Annual Conflict of Commitment Reporting -APM 025

Academic Personnel

Vice Chancellor for Research

To:	Faculty, Deans, Directors, Department Chairs, and Administrative Officers
Re:	Conflict of Commitment and Outside Activities of Faculty Members

Dear Colleagues:

We are writing to remind you of prior approval and reporting requirements related to outside professional activities and how to comply with UC policy as described in Academic Personnel Manual 025 (PDF) (APM-025).

APM-025 provides faculty with the framework to manage conflict of commitment as they balance University obligations with outside activities. Outside professional activities, both compensated and/or uncompensated, are defined as those activities that are within a faculty member’s training and expertise that form the basis of the individual’s qualifications for University appointment, but are performed for a third party. A conflict of commitment may occur when a faculty member’s outside activities interfere with the faculty member’s professional obligations to students, colleagues, or the University as a whole.

This year, UCLA is transitioning from a paper reporting system for outside activities to a UC system-wide web-based application called UC OATS (Outside Activity Tracking System). UCLA is implementing UC OATS in a phased rollout, which began with the Henry Samueli School of Engineering and Applied Science (HSSEAS) this past summer. (A separate memo will be sent to HSSEAS faculty with reporting instructions for UC OATS.) The Academic Personnel Office will be in touch with faculty and staff when their School transitions.

Eligible Faculty Members

All faculty members holding appointments of 50% time or more in the following series are subject to APM-025:

Professor, including Acting titles
Professor-in-Residence
Adjunct Professor
Lecturer or Senior Lecturer with Security of Employment
Lecturer with Potential Security of Employment

The following individuals are also subject to APM-025:

Deans
Full-Time Faculty Administrators
Faculty members on approved leaves and sabbaticals

Deans and Full-Time Faculty Administrators have additional provisions/reporting requirements. See APM-240 (PDF) and APM-246 (PDF) for guidance.

Recalled faculty at 43% time or less are NOT subject to this policy.

Outside Activities Categories

Outside professional activities are separated into three categories based on the extent to which they are likely to constitute conflict of commitment, whether they are compensated or uncompensated:

Type	Conflict Level	Examples of Outside Activities	Requires Prior Approval from VC-AP Before Engaging in the Activity	Requires Annual Reporting
Category I	Most likely to create a conflict of commitment	• Teaching, research, or administration of a grant at another educational institution, trust, organization, government agency, foundation, or other entity outside of the University. This includes foreign institutions of higher education, and government or quasi-governmental organizations of other countries • Employment outside of the University • Assuming a founding or a co-founding role of a company • Assuming an executive or managerial position outside of the University	Yes	Yes
Category II	Lesser potential for a conflict of commitment	• Providing outside consulting services or referrals or engaging in professional practice as an individual or through a single member professional corporation or sole proprietorship • Serving on a board of directors outside of the University • Providing or presenting a workshop for industry • Additional University-compensated teaching	No	Yes
Category III	Unlikely to raise a conflict of commitment	• Reviewing manuscripts • Attending and presenting talks at university conferences • Developing scholarly or creative works	No	No

Category I and II outside activities that occur over the summer have the same prior approval and annual reporting requirements as outlined above.

Outside professional activities that involve proposals for extramural research support through an outside entity will need the prior approval of both the Vice Chancellor for Research and the Vice Chancellor for Academic Personnel. Proposals for research support should be submitted through UCLA. Any request to do otherwise requires a prior exception under the UC policy on the “Requirement to Submit Proposals and to Receive Awards for Grants and Contracts through the University.” (PDF) All requests for extramural research support are to be submitted to Vice Chancellor Roger Wakimoto (Research), in care of Associate Vice Chancellor Ann Pollack. Upon receiving approval from Vice Chancellor Wakimoto, faculty will need to receive prior approval from Vice Chancellor Michael Levine (Academic Personnel) before engaging in the outside professional activity.

Prior Approval and Reporting Requirements

In an effort to assure accountability in our public university, eligible faculty are required to: 1) seek prior approval from the Vice Chancellor for Academic Personnel before engaging in any Category I activities, 2) obtain prior approval from the Department Chair before involving a student in an outside professional activity, and 3) submit an annual report of all Category I and II outside professional activities, both compensated and/or uncompensated. If there are no Category I or II activities to report, faculty must still submit an annual report certifying that they did not engage in any Category I or II outside activities.

Eligible faculty are required to complete and file the Annual Reporting Form for Category I and II Outside Activities and Additional Teaching Activities (PDF) for fiscal year 2018-19 (July 1, 2018-June 30, 2019) with their department chair by February 1, 2020. Department chairs must review these reports in a timely manner and shall consult with the dean about any concerns.

Appendix 19 of The UCLA CALL provides further information regarding time limits, conflict of interest, intellectual property, and compliance requirements and includes a set of FAQ’s and sample scenarios.

In addition to these Conflict of Commitment requirements, there are other reporting obligations. Faculty are required to disclose financial interests including equity, income, and travel, under California and Federal Conflict of Interest regulations and policies related to extramurally supported research. Most federal agencies require that proposals for extramural research support include disclosure of all current and pending research support, and professional effort, which may not exceed 100%. Outside professional activities that are approved by or allowed by the University may also have to be reported to federal or other granting agencies for prior approval or as required by the terms of the award. Seek guidance from local research administration. A useful memo on international engagements (PDF) is also available for your reference.

Thank you in advance for your compliance.

Sincerely,

Michael S. Levine

Vice Chancellor for Academic Personnel

Roger Wakimoto

Vice Chancellor for Research