit will benefit the requesting UT SSW faculty member’s work and/or benefit the UT SSW, its faculty, students, and staff.
- Details about what the visitor plans to accomplish while here.
- Any plans for colloquium or other unreimbursed services the visitor will provide to the UT SSW while here.
- The UT SSW faculty member will be responsible for the behavior and proper conduct of the visiting scholar, and must insure that she or he will help acclimate the visitor to the School.
- Any participation by the visitor in classes or seminars or other official School activities must be approved by the person or entity sponsoring the class, seminar or other event.
- The School will not be responsible for accommodating the visitor’s academic needs, but the faculty member responsible for the visitor is free to assist the visitor or to call on others who may be willing to assist.
- The School will require a fee of $1,250 for every three-month period [quarter] of the scholar’s visit to cover administrative overhead. This fee will go to the Office of the Dean. The fee may be waived in special circumstances (e.g., where the visit will be of special benefit to the UT SSW or when the fee would be too burdensome for a visitor or his/her institution).
- Once the Executive Committee and Dean approve the request, the UT SSW faculty member requesting the visit is to prepare an agreement that includes all details of the visit and the anticipated collaboration as noted in the points above. Once the dean has approved this agreement, both the host faculty member and the visitor must sign it.
Adopted by the UTSSW Executive Committee on 10-16-12.
The School does not govern the visitor parking spaces around the SSW building. The spaces are controlled by the University’s Parking and Transportation Services (PTS). Several administrative offices in the School have one-time parking passes for official guests, such as guest lecturers. If your area wishes to purchase those one-day passes in advance, you can visit the PTS’ Departmental Parking page for the necessary forms. After completed, the forms need to be signed at CSWR or Dean’s Office.
In general, the Authorization for Professional Services (APS paper document) or PBS (POINT Plus electronic document to authorize individual services) is used to authorize unique, low-risk services provided by an individual or sole proprietor.
Information technology services are considered moderate to high risk services, so they cannot be authorized by the APS/PBS if the work is to be performed by an independent contractor.
The APS or PBS may not be used to procure services from an independent contractor for computer programming, website design or editing, software development, creating a database, or other information technology (IT) services. Instead, the department must contact the designated buyer to determine whether a purchase order can be used. If a purchase order cannot be used, Purchasing will refer the department to Business Contracts for assistance.
The APS or PBS may be used to authorize IT services to be provided by a university employee who is working as a casual employee. The employee must have a Position of Special Trust form on file or must complete the form and provide the department with a PDF copy of the form before the employee will be authorized to provide the service.
Note: The Employee/Independent Contractor Classification Checklist (EICCC) is required for current University of Texas employees to determine that they are casual employees
For further information, contact the Business Contracts section of the Office of the Vice President and Chief Financial Officer.