APP 1-15 Outside Professional Activities Report

Explains University policy governing outside activities of faculty and sets out reporting and prior approval requirements.

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A. Background

The University encourages faculty to engage in outside activities that contribute to their respective professions or benefit the larger community. Nevertheless, outside activities, whether compensated or uncompensated, must not interfere with a faculty member’s full-time commitment to the University. Furthermore, outside activities involving a student must not interfere with a student’s primary obligation to learn. The University has established specific guidelines for managing conflicts of commitment, whether actual or perceived.

B. Applicability

Applicable Policies

APM 025 applies to faculty holding appointments in one of the following title series at 50% or more:

  1. Professor, including Acting titles
  2. Professor in Residence
  3. Adjunct Professor
  4. Professor of Clinical (e.g., Medicine)*
  5. Health Sciences Clinical Professor*
  6. Clinical Professor of Dentistry*
  7. Lecturer or Senior Lecturer with Security of Employment
  8. Lecturer with Potential Security of Employment

*Faculty holding titles in these series are subject to APM – 025 if not participating in the Health Sciences Compensation Plan. Faculty participating in the Health Sciences Compensation Plan are subject to APM – 671 and are not subject to APM – 025.

(See APM 025-14.)

APM 025 does not apply to:

  1. Health Sciences Compensation Plan Participants (governed by APM – 671, titled “Conflict of Commitment and Outside Activities of Health Sciences Compensation Plan Participants.”); or
  2. Emeritus faculty members on recall status at less than 43% appointment.

Health Sciences Compensation Plan Participants are subject to similar requirements of the policy summarized below and have additional approval and reporting obligations related to income from outside activities. For a summary chart of APM 671, please click here. For detailed information, please refer to School of Medicine Compensation Plan Guidelines.

Faculty with Split Appointments (50/50)

At UCI, faculty with split appointments between the School of Medicine and the general campus have reporting responsibility only in the School of Medicine due to their Health Sciences Compensation Plan obligations.

Similarly, at UCI, faculty with split appointments in any other combination of disciplines also need only report in their home department (this avoids duplication of records, unnecessary administrative time, and confusion).

C. Policy

Categories of Outside Professional Activity

Outside professional activities fall under three categories:

  • Category I activities are related to the training and expertise which is the individual’s qualification for University appointment, but performed for a third party, and/or require significant professional commitment. Examples would include: assuming a managerial or executive position outside the University; teaching, research, or administering a grant outside the University; assuming a founding or a co-founding role of a company; or employment outside the University.
  • Category II activities are typically shorter-term outside professional activities that are outside the course and scope of University employment. Examples would include: providing expert testimony in legislative or judicial proceedings; providing consulting services; serving on a board of directors outside the University; teaching in a self-supporting degree-granting program*; providing a workshop for industry; or engaging in additional compensated University teaching activities.
  • Category III activities are within the course and scope of University employment. Examples would include: acting in an editorial capacity; reviewing journal manuscripts; serving on government or professional panels or committees; or serving as a board member or an officer in a professional society.

* If teaching in a self-supporting UC degree program is a part of a faculty member’s regular teaching load and they do not receive additional compensation, then it would not be considered as Outside Professional Activity (OPA) under APM 025/671. However, if a faculty member is teaching in a UC self-supporting degree program and they receive additional compensation, this identifies the activity as outside of a faculty’s regular university teaching duties, and is thus an example of Category II outside professional activities.  This teaching activity is considered as a Category II OPA, subject to reporting under APM 025 as well as the policy time limit (39/48 days during the academic year and 1 day per week during the summer months in APM 025 and 21 days under APM 671) for OPA. While this category of OPA has a time limit, APM 662-24 states that individuals teaching beyond the time limits in self-supporting degree programs can request an exception (requested through Academic Personnel), provided the faculty members assure that full time effort expected to regular university teaching and duties are covered.

D. Procedures

When engaging in outside activities, faculty must abide by certain requirements. These parameters include time limits, prior approval, and reporting.

  1. Time Limits: APM 025 limits full-time faculty members on academic-year appointments to 39 days engaging in Category I or II activities.  Fiscal-year appointees are limited to 48 days engaging in Category I or II activities.  Time limits for part-time faculty are pro-rated based upon appointment percentage.
    If receiving Summer Salary, the applicable limit is one day per week engaging in Category I or II activities during the period in which compensation is received.
  1. Reporting: Each School and Department shall develop annual procedures to request and receive an annual report from every faculty member no later than November 1 in each academic year.  All faculty members must submit an annual report (UCI-AP-3) by November 1 of each year, even to report “no reportable activity.”  The annual report should list all Category I and II outside activities conducted from July 1 through June 30 in the academic year preceding the due date. Faculty may exclude Category III activities.
    Under APM 025, only Category I and II activities must be reported. Under APM 240 and 246, all Category I and II activities must be reported, and all compensated activities must be reported (Category I, II, and III).
  1. Prior Approval: Prior approval is required before engaging in:
    • Category I activities,
    • Category II activities that exceed the maximum number of days permitted
    • Activity in any Category that involves students in outside professional activities for whom you have or expect to have academic responsibility

Prior approval should be sought at least thirty (30) days in advance of the expected activity.   Faculty members seeking prior approval must submit Prior Approval Form UCI-AP-2  to the Chair, who in turn must forward the form to the Dean.  Department Chairs seeking prior approval must obtain Dean’s signature. The Dean’s office then forwards the completed form to the Academic Personnel Office for review and approval by the Vice Provost for Academic Personnel, who is the Chancellor’s delegee for this approval. The faculty member must receive approval in writing before commencing the outside activity.  Prior approval must be renewed annually unless otherwise specified.

Additionally, a faculty member who plans to involve a student in an outside professional activity and who has, or expects to have, academic responsibility (instructional, evaluative, or supervisory) for the student must obtain prior written approval from his/her Department Chair before involving the student, regardless of whether the faculty member is compensated for, or has a financial interest in, the activity.

E. Records

Collection of annual reports has been a delegated responsibility of the dean in each school at UCI. Annual reports of outside activities will be kept on file in department offices. These annual reports should be referenced when considering academic personnel actions regarding the faculty member. As such, relevant years of reports should be kept in the faculty member’s personnel file for review purposes. Annually, Schools must submit a summary of all faculty reports to Academic Personnel.

The Office of the President regularly requests summaries of campus reports on outside professional activities to ensure that reporting is completed on a regular basis and that activities reported are sufficiently described.

Per University policy, annual reports are not confidential and are subject to public inspection.

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