- Author: Robin Sanchez
UC invites comments on proposed revisions to Academic Personnel Manual Sections 240 (APM - 240), Deans, and 246 (APM - 246), Faculty Administrators (100% time).
Summarized below are the proposed key revisions that are being distributed for systemwide review:
- To align with previous revisions to APM - 025, Conflict of Commitment and Outside Activities of Faculty Members, language has been added in Sections 240-20-c and 246-20-c to clarify that both uncompensated and compensated activities are reported and count toward the time limit, but that vacation days are deducted only for compensated activities;
- Language has been added to clarify that Deans and Faculty Administrators who hold concurrent Health Sciences Compensation Plan appointments are subject to APM - 670, Health Sciences Compensation Plan, and APM - 671, Conflict of Commitment and Outside Activities of Health Sciences Compensation Plan Participants; and
- Since faculty administrative salaries should be greater than the underlying faculty appointments, the language in Sections 240-18-a(5) and 246-18-a(4) has been revised to refer to the salary of the underlying faculty appointment.
The proposed revisions to APM - 240, Deans, and APM - 246, Faculty Administrators (100% time) are posted under the “Systemwide Review” tab at: https://www.ucop.edu/academic-personnel-programs/academic-personnel-policy/policies-under-review/index.html.
If you have any questions or if you wish to comment, please contact Robin Sanchez at firstname.lastname@example.org, no later than March 15, 2020. Please indicate “APM-240/246” in the subject line.
UC ANR values international collaborations and educational opportunities with foreign institutions, through collaborative research, and scholarly exchanges that are an essential part of the academic community. At the same time, the University of California must be careful to comply with U.S. laws and regulations that govern how international engagements are managed and reported.
The current regulatory landscape includes growing concerns by the U.S. government regarding inappropriate influence by foreign entities over federally funded research. In August 2018, Francis Collins, the director of the National Institutes of Health (NIH), issued a “Foreign Influence Letter to Grantees (PDF)” that reminded the research community of the need to “disclose all forms of other support and financial interests, including support coming from foreign governments or other foreign entities… in accordance with the NIH Grants Policy Statement, [on] all applications and progress reports.” As Dr. Collins' statement makes clear, transparency in this area is essential. UC ANR and external funding agencies need to know about the relationships that UC ANR and individual members of the research community have established with foreign organizations.
The following is a summary of key disclosure obligations that often come into play when working with international partners. The UC Office of the President Ethics, Compliance and Audit Services has compiled information about this topic on a website, including links to UC and sponsor policies and communications from various agencies concerning foreign influence and disclosure requirements. All investigators with sponsored projects should check the sponsor's current disclosure requirements carefully, and if in doubt, contact the Office of Contracts & Grants at email@example.com for disclosure assistance or further guidance.
The National Institutes of Health (NIH) issued a Notice on July 10, 2019, reminding research institutions that NIH-funded researchers must “report foreign activities through documentation of other support, foreign components, and financial conflict of interest to prevent scientific, budgetary, or commitment overlap” (NOT-OD-19-114). Other Support includes “all resources made available to a researcher in support of and/or related to all of their research endeavors, regardless of whether or not they have monetary value and regardless of whether they are based at the institution the researcher identifies for the current grant.” An FAQ can be found here.
The National Science Foundation (NSF) issued a Dear Colleague Letter: Research Protection from Director France Cordova on July 11, 2019 clarifying multiple steps NSF is taking to mitigate risks from “activities threatening our research community, such as certain foreign-government-sponsored talent recruitment programs.” NSF has proposed clarification of the proposal disclosure requirements and reporting requirements for both current and pending support and professional appointments. Those clarifications are included in the draft Proposal and Award Policies and Procedures Guide (NSF 20-1). Effective January 2020, NSF proposes to use an electronic format for submission of biographical sketches, including disclosure of all appointments, and disclosure of current and pending support information.
The Department of Energy issued a directive dated June 7, 2019, mandating that “federal and contractor personnel fully disclose and, as necessary, terminate affiliations with foreign government-supported talent recruitment programs” on new DOE contracts and subcontracts. DOE is expected to issue a separate policy directive to implement the requirement on DOE grants and cooperative agreements.
NASA has long-standing restrictions regarding use of NASA funds to enter into agreements “to participate, collaborate, or coordinate bilaterally in any way with China or any Chinese-owned company, at the prime recipient level or at any subrecipient level, whether the bilateral involvement is funded or performed under a no-exchange of funds arrangement” (grant restrictions, contract restrictions).
