012.025 FAQ's

Questions and Answers

1. What are some of the main provisions of the revised policy?

Some of the main provisions: (1) there is a 39 day limit on compensated outside professional activities (48 days for fiscal faculty); (2) there is a requirement for prior approval for certain specified types of activities which are likely to raise issues of conflict of commitment; (3) there is a requirement for all faculty to complete an annual report; (4) faculty are now allowed to engage in compensated outside professional activities while on sabbatical leave- time is included in the 39/48 day limit; (5) UNEX teaching is included in the 39/48 day limit, and the 20% limit on UNEX teaching has been eliminated; (6) faculty members must obtain prior written approval before involving a student in an outside professional activity in which the faculty member has a financial interest. All faculty should read the new policy to become acquainted with the details of these provisions. The full text of the policy is available at: http://www.ucop.edu/acadadv/acadpers/apm/apm-025-07-01.pdf

2. Why has the University instituted these new requirements?

The proposed policy changes are intended to provide a framework through which the University administrators and faculty can assure all of the University's constituencies that potential conflicts of commitment are identified and appropriately managed, while at the same time assuring that faculty may continue to engage in a wide array of outside activities without necessary limitations.

3. Does the 39-day limit on compensated outside activities (48 days for fiscal faculty) also apply to part-time faculty?

Faculty with less than a full-time appointment have a time limit that is prorated based on the percentage appointment. For example, a 50 percent academic year appointee would be allowed 19.5 days (39 x .50) compensated outside activities during the academic year. During the 50 percent time not committed to the University, the faculty member could engage in other compensated activities.

4. Does the policy apply to emeritus faculty members?

Yes, if the emeritus faculty member is on recall status. Emeritus faculty on recall status are required to comply with the policy. Faculty recalled for less than the full academic/fiscal year would be permitted to engage in outside activity for the equivalent of one day per week for the period of employment. For example, a faculty member recalled at 100% time for 2 quarters would be eligible for the equivalent of 1- day per week of compensated outside professional activity from the start of the first quarter through the end of the second quarter. For faculty recalled on a part-time basis, the 1-day per week would be pro-rated based on the percentage of the part-time appointment.

5. Does the policy apply to faculty who are at the Humanities Research Institute at Irvine, or at University of California @ Washington DC (UCDC)?

Yes. Faculty at either location are considered to be on full-time active status as employees of the University. Thus, all provisions of APM 025 apply with respect to engaging in outside professional activities and the annual reporting requirements.

6. Does the policy apply to Howard Hughes Medical Institute Investigators (HHMI)?

Yes. It is applicable in accordance with the HHMI's guidelines which state that the "investigators are also responsible for complying with any host institutions policies and procedures relating to consulting activities." HHMI members should refer to the HHMI guidelines (pages 12-14) for further information and policies about consulting.
.
7. Which compensated outside professional activities require prior permission?

Activities designated as Category I require prior permission. Some general examples of these activities are: assuming an executive or managerial position outside the University (which is generally not allowable); administering a grant outside the University; being a salaried employee outside the University. In addition, with the exception of delivering occasional lectures or participating in UC-sponsored continuing education programs, compensated teaching or research at another institution while employed as a full-time faculty member at the University is not permitted without prior approval of only the Chancellor or Executive Vice Chancellor. These are general examples. See APM 025-10c(1) for the complete policy provisions.

8. How do these requirements apply to a faculty member who may have a business or company?

A key provision of the new policy is the requirement that faculty members seek and receive prior approval for certain activities, whenever the activities are likely to raise issues of conflict of commitment. In general, if a business or company is completely unrelated to the faculty member's academic area, then prior approval is not required. However, such endeavors must not interfere with a faculty member's full-time commitment to the University. If the chair, dean or other official designated by the Chancellor, believes that a faculty member is failing to meet his or her University obligation due to such outside activities, or has undertaken outside activities which create a possible conflict of commitment, then the guidelines for compensated outside professional activities may be used as a model to address possible conflicts of commitment. See APM 025-40.

9. Does the policy allow a faculty member to teach at another institution, e.g., Stanford University or Cabrillo College, while a full time faculty member at the University of California?

No, unless the faculty member has obtained the prior approval of the Campus Provost/Executive Vice Chancellor. Teaching at another institution is considered a "Category I" activity, so designated because on its face, it is likely to raise issues of conflict of commitment. In order to engage in this kind of activity, the faculty member must make a written request and receive written approval. In accordance with the University's policy, only the Campus Provost (or Chancellor) may grant such approval.

10. As faculty member, how do I determine if my outside activity is the type that requires prior approval?

See APM 025-10c(1) for the list of compensated outside professional activities that require prior approval. See also APM 025-50 for approval requirements for involving students in outside professional activities Contact your Department Chair or Divisional Academic Personnel Coordinator for assistance in interpreting the policy.

