1. 1 Department Chairs’ Forum October 23, 2003 APM-020 and APM-025 Richard A. Luben

2. 2 Web Links http://ora.ucr.edu http://ora.ucr.edu http://ora.ucr.edu http://www.ucop.edu/research/policies/u cpols.html http://www.ucop.edu/research/policies/u cpols.html http://www.ucop.edu/research/policies/u cpols.html http://www.ucop.edu/research/policies/u cpols.html http://www.ucop.edu/acadadv/acadpers/ apm/apm-020.pdf http://www.ucop.edu/acadadv/acadpers/ apm/apm-020.pdf http://www.ucop.edu/acadadv/acadpers/ apm/apm-020.pdf http://www.ucop.edu/acadadv/acadpers/ apm/apm-020.pdf http://www.ucop.edu/acadadv/acadpers/apm/apm-025-07- 01.pdf http://www.ucop.edu/acadadv/acadpers/apm/apm-025-07- 01.pdf http://www.ucop.edu/acadadv/acadpers/apm/apm-025-07- 01.pdf http://www.ucop.edu/acadadv/acadpers/apm/apm-025-07- 01.pdf

3. 3 Regents’ Regulation No. 4 (APM-020) SPECIAL SERVICES TO INDIVIDUALS AND ORGANIZATIONS SPECIAL SERVICES TO INDIVIDUALS AND ORGANIZATIONS Covers research done for any agency, public or private Covers research done for any agency, public or private

4. 4 1. Presidential approval Research for the benefit of Federal, State, industrial or other projects is to be undertaken only under conditions approved in advance by the President. Research for the benefit of Federal, State, industrial or other projects is to be undertaken only under conditions approved in advance by the President. Prior to execution of a contract, expenditures or commitments of any kind are prohibited except as may be authorized by specific regulations. Prior to execution of a contract, expenditures or commitments of any kind are prohibited except as may be authorized by specific regulations.

5. 5 2. Character of Undertakings University participation in tests and investigations shall be limited to activities which lead to the extension of knowledge or to increased effectiveness in teaching. University participation in tests and investigations shall be limited to activities which lead to the extension of knowledge or to increased effectiveness in teaching. University laboratories, bureaus and facilities are not to be used for tests, studies, or investigations of a purely commercial character. University laboratories, bureaus and facilities are not to be used for tests, studies, or investigations of a purely commercial character.

6. 6 3. Expenses incurred by the University For all tests and investigations made for agencies outside the University, a charge shall be made sufficient to cover all expenses, both direct and indirect. For all tests and investigations made for agencies outside the University, a charge shall be made sufficient to cover all expenses, both direct and indirect.

7. 7 5. Publicity of results All such research shall be conducted so as to be as generally useful as possible. To this end, the right of publication is reserved by the University. All such research shall be conducted so as to be as generally useful as possible. To this end, the right of publication is reserved by the University. The University authorizes faculty PIs to publish the results. The University authorizes faculty PIs to publish the results. Notebooks and other original records of the research are the property of the University. Notebooks and other original records of the research are the property of the University.

8. 8 Other provisions It is assumed that fulltime members of the faculty are devoting their time and energies (full "working" time) to the services of the University. It is assumed that fulltime members of the faculty are devoting their time and energies (full "working" time) to the services of the University. The use of the name of the University for advertising purposes shall not be permitted. The use of the name of the University for advertising purposes shall not be permitted.

9. 9 University Patent Policy An agreement to assign inventions and patents to the University shall be mandatory for all employees, for persons not employed by the University but who use University research facilities, and for those who receive gift, grant, or contract funds through the University. An agreement to assign inventions and patents to the University shall be mandatory for all employees, for persons not employed by the University but who use University research facilities, and for those who receive gift, grant, or contract funds through the University.

10. 10 University Patent Policy Those individuals who have so agreed to assign inventions and patents shall promptly report and fully disclose the conception and/or reduction to practice of potentially patentable inventions to the University. Those individuals who have so agreed to assign inventions and patents shall promptly report and fully disclose the conception and/or reduction to practice of potentially patentable inventions to the University.

11. 11 University Patent Policy Title in such inventions shall be held by the University or by such other parties designated by the University (e.g. through pre-existing research agreements). Title in such inventions shall be held by the University or by such other parties designated by the University (e.g. through pre-existing research agreements). Royalties will be paid by the University to the inventors, after costs of patenting and licensing are recovered. Royalties will be paid by the University to the inventors, after costs of patenting and licensing are recovered. The basic payment is 35% of all recovered royalties, after expenses. The basic payment is 35% of all recovered royalties, after expenses.

