012.025 - Conflict of Commitment and Outside Activities of Faculty Members

UCSC:APO:CAPM 7/02

The University's policy on Conflict of Commitment and Outside Activities of Faculty Members, APM 025 (amended July 1, 2001), affirms faculty responsibilities as members of the University of California and provides mechanisms to ensure that activities outside the University do not interfere with fulfillment of these responsibilities. The policy addresses compensated and uncompensated outside professional and non-professional activities. It provides specific guidelines designed to address potential conflicts of commitment arising when a faculty member wishes to undertake compensated outside professional activities. It also provides general guidance for: i) addressing potential conflicts of commitment for uncompensated outside professional activities; ii) addressing compensated and uncompensated outside non-professional activities; and iii) involving students in the outside professional activities of faculty. It establishes time limits on compensated outside professional activities. The policy requires prior approval for some activities; it requires annual reports from all faculty members.

A. Related University Policies

Standing Order of The Regents 103.1(b)
University Regulation No. 3 (February 15, 1935) . Academic Personnel Manual Section 005
University Regulation No. 4 (June 23, 1958, and amended November 16, 1960) Academic Personnel Manual Section 020
Faculty Code of Conduct (June 15, 1971, and amended May 30, 1974, and as further amended through June 19, 1992 and January 1, 2002)
University of California Policy on Disclosure of Financial Interests and Management of Conflicts of Interest Related to Sponsored Projects  
Policy on Disclosure of Financial Interest in Private Sponsors of Research and Guidelines (April 26, 1984) -- Academic Personnel Manual Section 028
Conflict of Interest Code Disqualification Requirement (May 1981)
Health Sciences Compensation Plan and Guidelines on Occasional Outside Professional Activities by Health Sciences Compensation Plan Participants (11/23/99) -- Academic Personnel Manual Section 670
Cooperative Extension Administrative Handbook Section 345  


B. Categories of Compensated Outside Professional Activities and Requirements

There are three categories of compensated outside professional activities. Certain outside professional activities require prior approval by the Dean or Campus Provost/Executive Vice Chancellor. These are designated as Category I activities because they are likely on their face to raise issues of conflict of commitment. See http://www.ucop.edu/acadadv/acadpers/apm/apm-025-07-01.pdf for a description of the categories (Category I, Category II, Category III) and forms_and_data/orignal_docs_and_pdfs/012025PA.pdf for a copy of the prior approval form. This form may be completed on-line, printed out and signed for submission to the department chairperson. Users with full Adobe Acrobat capability may complete and submit this form electronically (see below for instructions).


C. Reporting Requirements and Reporting Period

The policy requires all faculty members to submit an annual report to their department chairpersons. Reports are due September 30 of each year and must be completed even if no activities were undertaken. (See APM 025.20.b at http://www.ucop.edu/acadadv/acadpers/apm/apm-025-07-01.pdf for a description of the reporting requirements and http://apo.ucsc.edu/forms_and_data/orignal_docs_and_pdfs/APM025AR.pdf for a copy of the report form. This form may be completed on-line, printed out and signed for submission to the department chairperson. Users with full Adobe Acrobat capability may complete and submit this form electronically (see below for instructions).

Faculty members may, at their discretion, include this report or other evidence of outside activities in their review file or dossier.

D. Access to Individual Reports

The annual reports on Compensated Outside Professional Activities are considered to be non-confidential and non-personal. They are subject to public inspection.

E. Questions and Answers

Additional information in the form of Questions and Answers is available at:
Q&A http://www2.ucsc.edu/apo/policies/CAPPM/012025QA.htm
Addendum to Q&A http://www2.ucsc.edu/apo/policies/CAPPM/012QAadd.htm

F. Summary of Procedures for Requesting Approval and Reporting Compensated Outside Professional Activities

Faculty:

  • Faculty members must request and receive prior approval from the Dean whenever activities are likely to raise issues of conflict of commitment (Category I). No activity may be undertaken without prior written approval. Requests should be submitted to the department Chair at least 45 days in advance of the activity.
  • All faculty must complete an Annual Report certifying that the outside activities fall within the established limits. These reports should include compensated activities (Category I and II) during the academic year as well as the summer months (if receiving additional compensation during the summer). Reports are to be submitted to the Department Chair by September 30 of each academic year. The first reports are due September 30, 2002.
  • Faculty may include this report or other evidence of outside activities in their review file or dossier.

Department/Program Chair:

  • Forward all requests for Category I approval to the Dean 30 days in advance of commencement of the work.
  • Establish a procedure to request and receive an Annual Report of all Category I and Category II compensated outside professional activities from each faculty member.
  • By October 31 of each year, submit a report to the Divisional Dean that all forms have been received and reviewed.
  • Maintain these records in the departmental files. (These are public records.)
  • Discuss with the faculty member any concerns about whether the standards of the policy are being met. If a satisfactory resolution cannot be reached, advise the Dean (APM 025-20.c).

Dean:

  • Approve or deny Category I requests (Campus Provost/EVC must approve Category I requests involving compensated teaching or research at another institution).
  • Overall responsibility for implementation and compliance with APM 025 in the division.

Prior Approval Form [PDF] | Annual Reporting Form [PDF] | Q & A | Addendum to Q & A