FAQs - UC OATS and OPA

♦ FAQs - UC OATS  
​​​​​♦ FAQs - CONFLICT OF COMMITMENT (COC)/OUTSIDE PROFESSIONAL ACTIVITIES (OPA)
♦ FAQs - APM 671 NON-CASH COMPENSATION/STOCK VALUATION PROCESS 

FAQs - UC OATS

  • WHAT IS UC OATS? 
  • ♦ The University of California Outside Activity Tracking System (UC OATS) is a multi-campus system designed to facilitate the reporting and tracking of Outside Professional Activities (OPA) and identify potential cases of Conflict of Commitment (COC) as outlined in various Academic Personnel Manual (APM) policies (025, 671, 240, and 246). UC OATS is an interactive, web-based application that enables faculty to comply with COC policies. In UC OATS faculty report OPA, request prior approval, report effort/income, and complete their annual certification report.
  • HOW DO I KNOW IF I HAVE AN ACCOUNT IN UC OATS?
  • ♦ General campus faculty, Specialists in Cooperative Extension, and Health Sciences faculty, with a current appointment of 50% or greater, should automatically have an account populated in UC OATS. Try logging into the system (https://ucdavis.ucoats.org/) using the UC Davis Central Authentication Service (CAS) with your username and passphrase. If you are unsuccessful with logging in, then please send an email to oats-help@ucdavis.edu for assistance.
  • WILL UC OATS TIME OUT AFTER I LOG INTO THE SYSTEM? 
  • ♦ Yes. UC OATS will time out when there has been no activity for 15 minutes. If, due to inactivity, the system logs you out before you have completed an “Enter an activity” or “Student involvement form,” you will lose the information. 
  • WHO CAN I ASK FOR HELP IF I DO NOT UNDERSTAND HOW TO NAVIGATE UC OATS? 
  • ♦ For each school and college, Academic Affairs provides a link to a list of contacts so you know whom to reach out to for help. For that information, navigate to this web page: https://academicaffairs.ucdavis.edu/oats-contacts 

FAQs - CONFLICT OF COMMITMENT (COC)/OUTSIDE PROFESSIONAL ACTIVITY (OPA)

  • WHAT IS CONFLICT OF COMMITMENT (COC)? 
  • In accordance with APM 025-2-a and APM 671-2-a, “Faculty members who are employed by the University of California owe their primary professional allegiance to the University…” Conflict of Commitment policies acknowledge the value of OPA while recognizing the likelihood that some outside activities may cause real or apparent conflicts of commitment. A conflict of commitment occurs when OPA interferes with a faculty member’s professional obligations to the University.
  • WHY ARE THERE COC POLICIES? 
  • The Conflict of Commitment policies seek to balance competing University obligations in the context of a faculty member’s professional discretion in allocating time and effort across multiple activities.
  • WHAT ARE THE CONSEQUENCES OF FAILURE TO COMPLY WITH COC POLICIES? 
  • Failure to comply with COC policy may subject a faculty member to disciplinary sanctions, or corrective action under APM 016 University Policy on Faculty Conduct and the Administration of Discipline, APM 150 Non-Senate Academic Appointees/Corrective Action and Dismissal, and/or the UC Davis School of Medicine and School of Nursing Health Sciences Compensation Plan Implementing Procedures, as well as other administrative actions.
  • WHAT ARE OUTSIDE PROFESSIONAL ACTIVITIES (OPA)? 
  • Outside professional activities as described in COC policies are “…compensated or uncompensated and regardless of financial interest, are defined as 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.”
  • WHAT ARE THE CATEGORIES OF OPA? 
  • There are three categories of outside professional activities based on the level they are likely to create a conflict of commitment:

    ⇒ Category I activities most likely create a conflict of commitment because they are related to the training and expertise for which the person was hired to do at the University, but they are performed for a third party and/or the activities require a significant professional commitment. It is critical to remember that Category I activities require prior approval before engaging in the activity. Final approval rests with the Provost.
    ⇒ Category II activities have a reduced potential for a conflict of commitment. They are outside the course and scope of University employment.
    ⇒ Category III activities are considered within the course and scope of University employment and do not present issues of conflict of commitment.  
  • IF I AM UNCERTAIN WHETHER OR NOT MY OPA CONSTITUTES A CONFLICT OF COMMITMENT, OR I AM NOT CERTAIN WHICH CATEGORY APPLIES, WHAT SHOULD I DO? 
  • Seek advice from the department manager or chair. If they are uncertain, then contact the dean’s office for guidance. Any dean’s office that is unclear should connect with Academic Affairs for guidance.
  • WHAT IS A FACULTY MEMBER'S OBLIGATION TO THE UNIVERSITY? 
  • Faculty members have a professional responsibility to comply with Academic Personnel policies. To fulfill their professional obligations, faculty are expected to “…maintain a significant presence on campus, meet classes, keep office hours, hold examinations as scheduled, be accessible to students and staff, be available to interact with University colleagues, and share service responsibilities throughout every quarter or semester of active service.” In addition, COC policies include that faculty are responsible for:
    ⇒ complying by obtaining prior approval for Category I activities,
    ⇒ submitting annual reports of all Category I and II activities,
    ⇒ attesting they adhere to the requirements of COC in the annual report,
    ⇒ disclosing any OPA to their department chair if they're in doubt about a conflict of commitment, and
    ⇒ obtaining prior approval before involving a student in OPA.

    Non-compliance with Academic Personnel Manual policies may result in a violation of The Faculty Code of Conduct APM 015 and could lead to administrative/disciplinary action.
  • HOW EARLY SHOULD I START MY CATEGORY I PRIOR APPROVAL REQUEST? 
  • Academic Affairs recommends submitting Category I prior approval requests at least eight (8) weeks in advance of the anticipated start date. Remember to complete the additional requirements document and any additional consultations with the Office of Research that may be required for submitting your Category I request. Otherwise, your Category I prior approval request could be delayed or returned.
  • HOW MUCH TIME MAY I SPEND ON OUTSIDE PROFESSIONAL ACTIVITIES? 
  • That depends on your faculty appointment. As outlined in the policy, the time limits are based on the type of faculty appointment held:

    ⇒ Academic Year (AY) Faculty = 312 hours (39 days) during their academic year service period. There are no time limits during the summer, off-duty period unless they are receiving University summer compensation. Time is limited to 8 hours per week when receiving University summer compensation. These time limits are separate and distinct from the academic year service period.
    ⇒ Fiscal Year (FY) Faculty, who are not members of the Health Sciences Compensation Plan = 348 hours (48 days).
    ⇒ Faculty who are members of the Health Sciences Compensation Plan = 168 hours (21 days).
  • DO I HAVE TO REPORT SUMMER COMPENSATION? 
  • This question is important for academic-year faculty (nine-month appointees). They are required to report summer compensation information if they will be engaging in outside professional activities during their off-duty, summer period. Also, important to note, that prior approval is always required for Category I activities even during the summer months, whether receiving summer compensation or not.
  • HOW DO I ACCOUNT FOR TIME SPENT ON OUTSIDE PROFESSIONAL ACTIVITIES? 
  • As long as the internet can be accessed, general campus faculty can enter effort (time) spent on outside professional activities. Additionally, health sciences faculty can enter their effort spent on outside professional activities and their earnings from them - a clear benefit of having an online system.
  • I AM FAR TOO BUSY TO ENGAGE IN ANY OUTSIDE PROFESSIONAL ACTIVITIES. DO I HAVE TO DO ANYTHING? 
  • Yes, all faculty are required to complete an annual certification report in UC OATS to note any activities that were performed or attesting that there was no OPA for the reporting period.
  • IF A FACULTY MEMBER INVOLVES A STUDENT IN OPA, WHAT ARE THE FACULTY MEMBER'S OBLIGATIONS? 
  • A faculty member involving a student in Category I & II OPA, whether or not for compensation, has the responsibility to ensure that the student’s participation in such activities does not interfere with the student’s academic obligations and progression. If the faculty member has, or expects to have, academic responsibility (instructional, evaluative, or supervisory) for the student, the faculty member must obtain prior approval via UC OATS for student involvement in the activity. The involvement of a student in the activity of a faculty member must not affect, positively or negatively, the faculty member’s evaluation of the student’s performance in any other context. The Department Chair has final approval for student involvement.