12. 12 Copyrights Ownership of copyrights to scholarly/aesthetic works shall reside with the academic appointee originator, unless they are also sponsored works or contracted facilities works, or unless the academic appointee agrees to participate in a project which has special provisions on copyright ownership. Ownership of copyrights to scholarly/aesthetic works shall reside with the academic appointee originator, unless they are also sponsored works or contracted facilities works, or unless the academic appointee agrees to participate in a project which has special provisions on copyright ownership.

13. 13 APM-025 Effective July 1, 2001, the University adopted a new version of Policy APM-025 (GENERAL UNIVERSITY POLICY REGARDING ACADEMIC APPOINTEES: Conflict of Commitment and Outside Activities of Faculty Members). Effective July 1, 2001, the University adopted a new version of Policy APM-025 (GENERAL UNIVERSITY POLICY REGARDING ACADEMIC APPOINTEES: Conflict of Commitment and Outside Activities of Faculty Members).

14. 14 What APM-025 Covers Outside activities by UC faculty members (compensated and uncompensated, professional and non-professional). Outside activities by UC faculty members (compensated and uncompensated, professional and non-professional). Affirms that the primary responsibility of faculty members is their work for the University of California. Affirms that the primary responsibility of faculty members is their work for the University of California. Provides mechanisms to ensure that activities outside the University do not interfere with fulfillment of these responsibilities. Provides mechanisms to ensure that activities outside the University do not interfere with fulfillment of these responsibilities.

15. 15 Areas of Guidance Conflicts of commitment for compensated and uncompensated outside professional activities Conflicts of commitment for compensated and uncompensated outside professional activities Compensated and uncompensated outside non-professional activities Compensated and uncompensated outside non-professional activities Involvement of students in the outside professional activities of faculty Involvement of students in the outside professional activities of faculty

16. 16 Outside Professional Activities Those activities that are within a faculty member's area of professional, academic expertise and that advance or communicate that expertise through interaction with industry, the community, or the public, and through consulting or professional opportunities. Those activities that are within a faculty member's area of professional, academic expertise and that advance or communicate that expertise through interaction with industry, the community, or the public, and through consulting or professional opportunities.

17. 17 Outside Non-Professional Activities Activities that are not directly related to a faculty member's area of professional, academic expertise and that take place outside the University context. Activities that are not directly related to a faculty member's area of professional, academic expertise and that take place outside the University context.

18. 18 Time Limits for Compensated Professional Activities Academic-year appointees: 39 days during the academic year Academic-year appointees: 39 days during the academic year Calendar-year appointees: 48 days Calendar-year appointees: 48 days Vacations and weekends do not count toward these limits Vacations and weekends do not count toward these limits Days cannot be carried over from year to year Days cannot be carried over from year to year These limits are prorated for part- time appointees These limits are prorated for part- time appointees

19. 19 Categories of Outside Professional Activities Category I activities are likely on their face to raise issues of conflict of commitment. Prior written approval by the Chancellor or designate is required. Category I activities are likely on their face to raise issues of conflict of commitment. Prior written approval by the Chancellor or designate is required. 39/48 day limits apply. 39/48 day limits apply. Approval must be renewed annually (special approval for up to 5 years may be granted by Chancellor) Approval must be renewed annually (special approval for up to 5 years may be granted by Chancellor)

20. 20 Examples of Category I Activities Assuming an executive or managerial position in a for-profit or not-for-profit business, which is generally not allowable. Assuming an executive or managerial position in a for-profit or not-for-profit business, which is generally not allowable. Establishing a relationship as a salaried employee outside the University. Establishing a relationship as a salaried employee outside the University. NOTE: Serving on boards of directors, consulting, or similar activities for industries are not Category I activities, but generally are Category II activities and fall within the 39/48-day limits. NOTE: Serving on boards of directors, consulting, or similar activities for industries are not Category I activities, but generally are Category II activities and fall within the 39/48-day limits.

21. 21 Examples of Category I Activities Administering a grant outside the University. Administering a grant outside the University. Carrying out compensated teaching or research at another institution while employed as a full-time faculty member at UC, except with prior permission. Carrying out compensated teaching or research at another institution while employed as a full-time faculty member at UC, except with prior permission. Engaging in other compensated outside professional activities which common sense and good judgment would indicate are likely to raise issues of conflict of commitment. Engaging in other compensated outside professional activities which common sense and good judgment would indicate are likely to raise issues of conflict of commitment.

