2021-22 Annual Reporting of Outside Professional Activities

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September 01, 2022

By Grace McClintock, Assistant Vice Provost Academic Personnel 

TO:
ADJUNCT FACULTY
DEANS
DEPARTMENT CHAIRS
SENATE FACULTY

Dear Colleagues,

In accordance with APM 025 Conflict of Commitment and Outside Professional Activities of Faculty Members, I write to remind you of the policy’s annual reporting requirements and expectations.

Faculty
Faculty must certify and submit their APM 025 Annual Report of Outside Professional Activities by September 30, 2022. Annual Reports are to be submitted, reviewed, and approved online using the Outside Professional Activities Tracking System (OATS). Access OATS at https://ucsc.ucoats.org. Instructions are posted at the UC OATS General Campus Faculty Training webpage.

The 2021-22 reporting period is July 1, 2021 through June 30, 2022. Every faculty member covered by the annual reporting requirement must submit an APM 025 Annual Report, even if no outside professional or teaching activities were engaged in during the reporting period. Faculty who are currently on an approved medical leave are not subject to the September 30 deadline; they will be required to certify and submit their report upon returning from medical leave.

Faculty members who have already certified their 2021-22 activities in OATS have fulfilled their annual reporting obligation. Faculty members who have certified and submitted their report but need to add to or correct it should contact their department manager and request for their report to be returned.

Deans and Full-time Faculty Administrators
All deans and full-time faculty administrators are subject to APM 025 and the additional restrictions and reporting requirements under APM 240 Deans and APM 246 Faculty Administrators (100% Time). These appointees will be contacted directly by the Academic Personnel Office with instructions. Annual Reports from full-time administrators will route to the Vice Provost for Academic Affairs for review and sign-off.

Department and Program Chair Responsibilities
Chairs are responsible for reviewing the Annual Reports of faculty members in their unit. The chair’s review must be completed by October 31, 2022.

Dean Responsibilities
Academic deans are responsible for reviewing the Annual Reports of department chairs and divisional appointees. The dean’s review must be completed by October 31, 2022.

VPAA Responsibilities
The Vice Provost for Academic Affairs is responsible for reviewing the Annual Reports from deans and full-time faculty administrators. Additionally, the VPAA will contact faculty whose Annual Report has not been submitted, informing them that they are out of compliance and therefore considered not to be in good standing. Consequences of this standing may include denial of leaves and other privileges, or other consequences, including the potential for disciplinary action for violation of the Faculty Code of Conduct.

More information and resources related to the University’s Conflict of Commitment policy and OATS is available on the Academic Personnel Office’s Outside Activities Tracking System website. Instructions for completing the Annual Report are posted at OATS Instructions and Resources. Policy questions may be directed to your divisional academic personnel coordinator. 

Attachment: APM 025 – GENERAL PRINCIPLES AND KEY POINTS

Who is subject to APM 025?
At UCSC, the following faculty titles are subject to APM 025: Professor, including Acting titles; Adjunct Professor; and Lecturer with Security of Employment, including Acting titles. However, those holding appointments of less than 50 percent time are not subject to to the annual reporting and prior approval requirements.

Obligations to the University
Outside professional activities must be undertaken in a manner consistent with the faculty member’s professional obligations to the University. Outside activities must not conflict with the faculty member’s obligations to students, colleagues, or to the University as a whole.

Faculty APM 025 Responsibilities
Faculty are responsible for complying with APM 025, including: obtaining prior approval to engage in a Category I outside professional activity; submitting annual reports of all Category I and II activities (or the lack thereof) to the Department Chair; disclosing any current or prospective outside professional activity to the Department Chair when in doubt about the potential for a conflict of commitment; and obtaining prior approval to involve a student in an outside professional activity. The prior approval requirements apply to activities during summer months and leaves, including leaves without pay.

Monitoring Compliance
Department and Program Chairs shall monitor compliance with this policy by: reviewing requests to engage in a Category I activity; addressing apparent or potential conflicts of commitment; collecting and reviewing annual reports; and consulting with the Dean about any concerns regarding a faculty member’s outside professional activities.

Non-compliance
Situations where faculty will be considered out of compliance include, but are not limited to: failure to obtain prior approval to engage in a Category I activity; failure to obtain prior approval for involving a student in an outside professional activity; failure to comply with time limits for Category I and II activities; and failure to accurately disclose and describe the nature and scope of Category I and II outside professional activities.

Time Restrictions
A full-time academic-year faculty member on an academic-year appointment is permitted a maximum of 312 hours (39 days) during the academic year to engage in Category I and II activities. A full-time fiscal-year faculty member is permitted a maximum of 384 hours (48 days) during the months of active service. For part-time faculty appointed at 50 percent time or more, the maximum number of days is prorated based on their appointment percentage.

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. Faculty are still subject to disclosure, prior approval, and the annual reporting requirements for all Category I and II activities that occur during summer.

Conflict of Commitment Policy References
Conflict of Commitment and Outside Activities of Faculty Members: APM 025; CAPM 012.025
Deans: APM 240 (240-20.c); CAPM 300.240 (300.240.k)
Faculty Administrators 100% Time: APM 246 (246-20.c)