APP 1-15 Conflict of Commitment and Outside Activities

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. With changing security policies and concerns, the University must continue to be proactive to protect our intellectual property, strengthen our collaborations, and preserve the reputation of our research enterprise. The University has established specific guidelines for managing conflicts of commitment, whether actual or perceived.

1. Faculty subject to APM 025 and APM 671
   APM 025 and APM 671 applies to faculty holding appointments in one of the following title series at 50 percent 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. Professor of Teaching
2. 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.

2. Recalled Faculty
   1. Faculty who have retired and recalled to active service for appointments at or less than 43 percent time are not subject to APM 025.
   2. Health Sciences Compensation Plan Faculty:  Faculty who have retired and recalled to active service for appointments at or less than 43 percent time are subject to the provision of APM 671.

Outside professional activities fall under three categories:

1. 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.
2. Category II activities are typically shorter-term outside professional activities that are outside the course and scope of University employment.
3. Category III activities are within the course and scope of University employment.

Teaching in Self Supporting Degree Programs*

* 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.

1. Category I activities include, but are not limited to:
   • Teaching, research, or administration of a grant at an educational institution, trust, organization, government agency, foundation, or other entity outside of the University; Grants submitted on behalf of a professional society are exempt from this restriction;
   • Employment outside of the University;
   • Assuming a founding/co-founding role of a company;
   • Assuming an executive or managerial position outside of the University;
   • Current or pending acceptance of an honorary, visiting, adjunct, or other institutional appointment (either compensated or uncompensated) at an outside institution;
   • Participation in or application to talent recruitment programs sponsored by a government agency of a nation other than the United States.
2. Category II activities include, but are not limited to:
   • Additional University-compensated teaching, including teaching for UNEX courses and programs (see APM – 662, Additional Compensation: Additional Teaching), other continuing health education programs run by the University, and self-supporting UC degree programs;
   • Consulting under the auspices of the University of California;
   • Consulting or testifying as an expert or professional witness;
   • Consulting for for-profit entities;
   • Consulting for non-profit entities;
   • Consulting for non-profit health or education-related organizations;
   • Consulting for government agencies;
   • Serving on a board of directors outside of the University whether compensated or uncompensated;
   • Providing or presenting a workshop for industry;
   • Providing outside consulting or compensated professional activities performed for entities such as the Los Alamos and Lawrence Livermore National Laboratories;
   • Other income-generating activities specified in approved Implementing Procedures.
3. Category III activities include, but are not limited to:
   • Serving on government or professional panels or committees or as an officer or board member of a professional or scholarly society;
   • Reviewing manuscripts; acting in an editorial capacity;
   • Attending and presenting talks at university/academic colloquia and conferences; and
   • Developing scholarly or creative works.
   • Accepting honoraria for scholarly, intellectual, educational, outreach work within the course and scope of employment; and,
   • Receiving prizes, defined as gifts in recognition of personal achievements and not for services rendered.

