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Department Chairs’ ForumDepartment Chairs’ ForumOctober 23, 2003October 23, 2003

APM-020 and APM-025

Richard A. Luben

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Web LinksWeb Links

http://ora.ucr.eduhttp://ora.ucr.edu

http://http://www.ucop.edu/research/policies/ucpols.htmlwww.ucop.edu/research/policies/ucpols.html

http://www.ucop.edu/acadadv/acadpers/aphttp://www.ucop.edu/acadadv/acadpers/apm/apm-020.pdfm/apm-020.pdf

http://www.ucop.edu/acadadv/acadpers/apm/apm-025-07-01.pdhttp://www.ucop.edu/acadadv/acadpers/apm/apm-025-07-01.pdff

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Regents’ Regulation No. 4Regents’ Regulation No. 4(APM-020)(APM-020)

SPECIAL SERVICES TO INDIVIDUALS SPECIAL SERVICES TO INDIVIDUALS AND ORGANIZATIONSAND ORGANIZATIONS

Covers research done for any Covers research done for any agency, public or privateagency, public or private

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1. Presidential approval1. Presidential approval

Research for the benefit of Federal, Research for the benefit of Federal, State, industrial or other projects is State, industrial or other projects is to be undertaken only under to be undertaken only under conditions approved in advance by conditions approved in advance by the President. the President.

Prior to execution of a contract, Prior to execution of a contract, expenditures or commitments of any expenditures or commitments of any kind are prohibited except as may be kind are prohibited except as may be authorized by specific regulations. authorized by specific regulations.

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2. Character of Undertakings2. Character of Undertakings

University participation in tests and University participation in tests and investigations shall be limited to investigations shall be limited to activities which lead to the extension of activities which lead to the extension of knowledge or to increased knowledge or to increased effectiveness in teaching. effectiveness in teaching.

University laboratories, bureaus University laboratories, bureaus and facilities are not to be used for and facilities are not to be used for tests, studies, or investigations of tests, studies, or investigations of a purely commercial character.a purely commercial character.

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3. Expenses incurred by3. Expenses incurred by the University the University

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

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5. Publicity of results5. Publicity of results

All such research shall be conducted so All such research shall be conducted so as to be as generally useful as possible. as to be as generally useful as possible. To this end, the right of publication is To this end, the right of publication is reserved by the University. reserved by the University.

The University authorizes faculty PIs to The University authorizes faculty PIs to publish the results.publish the results.

Notebooks and other original Notebooks and other original records of the research are the records of the research are the property of the University. property of the University.

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Other provisionsOther provisions

It is assumed that fulltime members It is assumed that fulltime members of the faculty are devoting their time of the faculty are devoting their time and energies (full "working" time) to and energies (full "working" time) to the services of the University. the services of the University.

The use of the name of the University The use of the name of the University for advertising purposes shall not be for advertising purposes shall not be permitted.permitted.

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University Patent PolicyUniversity Patent Policy

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

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University Patent PolicyUniversity Patent Policy

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

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University Patent PolicyUniversity Patent Policy

Title in such inventions shall be held Title in such inventions shall be held by the University or by such other by the University or by such other parties designated by the University parties designated by the University (e.g. through pre-existing research (e.g. through pre-existing research agreements).agreements).

Royalties will be paid by the University Royalties will be paid by the University to the inventors, after costs of to the inventors, after costs of patenting and licensing are recovered. patenting and licensing are recovered.

The basic payment is 35% of all The basic payment is 35% of all recovered royalties, after expenses.recovered royalties, after expenses.

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CopyrightsCopyrights

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

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APM-025APM-025

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

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What APM-025 CoversWhat APM-025 Covers

Outside activities by UC faculty members Outside activities by UC faculty members (compensated and uncompensated, (compensated and uncompensated, professional and non-professional).professional and non-professional).

Affirms that the primary responsibility of Affirms that the primary responsibility of

faculty members is their work for the faculty members is their work for the University of California.University of California.