FAQs - APM 671: NON-CASH COMPENSATION/STOCK VALUATION PROCESS

  • I WILL RECEIVE STOCKS/STOCK OPTIONS. DO I HAVE TO REPORT IN UC OATS IF I HAVE NOT YET RECEIVED SHARES OR EXERCISED STOCK OPTIONS?
  • Yes.  Once you have a legal document for the issuance/receipt of shares or an option-to-purchase for any Category I or Category II activity, you need to report in UC OATS within 30 days.
  • WHY DO I HAVE TO REPORT STOCK OPTIONS IF I HAVEN'T EXERCISED THE OFFER? 
  • This is to document the current stated value which will be used as the value basis when/if the options are exercised.  The expectation is that the value will go up over time and the benefit is the difference in value would not be charged against your threshold when the option is exercised and shares are received.
  • WHAT IF I FORGET TO REPORT IN UC OATS AND IT IS BEYOND THE 30 DAYS? 
  • Enter the details as soon as possible.  If the value of the stock or exercised stock options has a higher value than at the time of the initial offering, the assessed value will be based on the current market value which may result in an overage.

    ⇒ EXAMPLE: 10,000 shares of stock/stock options at initial offer and acceptance is valued at $0.01 per share = $100. If reported within 30 days, the amount against the threshold is only $100. If after 30 days, the shares are valued at $10.00 per share, the amount against the threshold is $100,000 which may result in an overage that requires reconciliation and remittance of the amount over the earnings threshold allowance.
  • WHY DOES THE UNIVERSITY NEED TO KNOW ABOUT NON-CASH COMPENSATION? 
  • Should there be an outside audit, the University needs to show the actual earnings and provide details that all income has been properly documented and disclosed per policy.
  • WHEN DO I HAVE TO REPORT RECEIVING SHARES OF STOCK OR STOCK OPTIONS TO BE PURCHASED AT A LATER DATE? 
  • Stock and stock options need to be reported in UC OATS within 30 days whenever stocks/options are given as remuneration for Category I or Category II activities.
  • WHAT IF I AM PURCHASING STOCKS AS AN INVESTMENT? DO I REPORT IN UC OATS? 
  • Stocks/stock options purchased or to be purchased at a future date for personal investment do not need to be reported.
  • I HAVE RECEIVED OR WILL RECEIVE BITCOIN AND/OR CRYPTOCURRENCY. DO I HAVE TO REPORT THIS? 
  • Yes. Any type of remuneration for any Category I or Category II activity must be reported in UC OATS. Since this type of remuneration is not an option in the UC OATS earnings pulldown menu, please reach out to the School of Medicine Academic Personnel’s UC OATS Administration team.
  • WHAT IF I DON'T KNOW THE VALUE OF THE STOCK/STOCK OPTIONS OR AS A START-UP I AM RECEIVING A "FOUNDERS" STOCK ALLOCATION? 
  • “Founders” or Common Stock is often valued at $0.0001 per share. Once you have received or know you will receive a given amount of stock this is to be entered into UC OATS within 30 days. The School of Medicine Academic Personnel OATS Administration team will follow up with the organization to confirm the stock/stock option details.
  • WHAT IF I DECIDE NOT TO DISCLOSE STOCK SHARES OR STOCK OPTIONS? 
  • Failure to report income for Category I or Category II activities is a violation of APM 671, which could subject the faculty to disciplinary and/or administrative action.