An Overview of APM 025 Conflict of Commitment and Related Policies

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Summary of APM 025

The University's policy on Conflict of Commitment and Outside Activities of Faculty Members (APM 025) manages conflict of commitment, defines which outside professional activities must be disclosed to the University and approved prior to engagement, and/or reported annually. This policy limits the amount of time a faculty member may devote to outside professional activities and describes the requirements when involving a student in outside professional activities. Outside professional activities that interfere with a faculty member’s professional obligations to the University represent a conflict of commitment.

APM 025 acknowledges the value of outside professional activities while recognizing the likelihood that some outside activities may cause real or apparent conflicts of commitment. Outside professional activities must not interfere with a faculty member’s obligations to the University.

In addition to the policy on conflict of commitment and outside activities, all faculty, regardless of appointment percentage, must comply with University policies involving intellectual property, use of University resources, conflict of interest, education/academic, and code of conduct. Deans and full-time faculty administrators are subject to restrictions on compensation related to outside professional activities.

Who is subject to the APM 025 policy?

All faculty holding appointments in the Professor series, Adjunct Professor series, Astronomer seriesand Lecturer with Security of Employment series, including recall appointments, are subject to APM 025.

Academic Deans are subject to APM 025 and the additional provisions included in APM 240-20.c.

Faculty administrators who have a 100% appointment are subject to APM 025 and the additional provisions included in APM 246-20.c.

Faculty holding appointments of less than 50 percent time are not subject to the disclosure and prior approval requirements for Category I activities or the annual reporting requirements. 

Prior Approval

Those subject to APM 025 are required to obtain prior approval from the Vice Provost for Academic Affairs before engaging in an APM 025 Category I activity. Those subject to APM 025 are required to obtain prior approval from their Dean before involving a student in any outside professional activity.  This requirement applies to students that the faculty member has, or expects to have, academic responsibility (instructional, evaluative, or supervisory).

The prior approval requirements apply to activities during summer months and leaves, including leaves without pay.

Time Limits

Faculty may engage in APM 025 Category I and II outside professional activities for up to 312 hours/39 days per year for academic-year faculty and 384 hours/48 days per year for fiscal-year faculty and faculty administrators. It is expected that the use of days will be allocated evenly across service periods. 

In OATS, faculty will report time engaged in APM 025 Category I and II activities in hours. The annual hourly maximum for academic-year faculty is 312 hours (39 days) and the annual maximum for fiscal-year faculty and faculty administrators is 384 hours (48 days). OATS does not impact the annual time maximums; faculty should report up to a maximum of 8 hours for any given day engaged in a Category I or II activity.

For faculty with part-time appointments at 50 percent time or more, maximum hours will be prorated based on the percentage and duration of appointment.

Types of Outside Professional Activity

Professional activities are separated into three categories. When an activity falls into more than one category, it should be assigned to the category which requires more stringent reporting and prior approval, as applicable.

Category I activities are outside professional activities that are most likely to create a conflict of commitment because: 1) they are activities related to the training and expertise which is the individual’s qualification for University appointment, but performed for a third party, and/or 2) they require significant professional commitment. Some examples of Category I activities include: teaching, research, or administration of a grant outside the University; employment outside the University; and assuming a founding or co-founding role of a company. 

Category II activities are typically shorter-term outside professional activities that are outside the course and scope of University employment. Category II activities have a lesser potential for a conflict of commitment than do Category I activities. Category II activities require disclosure in annual reporting under this policy, but do not require prior approval. Category II activities count toward the faculty member’s maximum 39/48 days of outside professional activities. Some examples of Category II activities include: additional University-compensated teaching, including teaching for UNEX courses and programs or other continuing education programs run by the University; testifying as an expert or professional witness; providing outside consulting services; and providing or presenting a workshop for industry.

Category III activities are within the course and scope of University employment. As such, they are unlikely to raise conflict of commitment issues. Category III activities do not require disclosure in annual reporting or prior approval under this policy and do not count toward the faculty member’s maximum of 39/48 days of outside professional activities. Nevertheless, these activities must not interfere with a faculty member’s obligations to the University. Some examples of Category III activities include: 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.

Deans and Faculty Administrators (100% time)

Deans and Faculty Administrators may engage in outside activities as defined by and in accordance with APM - 025, Conflict of Commitment and Outside Activities of Faculty Members. In accordance with APM 240 and 246, Deans and Faculty Administrators are also subject to the following additional provisions:

(1) Deans and Faculty Administrators may serve on no more than three for-profit external boards (not entities of the University of California) for which they receive compensation and for which they have governance responsibilities.

(2) All compensated outside professional activities, including compensated consulting activity, shall be reported annually to the Chancellor.

(3) In accordance with APM - 025, Conflict of Commitment and Outside Activities of Faculty Members, Deans and Faculty Administrators may in each fiscal year engage in a maximum of forty-eight calendar days of compensated outside professional activity, which includes the twelve days cited in (4) below.

(4) Deans and Faculty Administrators may engage in compensated outside professional activity up to twelve University workdays per fiscal year without deducting from vacation leave balances. In excess of twelve days, they shall use accrued vacation leave for performing compensated outside professional activities.

 

Review the University of California (APM) and UCSC (CAPM) Conflict of Commitment policies: 

APM 025 Conflict of Commitment and Outside Activities of Faculty Members
CAPM 012.025 Conflict of Commitment and Outside Activities of Faculty Members
APM 240 Deans (see 240-20.c Conditions of Employment)
CAPM 300.240 Academic Deans (see 300.240.k Conflict of Commitment)
APM 246 Faculty Administrators 100% Time (see 246-20.c Conflict of Commitment and Outside Professional Activities)

 

Conflict of Interest and Intellectual Property Policies

UC addresses the various aspects of financial conflicts of interests in research through a number of principles, guidelines and policies intended to promote the conduct of research without bias and with the highest scientific and ethical standards.

Though the following memos and policies do not directly apply to UC’s Conflict of Commitment procedures and reporting obligations, outside professional activities can be subject to a Conflict of Interest or Intellectual Property policy and require additional consultation and steps to ensure compliance.

Compendium Of Conflict Of Interest And Integrity Policies – Guidance
APM 028 Disclosure of Financial Interest in Private Sponsors of Research
Summary Statement of Principles and Policies on Institutional Conflict of Interest in Research
University of California Patent Policy
UC Patent Acknowledgment

Refer to UCSC's Intellectual Property Management website or contact that office for more information about Intellectual Property policies and procedures.