Exceptions to Conduct Research Outside the University FAQs

Under the UC Policy “Requirement to Submit Proposals and to Receive Awards for Grants and Contracts through the University,” you are required to obtain an exception request if you are conducting research outside of the University (you will be included on a proposal, grant application and/or accepting an award from an external entity and there will not be an agreement administered by the University).

A person is considered to be conducting research if they are included on a proposal, grant application or award. If this proposal, grant, or application is through an institution other than UC San Diego, then an exception request must be submitted.  

Category I activities are outside professional activities that require prior approval by the Chancellor, count toward the faculty member’s maximum 39/48 days of outside professional activities, and require disclosure in annual reporting.  Faculty members report outside activities including Category I request on UC Outside Activity Tracking System (UC OATS).

Category I activities include, but are not limited to:

(a) Teaching, research, or administration of a grant at an educational institution, trust, organization, government agency, foundation, or other entity outside of the University;

(b) Employment outside of the University;

(c) Assuming a founding or a co-founding role of a company;

(d) Assuming an executive or managerial position outside of the University

Please see APM 025 for University of California policy on Conflict of Commitment and Outside Activities of Faculty Members for general campus faculty and APM 671 for Conflict of Commitment and Outside Activities of Health Sciences Compensation Plan Participants for faculty participating in the Health Sciences Compensation Plan.  Please contact Academic Personnel for any questions about category I requests.

Exception to the requirement to submit proposals and awards through the University when conducting research outside of the University is requested and granted by the Vice Chancellor of Research anf Innovation.  There should be written documentation from the Chair and/or Dean approving the outside research activity.

The requestor must submit an exception request prior to submitting a proposal, grant application and/or accepting an award from an external entity (there will not be an agreement administered by the University).

In advance of being included on a proposal, grant application or accepting an award from an external party that will not be administered by the University, please complete the online request form (log-in required)  Please be prepared to provide the following information:

1. A list of the specific proposals, grant applications, and awards that the requestor wishes to be on outside of the University. For each proposal, grant application, and award, the requestor should provide the proposal title, agency, grant time period, their anticipated role, and their anticipated time commitment.
2. The rationale/justification for the request, including anticipated benefits to the University.
3. An explanation for why the requested activity will not interfere with the requestor’s duties and responsibilities to the UC San Diego campus.
4. Information on how the requestor will maintain a clear distinction and separation between the requestor’s service to the University and service to the external party.
5. An affirmation from the requestor that all University personnel, research, and intellectual property policies will be followed and that the University name will not be used by the external party without prior University approval.

Yes. The Department Chair must endorse the exception request. Once the online form is submitted, the form will be routed, via email, to the requestor’s Department Chair or Dean for approval. Without the Chair’s endorsement, the exception request cannot be reviewed and the approval to conduct research outside of the University cannot be granted.

The Vice Chancellor for Research and Innovation will consider whether there exists a compelling reason to grant an exception, the degree of overlap in and/or conflicts with research and/or responsibilities between the proposed activity and the requestor’s University duties and responsibilities, the adequacy of the separation between the requestor’s University obligations and the proposed extramural activities, the risk that the proposed activity may result in a violation of University policy, and the justifications for the request.  

The Vice Chancellor for Research and Innovation (VCRI) will determine if the exception request is permissible.  Exception requests will be granted on a case by case basis and only if, considering the totality of the circumstances, the VCRI determines that granting the request is in the best interests of the University.

No.  If you are included on a proposal, grant application or award outside of the University as a member of the company solely to describe your role with the company, but you are not performing any work on the project for the company, you will not be required to seek an exception to conduct research outside of the University.  

Please contact the Research Compliance and Integrity (RCI) Office at rci@ucsd.edu for assistance to review if you need help in determining your role on a proposal, grant application or award.  Please note that the RCI Office may request a copy of your proposal, grant application or award.

There are two options to approve Exception Requests on Kuali Build (KB):

1. KB will automatically send the Chair an email from “Kuali Notifications” with a link to “Begin Review.” Once the link is clicked it will take the Chair to the Exception Request.
2. The Chair can also log into Kuali Build https://ucsd.kualibuild.com/. At the top of the screen there is an “Action List.”  Click on the Action List and all approvals will be listed here, and you can click on any one to begin the approval review process.