Academic Affairs Message from the Senior Associate Dean Meet the Team Departments by Analyst Chair Resources International Physicians Health Science Compensation Plan OATS Resources and FAQ FAQs, Resources & Training Academic Affairs Training Calendars and Deadlines Faculty Development About Us Monthly on Mondays Definitions of Series Merit & Promotions Faculty Research Mentoring Professional Development Wellness Faculty Academics Faculty Series Affiliates and Volunteers Recall, Leave, and Adverse Actions Non-Faculty Academics Non-Faculty Academic Series Non-Faculty Academics Recall, Leave, and Adverse Actions UCI College of Health Sciences Faculty Assembly OATS Resources and FAQ Home About Health Science Compensation Plan OATS Resources and FAQ Resources Useful Links UCI OATS Homepage UC OATS Training for HS Faculty UC OATS Training for HS Reviewer Handouts Category I Prior Approval Checklist Category I Documentation Flowchart Policies APM - 671 - Conflict of Commitment and Outside Activities of Health Sciences Compensation Plan Participants General Questions Q. May I engage in an outside professional activity for another hospital or clinic not affiliated with UCI? A. No. All patient care must be provided within the University setting or at an institution with a formal affiliation or professional service agreement. Moonlighting is strictly prohibited. Please contact your department administrator for more information. Q. What if I am unsure about whether an outside professional activity is allowed under the HSCP? A. If you are ever unsure about an activity, please contact your chair or department administrator before you engage in the activity. You can also contact TJ Kennedy at email@example.com, who is the Health Science Compensation Plan Manager. Q. I performed an activity in one fiscal year and received the payment in the next fiscal year. How should I report this? A. If you participate in an activity but do not receive compensation for that activity until the following fiscal year, you will need to report the activity hours in the year you participated in the activity (without earnings) and you would enter the activity to report the earnings in the year that they were paid (without hours). We recommend including a note in OATS to state that you did not receive compensation in the same fiscal year that you participated in the activity. Q. A new faculty member was hired. How should activities before the hiring be handled? A. Any activities or stocks performed/received before the faculty member was hired do not need to be reported in OATS. If the faculty member continues the activity during employment at UCI or receives additional stock compensation after hire date, these must be reported in OATS. Q. I am a recall faculty member. Do I have to report my outside professional activities? A. If you are a faculty member recalled into the Health Sciences Compensation Plan, you must still report your outside professional activities. If you elected not to participate in the Comp Plan, then you do not need to report and complete OATS Annual Certification. Q. I received stock options for an activity. When and how should I report the stock? A. Stock options must be reported in OATS within 30 days of receiving the stock. When you report the stock options, you will need to upload documentation of the purchase agreement. It is in your best interest to report the stock as soon as possible. If the purchase price is less than the stock/stock option’s valuation on the day of receipt, the difference between the purchase price and the value of the stock/stock options is due the Plan. Q. Am I allowed to engage in Category I and Category II activities on my own time (non-work hours, on the weekend)? A. Yes, you may participate in activities on your own time; however, the income and time spent still apply to your thresholds. The same requirements apply to activities in the evening, weekends, or while on approved leaves with pay, such as sabbatical and vacation. Prior approval forms for Category I activities or student involvement are required. Category I Activities Q. What constitutes a Category I activity? A. Broadly defined, Category I activities are those that 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. Category I activities require prior approval by the Chancellor and require disclosure in annual reporting. This includes teaching/research/grant outside of the University, employment outside of the university, founding a company, or assuming an executive position outside the University. Q. I am planning to engage in a Category I activity. What do I need to complete beforehand? A. First, Category I activities MUST receive prior approval before you engage in the activity. As the OATS approval workflow may take a month of two, please submit your Category I form well in advance of engagement in the activity. In the form, you will need to attach the appropriate documentation for the activity. Reference the Category I documentation requirements for more information. Q. Can I renew a Category I activity? A. If a Category I activity is ongoing, you may renew the activity once. You can renew the activity within 60 days of its expiration. A renewal should be submitted BEFORE the Category I activity approval expires. Q. A Category I activity uses my intellectual property developed at UCI. What do I need to know? A. If you answer “yes” to any of the intellectual property questions in the prior approval form in UC OATS, you need to attach the company’s intellectual property language and an employment agreement. Category II Activities Q. What constitutes a Category II activity? A. Broadly defined, 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. This includes additional University compensated teaching, consulting, serving on a board of directors outside of the University, and presenting a workshop for an industry. Q. Do I need prior approval for a Category II activity? A. You do not need to submit a prior approval for Category II activity. The effort and earnings for a Category II activity will count toward your annual thresholds. Category III Activities Q. What constitutes a Category III activity? A. Broadly defined, Category III Activities are those that fall within the course and scope of University employment. This includes professional committees, reviewing manuscripts, developing scholarly/creative works, and attending/presenting talks at university/academic colloquia. Q. Am I required to report Category III Activities? A. Category III Activities are not required to be reported, but the Dean’s Office advises you report all activities. OATS will help you determine the Category for every activity. To remain compliant, it is best to report all activities. Please note: while the SOM Dean’s Office does not require reporting of Category III Activities, a department may have their own requirements. Prior Approval and Documentation Q. When do I need prior approval to participate in an activity? A. Prior approval is required for the following situations: Category I Activities: All Category I activities require prior approval, including, but not limited to, the following: founding a company, employment outside the university, teaching or research at a university or organization outside of UCI. Exceeding Thresholds: If you anticipate exceeding the time or earnings thresholds for an activity, prior approval must be received for each activity that would exceed the threshold. We strongly recommend entering activities before you perform to keep track of your time and earnings. Student Involvement: If you anticipate student involvement, submit the approval before the activity. Additional students can be added to the activity after the initial approval. Q. What activities require documentation? A. Most Category I activities require documentation to be attached in the prior approval form, as required by Academic Personnel. The following require documentation: Salaried Employee: Attach an employment agreement. Founding a Company: Attach company documentation or an employment agreement. Stock Options: Attach a fully executed stock agreement. Intellectual Property: Attach the company’s intellectual property language.