Provides mechanisms to ensure that Provides mechanisms to ensure that activities outside the University do not activities outside the University do not interfere with fulfillment of these interfere with fulfillment of these responsibilities.responsibilities.

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Areas of GuidanceAreas of Guidance

Conflicts of commitment for compensated Conflicts of commitment for compensated and uncompensated outside and uncompensated outside professionalprofessional activitiesactivities

Compensated and uncompensated outside Compensated and uncompensated outside non-professionalnon-professional activities activities

Involvement of students in the outside Involvement of students in the outside professional activities of faculty professional activities of faculty

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Outside Professional ActivitiesOutside Professional Activities

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

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Outside Non-Professional ActivitiesOutside Non-Professional Activities

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

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Time Limits for Compensated Time Limits for Compensated Professional ActivitiesProfessional Activities

Academic-year appointees: 39 days Academic-year appointees: 39 days during the academic yearduring the academic year

Calendar-year appointees: 48 daysCalendar-year appointees: 48 days Vacations and weekends Vacations and weekends do notdo not

count toward these limitscount toward these limits Days cannot be carried over from Days cannot be carried over from

year to yearyear to year These limits are prorated for part-These limits are prorated for part-

time appointeestime appointees

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Categories of Outside Professional Categories of Outside Professional ActivitiesActivities

Category I Category I activities are likely on activities are likely on their face to raise issues of conflict of their face to raise issues of conflict of commitment. commitment. Prior written approvalPrior written approval by the Chancellor or designate is by the Chancellor or designate is required. required.

39/48 day limits apply.39/48 day limits apply. Approval must be renewed annually Approval must be renewed annually

(special approval for up to 5 years (special approval for up to 5 years may be granted by Chancellor)may be granted by Chancellor)

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Examples of Category I ActivitiesExamples of Category I Activities

Assuming an executive or managerial Assuming an executive or managerial position in a for-profit or not-for-profit position in a for-profit or not-for-profit business, business, which is generally not allowable.which is generally not allowable.

Establishing a relationship as a salaried Establishing a relationship as a salaried employee outside the University.employee outside the University.

NOTE: Serving on boards of directors, NOTE: Serving on boards of directors, consulting, or similar activities for consulting, or similar activities for industries are not Category I activities, but industries are not Category I activities, but generally are Category II activities and fall generally are Category II activities and fall within the 39/48-day limits.within the 39/48-day limits.

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Examples of Category I ActivitiesExamples of Category I Activities

Administering a grant outside the Administering a grant outside the University.University.

Carrying out compensated teaching or Carrying out compensated teaching or research at another institution while research at another institution while employed as a full-time faculty member at employed as a full-time faculty member at UC, except with prior permission.UC, except with prior permission.

Engaging in other compensated outside Engaging in other compensated outside professional activities professional activities which common which common sense and good judgment would indicate sense and good judgment would indicate are likely to raise issues of conflict of are likely to raise issues of conflict of commitment.commitment.

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Categories of Outside Professional Categories of Outside Professional ActivitiesActivities

Category II Category II activities are unlikely to activities are unlikely to raise issues of conflict of comm-raise issues of conflict of comm-itment; ordinarily accepted as itment; ordinarily accepted as regularly performed compensated regularly performed compensated outside professional activities. outside professional activities.

39/48 day limits apply.39/48 day limits apply. Annual reporting required Annual reporting required

(retrospectively)(retrospectively)

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Examples of Category II activitiesExamples of Category II activities

ConsultingConsulting Serving on a Board of DirectorsServing on a Board of Directors Providing a workshop for industryProviding a workshop for industry Engaging in private practice (e.g. Engaging in private practice (e.g.

physicians, architects)physicians, architects) Teaching for UNEX or similar UC-Teaching for UNEX or similar UC-

affiliated programsaffiliated programs

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Categories of Outside Professional Categories of Outside Professional ActivitiesActivities

Category III Category III activities are integral to activities are integral to all disciplines and ordinarily do not all disciplines and ordinarily do not present issues of conflict of present issues of conflict of commitment. They are accepted as commitment. They are accepted as part of the faculty member’s part of the faculty member’s scholarly and creative work. scholarly and creative work.