22. 22 Categories of Outside Professional Activities Category II activities are unlikely to raise issues of conflict of comm- itment; ordinarily accepted as regularly performed compensated outside professional activities. Category II activities are unlikely to raise issues of conflict of comm- itment; ordinarily accepted as regularly performed compensated outside professional activities. 39/48 day limits apply. 39/48 day limits apply. Annual reporting required (retrospectively) Annual reporting required (retrospectively)

23. 23 Examples of Category II activities Consulting Consulting Serving on a Board of Directors Serving on a Board of Directors Providing a workshop for industry Providing a workshop for industry Engaging in private practice (e.g. physicians, architects) Engaging in private practice (e.g. physicians, architects) Teaching for UNEX or similar UC- affiliated programs Teaching for UNEX or similar UC- affiliated programs

24. 24 Categories of Outside Professional Activities Category III activities are integral to all disciplines and ordinarily do not present issues of conflict of commitment. They are accepted as part of the faculty member’s scholarly and creative work. Category III activities are integral to all disciplines and ordinarily do not present issues of conflict of commitment. They are accepted as part of the faculty member’s scholarly and creative work. 39/48 day limits do not apply. 39/48 day limits do not apply. Annual reporting not required. Annual reporting not required.

25. 25 Examples of Category III Activities Serving on a government agency, committee, panel, or commission. Serving on a government agency, committee, panel, or commission. Acting in an editorial capacity. Acting in an editorial capacity. Reviewing manuscripts, grant or contract proposals, etc. Reviewing manuscripts, grant or contract proposals, etc. Attending professional conferences. Attending professional conferences. Writing books, presenting performances, etc., as part of a professional scholarly activity, even if these are compensated. Writing books, presenting performances, etc., as part of a professional scholarly activity, even if these are compensated. Accepting honoraria (other than those received for Category II activities) and prizes. Accepting honoraria (other than those received for Category II activities) and prizes.

26. 26 Prior Approval No Category I activity may be undertaken without prior written approval by the Chancellor or Chancellor’s designee(s) of a written request by the faculty member. No Category I activity may be undertaken without prior written approval by the Chancellor or Chancellor’s designee(s) of a written request by the faculty member. The form for requesting and obtaining approval for Category I activities is provided in APM - 025, Appendix B. The form for requesting and obtaining approval for Category I activities is provided in APM - 025, Appendix B.

27. 27 Annual Reports An annual report including all Category I and II activities must be filed with the Chancellor or his or her designee(s) at the end of each fiscal year (June 30), listing the nature and extent of Category I and II compensated outside professional activities conducted during that academic or fiscal year An annual report including all Category I and II activities must be filed with the Chancellor or his or her designee(s) at the end of each fiscal year (June 30), listing the nature and extent of Category I and II compensated outside professional activities conducted during that academic or fiscal year In addition, faculty with academic-year appointments must report Category I and II activities for summer months during which they earn additional University compensation. In addition, faculty with academic-year appointments must report Category I and II activities for summer months during which they earn additional University compensation.

28. 28 Reporting at UCR Annual reports of Category I and Category II activities filed to Department Chair prior to the beginning of each fiscal year. Annual reports of Category I and Category II activities filed to Department Chair prior to the beginning of each fiscal year. Reports go to the Dean and the EVC. Reports go to the Dean and the EVC. Requests for approval of Category I activities are reviewed and recommended to the Chancellor by the VCR. Requests for approval of Category I activities are reviewed and recommended to the Chancellor by the VCR.

29. 29 Involving Students in Outside Professional Activities of Faculty Before involving a student in an outside professional activity in which the faculty member has a financial interest, the faculty member must obtain prior written approval from the official designated by the Chancellor, with a copy to the Dean, after discussion with the department chair and the student. Before involving a student in an outside professional activity in which the faculty member has a financial interest, the faculty member must obtain prior written approval from the official designated by the Chancellor, with a copy to the Dean, after discussion with the department chair and the student.

30. 30 Additional Relevant Information If the department Chair has any concern about whether a faculty member is meeting the standards of APM-025, he or she will discuss this with the faculty member and may seek additional relevant information. If the department Chair has any concern about whether a faculty member is meeting the standards of APM-025, he or she will discuss this with the faculty member and may seek additional relevant information. If a satisfactory resolution cannot be reached, the appropriate Dean or Provost will be advised of the problem. If a satisfactory resolution cannot be reached, the appropriate Dean or Provost will be advised of the problem.

31. 31 Other outside professional or non- professional activites (compensated or non-compensated) If the Chair, the Dean or other official believes that a faculty member is failing to meet his or her University obligation due to outside activities, or has undertaken activities which create a possible conflict of commitment, then the Chancellor’s designee(s) may use the guidelines for compensated outside professional activities as a model to address possible conflicts of commitment. If the Chair, the Dean or other official believes that a faculty member is failing to meet his or her University obligation due to outside activities, or has undertaken activities which create a possible conflict of commitment, then the Chancellor’s designee(s) may use the guidelines for compensated outside professional activities as a model to address possible conflicts of commitment.