Personal and Professional Service Contracts

Policy 509.20

Introduction

1.1 This policy provides guidance related to service contracts entered into by Appalachian State University to insure compliance with all applicable federal and State laws, and University policies.

Scope

2.1 This policy applies to all faculty and staff.

Definitions

Personal and Professional Services

“Personal and professional services” are those performed by a professional individual on a temporary or occasional basis, including but not limited to those provided by a doctor, dentist, attorney, architect, professional engineer, scientist, or performer of the fine arts and similar professions.

Consultant Services

“Consultant services” shall mean work or task(s) performed by state employees or independent contractors possessing specialized knowledge, experience, expertise and professional qualifications to investigate assigned problems or projects and to provide counsel, review, analysis or advice in formulating or implementing improvements in programs or services. This includes, but is not limited to, the organization, planning, directing, control, evaluation and operation of a program, agency or department.

Policy and Procedure Statements

Personal Services

4.1.1 Personal services are those performed by a professional individual on a temporary or occasional basis, including (by way of illustration, not limitation) those provided by a doctor, dentist, attorney, architect, professional engineer, scientist, or performer of the fine arts and similar professions.

Contracts

4.2.1 Personal service contracts are not reviewed by the Purchasing Office unless the services are consulting in nature, in which case they will be forwarded to Raleigh for review and approval by the Department of Administration. Care must be taken to ensure that personal service contracts are not used to circumvent personnel procedures and that the appearance of an employer/employee relationship is not created. It is the policy of Appalachian State University that goods or services will not be purchased from Appalachian State University employees or State employees. Prior to initiating a personal service contract, the responsible individual should contact the Controller to verify that the person performing the service can legally be paid for contracted services and is not classified as an Appalachian State University employee.

4.2.2 The contract is to include the following information:

1. The name, address, and social security number of the person with whom the contract has been made.
2. The services to be performed by the individual contracted with and the dates the services begin and end.
3. The total amount of compensation for the services performed (an all inclusive amount, unless otherwise approved by the Controller).
4. Signatures by: The person contracted with, the chairperson of the department for which the services are performed, the dean of the appropriate college, and the applicable vice chancellor. The vice chancellor, if he or she desires, may delegate his or her signature authority.

4.2.3 Such delegation must be in writing (to the Controller), and it may not be delegated below Assistant Vice Chancellor level.

4.2.4 Payment for Services - Persons paid for services performed will be paid from the contract.

Personal Service Contracts Procedure Reference

4.3.1 Review Purchasing Policy Statement 22, Personal Service Contracts.

Procedure Description

4.4.1 Payment for services performed will be made from a contract and a procurement request. See Purchasing Policy Statement 22, Personal Service Contracts for restrictions and limitations.

Procedure Steps

1. Contact the Controller to verify that the person performing the service can legally be paid for contracted services.
2. Initiate a contract; if you have a question about the appropriateness of the contract form, consult with your dean or vice chancellor's office and/or the University Attorney. See Purchasing Policy Statement 22, Personal Service Contracts for required signatures.
3. Have the person being contracted with fill out a W-9 form for IRS purposes. If the person contracted with normally works for another N.C. State agency, a CP-30 form is to be filled out in lieu of a W-9 form.
4. Initiate a procurement request (not necessary with a CP-30 form).
5. Submit the contract, the procurement request and the W-9 form (or the contract and the CP-30 form with all carbons) to the Controller's Office for payment.