11. Which compensated outside professional activities require annual reporting?

Activities that require annual reporting are: Category I (summarized in #7 above); and Category II. Examples of Category II activities are providing occasional consulting services or conducting a professional practice, e.g., architecture or law; providing expert testimony; serving on the board of directors of an outside entity; providing a workshop for industry. In addition, teaching for University Extension is a Category II activity. [If there are no Category I or Category II activities, the report needs only the faculty member's signature and date with the word "none" written across the report, or the "none" box checked. See the report instructions for exact reporting requirements.]

12. What outside professional activities do not require annual reporting?

Category III activities are integral to all disciplines and ordinarily do not present issues of conflict of commitment. As such, they are allowed, even if compensated, and do not count within the 39/48-day limit. These activities do not need to be reported. Examples are: serving on a federal, state, or local government agency, panel, committee, or commission; acting in an editorial capacity for a professional journal; reviewing journal manuscripts; attending and presenting talks at scholarly colloquia and conferences; accepting a commission for an artistic work or performance when integral to the faculty member's academic portfolio.

13. What is the reporting period?

The reporting period is the fiscal year ending June 30. The campus procedures require reports to be submitted no later than September 30. (Outside professional activities undertaken during the summer of 2001 (July, August, September) while receiving summer salary will be shown on the report for the year ending June 30, 2002.)

14. Do I have to complete the annual report if I have no outside professional activities to report on?

Yes, the policy [APM 025-20.b and Annual Report form] requires all faculty, regardless of activity level, to complete the annual report. Faculty who have no activities to report may simply fill in their name and date, and check the "no activities to report" box, or write "none" across the report where details of outside activities are to be reported.

15. Must I report on outside professional activities during the summer when I am off?

Yes, if you are working and receiving summer salary. (You do not need to report outside professional activities undertaken during the summer if you are a academic year faculty member not receiving summer salary.) Similarly, fiscal year faculty must include the summer period in the required annual report of outside professional activities.

16. Am I required to report University Extension teaching?

Yes. The new policy expands the options for faculty to participate in the growing area of extended education while assuring accountability through reporting. It provides that additional teaching is included in the 39/48-day allowable limit. There is no longer a 20 percent income limit on additional compensation for teaching in UNEX.

17. What is the office of record for these reports?

The office of record for prior approval records and annual reports is the department. It is recommended that these be filed by year rather than in separate personnel files.

18. What should the Chair or Dean do if faculty fail to submit the required report?

The faculty member may be considered not to be in good standing, with the result that leave (or other) requests are not approved. Failure may also result in a formal complaint alleging violation of the Faculty Code of Conduct.

19. What is required of me if I am going on a leave?

If you are on a leave while receiving University salary (including extramural fund sources), you are required to obtain prior permission before engaging in Category I activities, and the leave period must be included in the required annual report.

If you do not receive University salary while on leave (leave without pay), your outside professional activities are not restricted, and you are not required to include unpaid leave time in the required annual report.

20. Must I report on outside professional activities while I am on leave?

Yes, if you are on a sabbatical leave or other leave with full or partial salary. If you are on a leave without salary, you are not required to report any outside professional activities undertaken during that period. When you submit your annual report, you will indicate the type of leave and the dates of the leave.

21. Are there changes to the policy on compensation during sabbatical leave?

Yes. Faculty on sabbatical leave are now allowed to participate in compensated outside professional activities to the same extent as when not on sabbatical leave. The three requirements are: prior approval is required for Category I activities; outside professional activities while on sabbatical leave are included in the 39/48 allowable limit; the period of sabbatical leave is to be included in the required annual report. See also question #34 (addendum) for additional information related to sabbatical leaves and the requirements of APM 025.

22. I wish to periodically involve my students in the various consulting services I am called upon to provide. Are there special requirements for involving students?

If you have a financial interest in the activity, whether the student is to be paid for services or not, prior permission is required. Refer to APM Section 025-50 for further guidance.

23. I don't receive pay for my outside professional activities, nor is there a potential for profit in them. Do I have to include this work in the required annual report?

You are not required to include these (unpaid and no profit potential) activities in your annual report. However, these activities must not interfere with your full-time commitment to the University. If there were the appearance of a conflict of commitment, the guidelines for compensated outside professional activities may be used as a model to address the possible conflicts. [See APM section 025-30.]

24. I own a business and this is in no way connected to my profession as a faculty member. Are there any requirements that apply to me, irrespective of income from the business?

Such "private life" activities are not expressly governed by University regulations or the guidelines on outside professional activities. However, if a conflict of commitment appeared to exist, the guidelines for compensated outside professional activities may be used as a model to address the possible conflicts. [See APM section 025-40.]

25. Who is responsible for tracking the 39/48 day limits?

The individual faculty member is responsible for keeping track of the number of days devoted to compensated outside professional activities.

{See addendum for additional questions and answers}