If you are an investigator on a federally funded project, you should take the following actions:
- Review and update Other Support and Current and Pending Support information in proposals
- Review and update Biosketches
- Ensure appropriate disclosure of foreign components for NIH-supported projects
- Report all reimbursed or sponsored travel related to U.S. Public Health Service-supported projects
- Review Conflict of Interest (COI) disclosure and update as necessary
- Reach out to UCANR's Export Control Officer for guidance related to export control regulations
- Contact the Office of Contracts & Grants when entering into a material transfer agreement or nondisclosure agreement when sharing or exchanging materials or information
In addition to Sponsored Projects, only designated University personnel are authorized to accept gifts from any source. For this reason, you must disclose to the UC ANR's Development Office all gifts solicited from any domestic or foreign individual or organization.
Because some federal agencies have begun to investigate cases where foreign support has not been properly disclosed, the UCOP Office of Ethics, Compliance and Audit Services (ECAS), has developed systemwide guidance for reporting and follow-up related to this issue. These “Escalation Protocols” are summarized here:
- If you receive communication from a federal agency regarding federally funded research grants, contracts or awards in which the federal agency expresses concern about a foreign entity's involvement in the research; or
- If you have knowledge of any violation of any federal agency policy or federal law regarding federally funded research grants, contracts or awards related to a foreign entity's involvement in the research;
- The university employee who receives the communication or has knowledge noted above must immediately (within 24 hours) notify ANR Controller Jake McGuire, who will initiate the next steps to investigate and respond to this matter.
It is critical that every member of the UC ANR community make every effort to understand the policies that govern their work and be certain that all necessary steps are taken to comply. To support increased awareness and understanding of these issues, the Office of Contracts and Grants is hosting a webinar at 9:30 a.m.-10:30 a.m. on Wednesday, December 4, on “Foreign Influence: What is Foreign Influence and how can I comply?” We encourage you to join this webinar on Zoom at https://ucanr.zoom.us/j/502451113 and/or call in at (669) 900-6833, Webinar ID: 502 451 113. The requirements related to foreign influence are complex, so please reach out to Brian Oatman in Risk & Safety Services and/or Kathleen Nolan in the Office of Contracts and Grants if you need further guidance and/or clarification.
Your help and cooperation will support our mission to connect the power of UC research in agriculture, natural resources, nutrition and youth development with local communities to improve the lives of all Californians.
Associate Vice President
Controller and Chief Ethics & Compliance Officer
- Author: Pamela Kan-Rice
UC invites comments on proposed revisions to Academic Personnel Manual Section 120 (APM - 120), Emerita/Emeritus Titles.
In May of 2018, the Board of Regents rescinded Standing Order 103.5 relating to the conferral of emeritus status and incorporated the provisions into Regents Policy 1203: Policy on Emerita/Emeritus Title Suffix. The revised Regents Policy changed eligibility requirements regarding automatic emeritus status for non-tenured Senate faculty, such as Professors of Clinical (e.g., Medicine), Professors in Residence, and Lecturers with Security of Employment. Recommended changes to the Regents Policy were developed with the input of the Academic Senate and UCOP Academic Affairs.
Because APM policy cannot conflict with Regents Policy, technical revisions to APM - 120 were issued on July 1, 2019, to conform with revised Regents Policy 1203. As noted in the July 1, 2019 issuance letter, we anticipated that a systemwide review of APM - 120 would be forthcoming to consider whether systemwide criteria for the recommendation of non-tenured Senate faculty was necessary, among other things. Summarized below are the proposed key revisions that are now being distributed for systemwide review.
- Gender inclusive title suffix. For the purposes of APM - 120, the abbreviation of “Emer.” is proposed to be recognized as the gender inclusive form of the title suffix. Academic appointees may choose to use the title suffix Emerita, Emeritus or the abbreviation of “Emer.”
- Criteria for the recommendation of non-tenured Senate faculty.Some campuses expressed a desire for systemwide criteria regarding the emeriti status of non-tenured Senate faculty, while other campuses expressed a desire to be permitted to develop local criteria through local campus policies and procedures. The revised policy proposes that these individuals be judged by “evidence of noteworthy and meritorious contributions to the educational mission and programs of the University, as determined by local procedures.”