39/48 day limits 39/48 day limits do notdo not apply. apply. Annual reporting not required.Annual reporting not required.

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Examples of Category III ActivitiesExamples of Category III Activities Serving on a government agency, Serving on a government agency,

committee, panel, or commission.committee, panel, or commission. Acting in an editorial capacity.Acting in an editorial capacity. Reviewing manuscripts, grant or contract Reviewing manuscripts, grant or contract

proposals, etc.proposals, etc. Attending professional conferences.Attending professional conferences. Writing books, presenting performances, Writing books, presenting performances,

etc., as part of a professional scholarly etc., as part of a professional scholarly activity, even if these are compensated.activity, even if these are compensated.

Accepting honoraria (other than those Accepting honoraria (other than those received for Category II activities) and received for Category II activities) and prizes.prizes.

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Prior ApprovalPrior Approval

No Category I activity may be No Category I activity may be undertaken without prior written undertaken without prior written approvalapproval by the Chancellor or by the Chancellor or Chancellor’s designee(s) of a written Chancellor’s designee(s) of a written request by the faculty member. request by the faculty member.

The form for requesting and obtaining The form for requesting and obtaining approval for Category I activities is approval for Category I activities is provided in APM - 025, Appendix B.provided in APM - 025, Appendix B.

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Annual ReportsAnnual Reports An annual report including all Category I An annual report including all Category I

and II activities must be filed with the and II activities must be filed with the Chancellor or his or her designee(s) at the Chancellor or his or her designee(s) at the end of each fiscal year (June 30), listing end of each fiscal year (June 30), listing the nature and extent of Category I and II the nature and extent of Category I and II compensated outside professional compensated outside professional activities conducted during that academic activities conducted during that academic or fiscal yearor fiscal year

In addition, faculty with academic-year In addition, faculty with academic-year appointments must report Category I and appointments must report Category I and II activities for summer months during II activities for summer months during which they earn additional University which they earn additional University compensation.compensation.

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Reporting at UCRReporting at UCR

Annual reports of Category I and Annual reports of Category I and Category II activities filed to Category II activities filed to Department Chair prior to the Department Chair prior to the beginning of each fiscal year.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 Requests for approval of Category I

activities are reviewed and activities are reviewed and recommended to the Chancellor by recommended to the Chancellor by the VCR.the VCR.

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Involving Students in Outside Involving Students in Outside Professional Activities ofProfessional Activities of

FacultyFaculty

Before involving a student in an outside Before involving a student in an outside professional activity in which the faculty professional activity in which the faculty member has a financial interest, the member has a financial interest, the faculty member faculty member must obtain prior written must obtain prior written approvalapproval from the official designated by from the official designated by the Chancellor, with a copy to the Dean, the Chancellor, with a copy to the Dean, after discussion with the department chair after discussion with the department chair and the student.and the student.

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Additional Relevant InformationAdditional Relevant Information

If the department Chair has any concern If the department Chair has any concern about whether a faculty member is about whether a faculty member is meeting the standards of APM-025, he or meeting the standards of APM-025, he or she will discuss this with the faculty she will discuss this with the faculty member and may seek additional relevant member and may seek additional relevant information. information.

If a satisfactory resolution cannot be If a satisfactory resolution cannot be reached, the appropriate Dean or Provost reached, the appropriate Dean or Provost will be advised of the problem.will be advised of the problem.

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Other outside professional or non-Other outside professional or non-professional activites (compensated professional activites (compensated

or non-compensated)or non-compensated) If the Chair, the Dean or other official If the Chair, the Dean or other official

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