An Overview of APM 025 Conflict of Commitment and Related Policies
Annual Reporting Period and Annual Report
Who is subject to APM 025?
Key Points for Deans (APM 240) and Full-time Faculty Administrators (APM 246)
UC (APM) and UCSC (CAPM) Conflict of Commitment policies
UC Conflict of Interest and Intellectual Property Policies
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.
The annual APM 025 reporting period is July 1 through June 30. Campus procedures require reports to be submitted no later than September 30. Faculty now submit their annual report via OATS and can do so as early as July 1.
All faculty holding appointments in the Professor series, Adjunct Professor series, Astronomer series, and 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.
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.
Requests for prior approval should be submitted to the department chair at least 45 days in advance of the activity.
During the academic year (fall through spring quarter), academic-year faculty can spend up to 312 hours (39 days) engaging in Category II and approved Category I activities. Throughout the reporting period (July through June), fiscal-year faculty can spend up to 384 hours (48 days) engaging in approved Category I activities and all Category II activities.
In OATS, faculty will report time engaged in APM 025 Category I and II activities in hours. 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.
Summer: During the summer period, academic-year faculty do not have restrictions on the number of days for Category II and approved Category I activities unless the faculty member is receiving additional University compensation. Although time restrictions are not in effect during the summer period (unless receiving summer salary), faculty are subject to disclosure, prior approval, and the annual reporting requirements for all Category I and II activities that occur during summer.
Receiving Additional Summer Salary: If an academic-year faculty member receives additional University summer compensation, the limit on Category I and II activities is the equivalent of eight hours per week during the period in which such compensation is received. The 312-hour maximum during the academic year is distinct and separate from the equivalent of 8 hours per week during the period in which compensation is received. The 312 hours may not be averaged into the summer service period.
If the summer compensation is from an extramural fund source, faculty should check with the funding agency regarding their policies. Faculty receiving extramural funding may not exceed limitations on outside professional activities imposed by the funding sources, including effort rules.
Leave with Pay: Faculty on an approved sabbatical or other leave with pay are subject to the disclosure, prior approval, annual reporting requirements, and time limits, regardless of the funding source for salary.
Sabbatical Leave on Partial Pay: A sabbatical leave on partial pay (e.g., sabbatical at 67% pay) is considered a full-time University appointment. As with other leaves with pay, faculty are subject to the disclosure, prior approval, annual reporting requirements. The time limits for Category I and II activities remain in effect.
Leave without Pay: Faculty on an approved leave without pay are subject to disclosure, prior approval, and annual reporting requirements but are not subject to the time limits.
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; assuming a founding or co-founding role of a company; and assuming an executive or managerial position outside of the University.
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.
Department Chairs: Department Chairs shall monitor compliance with this policy by reviewing requests to engage in a Category I activity, collecting and reviewing annual reports, and shall consult with the Dean about any concerns.
Faculty Compliance and Non-Compliance
Faculty are responsible for complying with this policy, including:
- obtaining prior approval for engagement in a Category I activity
- submitting annual reports of all Category I and Category II activities (or the lack thereof) to the Department Chair
- attesting to adherence with the requirements of this policy in the annual report
- disclosing any current or prospective outside professional activity to the Department Chair if in doubt as to whether there is a conflict of commitment
- obtaining prior approval to involve a student in an outside professional activity
Situations where faculty will be considered out of compliance may include:
- not obtaining prior approval to engage in a Category I activity
- not obtaining prior approval for involving a student in outside professional activity
- not complying with time limits for Categories I and II activities
- not accurately disclosing and describing the nature and scope of Categories I and II outside professional activities
Deans and Faculty Administrators may engage in outside activities as defined by and in accordance with APM 025 with the following additional provisions:
1. They may serve on no more than three for-profit external boards (not entities of the University of California) for which he or she receives compensation and for which he or she has governance responsibilities.
2. All compensated outside professional activities, including compensated consulting activity, shall be reported annually to the Vice Provost of Academic Affairs.
3. In each fiscal year, they may engage in a maximum of 384 hours (48 days)* of compensated outside professional activity, which includes the twelve days cited in (4) below.
4. They may engage in compensated outside professional activity up to twelve (12) University workdays per fiscal year without deducting from vacation leave balances. In excess of twelve (12) days, they shall use accrued vacation leave for performing compensated outside professional activities.
*Maximum hours/days allowed may be prorated for those who did not serve during the entire reporting period.
Links to UC's and UCM's Conflict of Commitment policies
APM 240 Deans (see 240-20.c Conditions of Employment)
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.
Links to UC's Conflict of Interest and Intellectual Property Policies
Refer to Intellectual Property Management website or contact that office for more information about Intellectual Property policies and procedures.