- Disqualification criteria. Criteria for the disqualification of non-tenured Senate faculty or non-Senate appointees is proposed in APM - 120-10-c and -d. This language mirrors the language contained in Regents Policy 1203 concerning Senior Management Group appointees.
- Deans and Faculty Administrators. A new subsection, APM - 120-10-e, is proposed to address the conferral of the Emerita/Emeritus/Emer. title suffix for Dean or Faculty Administrator titles. In addition, new language has been added to APM - 120-10-a to clarify that individuals must hold a title at the time of retirement in order to be eligible to be conferred the title suffix with that particular title.
- Definition of “retirement” for Savings Choice participants. Under the Savings Choice program, there is no longer a formal “retirement” for participants due to the nature of the program. For the purposes of APM - 120, it is proposed that “retirement” for Savings Choice participants be defined as separation from the University after reaching normal retirement age (as defined in the UCRP) with five or more years of service.
- Clarification of curtailment authority. Language is proposed in APM - 120-24 to clarify authority for the curtailment of emeritus status.
- Rescission and incorporation of Appendix A. The previous Appendix A documents relating to space resource allocation are proposed for rescission, as the key principles of the documents have been incorporated into the policy text in APM - 120-80-d.
The proposed revisions to APM - 120, Emerita/Emeritus Title Suffix, are posted under the “Systemwide Review” tab at https://www.ucop.edu/academic-personnel-programs/academic-personnel-policy/policies-under-review/index.html.
If you have any questions or if you wish to comment, please contact Robin Sanchez at firstname.lastname@example.org, no later than Feb. 28, 2020.
The University invites comments on proposed modifications to the Presidential Policy on Copyright Ownership, which updates the 1992 Copyright Policy. Given the significant copyright landscape changes over the years, it has become clear that the time for a policy update is now. Aside from streamlining the language, the policy also includes updates in the following areas:
- Expands eligibility to own copyrights. The definition of “Academic Authors” in the revised policy expands the pool of those eligible to own copyright.
- Expands and clarifies the pool of works eligible for copyright ownership. The policy provides a definition of “Scholarly & Aesthetic Works” – a definition that does not exist in the existing policy. It also clarifies that software is a work for which eligible employees may own the copyright.
- Creates a definition for “Significant University Resources” as a limitation on the University's ownership. The current policy has a broad definition of “University Resources,” which directs, in some instances, that the University asserts copyright ownership when the University's resources contributed to the development of the copyright work. The revised policy now includes a key limitation such that the level of University resources must be “significant” and beyond the support provided to similarly situated authors.
- Clarifies graduate student copyright ownership. The revised policy provides clarity regarding copyright ownership by graduate students of their theses, dissertations and other copyrightable works.
- Clarifies copyright ownership for represented employees. The revised policy specifically states that if an inconsistency exists between a union employee's collective bargaining agreement regarding copyright ownership and the revised policy, the copyright provisions of the union agreement prevail.
- Expands supplemental references. The revised policy expands the “Related Information” and “Revision History” sections to reference additional resources and other supplemental information.
The policy proposal is posted here: https://www.ucop.edu/academic-personnel-programs/academic-personnel-policy/policies-under-review/pres-policy-copyright.html.
If you have any questions or if you wish to comment, please contact Robin Sanchez at email@example.com, no later than Dec. 15, 2019.
The University invites comments on a proposed new Academic Personnel Manual Section 011 (APM - 011), Academic Freedom, Protection of Professional Standards, and Responsibilities of Non-Faculty Academic Appointees.
Currently, APM - 010 (Academic Freedom) defines academic freedom as it pertains to faculty and defines the freedom of scholarly inquiry for students, as it derives from the faculty's academic freedom. APM - 015 (The Faculty Code of Conduct) defines the corresponding responsibilities as it pertains to faculty only. Although APM - 010 states that it is not intended to “diminish the rights and responsibilities enjoyed by other academic appointees,” APM - 010 and APM - 015 do not address how these concepts apply or do not apply to non-faculty academic appointees. The proposed new policy is intended to address the academic privileges, rights, obligations, and responsibilities of non-faculty academic appointees.
The proposed new APM - 011, Academic Freedom, Protection of Professional Standards, and Responsibilities of Non-Faculty Academic Appointees, is posted at: https://www.ucop.edu/academic-personnel-programs/academic-personnel-policy/policies-under-review/apm-011.html.
If you have any questions or if you wish to comment, please contact Robin Sanchez at firstname.lastname@example.org, no later than July 1, 2019.