Internal SOM Process - Access the OATS Portal

Category I

1. Faculty can submit category I – prior approval forms within the OATS system.
2. APM-025 and APM-671 category I prior approval requests are routed through the department chair and dean for review and approval (see system workflow below). It is advised that all faculty consult their department chair prior to the submission of a category I activity.
   • OATS will request the following information: (Faculty should have available for ease of data entry)
     • General description of the business/agency/organization/group/individual
     • Description of the nature of participation in this activity, including, any possible beneficial outcomes to areas of research, industry, and public service
     • Beginning/ending month/year involved in the activity
     • Estimated number of days = involvement during academic- or fiscal-year appointment
   • A separate request memo should be included with the request if the category I request involves teaching at another university or a similar exception. The memo must be addressed to the provost and executive vice chancellor (PEVC). The memo must include a justification/rationale for the exception.
   • If the Category I prior approval form is accompanied by a leave of absence request (UPAY 573), the leave request documents along with the supporting documents should be uploaded along with category I prior approval request.
     NOTE: OATS will only capture the reporting of outside activities and conflict of commitment. Faculty are responsible for complying with all University policies, including:
     • Conflict of interest
     • Extramural support outside of UCR
     • Intellectual property

Additional Considerations for Activity Submissions

If an international activity is being proposed, faculty should make contact with the vice provost for international affairs at vpia@ucr.edu to both be best supported abroad and to determine how the activity can promote UCR abroad.

If the activity is a research work at another institution, faculty must ensure there is an intellectual property agreement in place between UCR and said institution. For further information on this, please contact RED.

Steps

Faculty
Enters activity in OATS. The system will alert the faculty member if an activity requires prior approval.

Required supporting documentation is uploaded. This includes UPAY 573 leave of absence request form if the activity includes a leave request. For information on required documentation, faculty should consult with the department chair.

Department Chair

The department chair (approver) reviews the request for completion before forwarding the request to the compliance officer. If additional information is needed, the department chair will reach out to the faculty.

Health Sciences Compensation Plan Committee (HSCP)
(Review and recommendation performed outside of OATS system)

The department chair (approver) and/or FAOs will report the category I submission to the HSCP committee for review. If additional information is needed, the department chair or FAO will reach out to the faculty.

Compliance Officer

The compliance officer (reviewer – dean’s analyst) reviews the request for completion before forwarding the request to the Dean. If additional information is needed, the reviewer will reach out to the chair. Compliance officer will notify academic affairs of category I submission.

Check email from AA Outside Activity Tracking System (OATS) (Internal SOM Process)

Dean’s analyst (academic affairs) will review the category I for completion, if any documentation or information is missing the faculty will be notified and request will be returned by compliance officer. (Note: academic affairs is not in the review process, OATS system will not notify unit a category I is in progress).

Dean

The dean (approver) reviews the category I prior approval/exceeding time limit requests, affirming that the faculty member is in good standing before forwarding the request to the VPAP.

APO Analyst

The APO analyst (reviewer) reviews the request for completion and policy compliance before forwarding the request to the VPAP. If additional information is needed, the reviewer will reach out to the Dean’s Office.

VPAP

The VPAP (approver) reviews the category I prior approval/exceeding time limit requests, affirming that the faculty member is in good standing before forwarding the request and recommendation to the PEVC.

The VPAP will make a recommendation to the PEVC. The PEVC will make the final decision on the category I prior approval request. The VPAP will make the final decision on the leave of absence request.

PEVC

The PEVC (approver) reviews the category I prior approval/exceeding time limit requests, affirming that the faculty member is in good standing before providing a final decision. If additional information is needed, the PEVC will reach out to APO.

The estimated turnaround time, for the category I Prior Approval Request is two (2) weeks for a standard request and up to four (4) weeks for an exception request.