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

1. Time Limits:
   1. Faculty covered under APM 025, may engage in Category I and II outside professional activities for up to 39 days per year for academic-year faculty and 48 days per year for fiscal-year faculty.  
   2. Summer Months: There are no restrictions on the number of days of Category I and II, unless faculty receives additional summer compensation, then the applicable limit is one day per week engaging in Category I or II activities during the period in which compensation is received.  This is distinct and separate from the regular year time limit of 39 days.
   3. UCI faculty covered under the Health Sciences Compensation plan, APM 671, has a maximum threshold of 21 days per fiscal-year engaging in Category I or II activities.  Time limits for part-time faculty are pro-rated based upon appointment percentage.  Prior approval is required before exceeding the time threshold.  Final approval authority is the Vice Provost for Academic Personnel.
2. Compensation:
   1. Faculty covered under APM 025 are required to report in-kind contributions, such as office/laboratory space, equipment, supplies, or employees/students supported by an outside source.
      1. If the time commitment/dollar amount is not available, reasonable estimates should be provided.
      2. Compensation des not include training awards, prizes of gifts. An item or service given with the expectation of an associate time commitment is not a gift and is instead compensation and should be reported appropriately.
   2. Faculty covered under APM 671
      1. Income Threshold: APM 671 includes the annual outside professional activities earnings approval threshold for fiscal year appointees. The maximum annual outside professional activities approval threshold is up to $40,000 or 40 percent of the fiscal-year base salary scale (scale 0), whichever is greater, for an individual faculty member’s rank and step.
      2. Over the earnings threshold: Income earned above the approval threshold, with the exception of income earned from Category III activities and certain other activities listed in APM 671-10-b, must be deposited to the Health Sciences Compensation Plan (HSCP). Departments have the authority to distribute a portion of or the entire amount of the deposited income, after assessment, and with the exception of income set aside for academic enrichment, to the individual faculty member, consistent with applicable law and University policies.
3. Prior Approval:
   Prior approval should be sought at least sixty days (60) in advance of the expected activity. Department Chairs seeking prior approval must obtain Dean’s approval. Reporting and final approvals are routed through UC OATS system. The faculty member must receive approval before commencing the outside activity. Prior approval must be renewed annually unless otherwise specified.
   
   Prior approval is required before engaging in:
   
   1. Category I activities that occur in the United States and outside the United States
      1. Activities that occur outside the United States will require an enhanced review process in consultation with Office of Research and Office of Academic Personnel.
   2. Category II activities that exceed the maximum number of days permitted.
   3. Activity in any Category that involves students in outside professional activities for whom you have or expect to have academic responsibilities. Please see Student Involvement section.
4. Reporting:
   1. Annual Certification: All faculty members must submit an annual certification through UC OATS by January 15 of each year, even to report “no activities.”  The annual certification 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. Please visit UC OATS to report outside professional activities.
   2. Under APM 025, only Category I and II activities must be reported.
5. Student Involvement:
   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 approval from his/her Department Chair through UC OATS before involving the student, regardless of whether the faculty member is compensated for, or has a financial interest in, the activity.
6. Leave of Absence or Change in Work Location to Conduct Outside Professional Activities:
   If a faculty member needs to request a leave of absence or a change in work location from the University to engage in outside professional activities, prior approval from the Vice Provost for Academic Personnel is required. The faculty member should work with their Department Chair and Dean’s office to forward the request to the Office of Academic Personnel. For more information, please visit APP 7-17 and APP 7-18.

Applies to the following titles:

1. Professional Research Series
2. Project Scientist Series
3. Specialist series

Designated Other Academic Appointees must comply with applicable federal agency disclosure requirements if participating in federally funded research projects including:

1. Non-US talent recruitment programs
2. Acceptance of visiting and honorary appointments at outside institutions of higher education and research.

Please consult with the appropriate Contracts & Grants officer for additional guidance and reporting obligations.

Deans (APM 240) and Faculty Administrators (APM 246) who hold a 100% appointment in an administrative role, may engage in outside activities as defined by and in accordance with APM 025. If faculty have a concurrent Health Sciences Compensation Plan appointment, faculty are subject to APM 671, including the following restrictions:

1. Under APM 240 (Deans) and 246 (Faculty Administrators – 100% Time) all Category I and II activities must be reported, and all compensated activities must be reported (Category I, II, and III). Please see Deans and Faculty Administration section.
2. Deans and Faculty Administrators – 100% may serve on no more than three for-profit external boards, outside of the University of California, for which they receive compensation and for which they have governance responsibilities.
3. All compensated outside professional activities, including compensated consulting activity, shall be reported annually through UC OATS.
4. In accordance with APM – 025/671, each fiscal year, Deans and Faculty Administrators -100% may engage in a maximum of 48 calendar days of compensated outside professional activities. Of those 48 calendar days, Deans and Faculty Administrators – 100% may engage in compensated outside professional activities up to twelve (12) University workdays per fiscal year without using their vacation leave. Beyond twelve (12) days, Deans and Faculty Administrators -100% shall use accrued vacation leave for performing compensated outside professional activities.