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Category I Prior Approval Non-Compliance Report


This guide provides an overview of the Category I Prior Approval Non-Compliance Report.

This report provides insight into potential non-compliance for Category I Prior Approval activities. It includes both faculty self-reported responses and staff responses regarding whether an activity began before receiving approval.

Because responses are based on individual input, they may be subjective. To independently verify non-compliance, you can compare the activity Start Date with the Approved Date. If the Start Date occurs before the Approved Date, the activity may be considered out of compliance.


Access the Report

To access the Cat I Prior Approval Non-Compliance report: 

  1. Select the Analytics tab.Cat 1 Prior Approval Non-Compliance report
  2. Confirm you are in the fiscal year for the report.
  3. Select the Cat I Prior Approval Non-Compliance button.
  4. The report will show all Category I forms submitted for that fiscal year and will indicate how faculty and staff answered the "Have you engaged in the activity before receiving permission?" question.
  5. Click Export Current Data to download the report as a TSV file. Open the file in Microsoft Excel to view and modify the report.
  6. To independently verify non-compliance, add the following formula to a new column (e.g., Column K): 
     =IF(H2 <= J2, "Yes", "No")

    Update the column references as needed to match your spreadsheet (e.g., Start Date and Approved Date columns).

    After entering the formula in the first row, copy it down to all remaining rows. The new column will identify which Category I activities have a Start Date that occurs before the Approved Date, indicating non-compliance.

    Cat 1 Prior Approval Non-Compliance report

Category 1 Prior Approval Non-Compliance Report Fields

Field Description
Faculty ID

A Faculty ID is a unique system-generated identifier assigned to each faculty member when they are added to UC OATS. This ID is used to distinguish faculty records within the system and ensure that all activities, forms, and approvals are accurately associated with the correct individual.

The Faculty ID remains consistent even if certain faculty details (such as name, department, or role) change over time, allowing for reliable tracking and reporting across the system.

Last Name

Faculty's last name.
First Name Faculty's first name.
Activity ID

An Activity ID is a unique system-generated identifier assigned to each Outside Professional Activity (OPA) record in UC OATS. This ID is used to distinguish individual activities and ensures that all related forms, approvals, and updates are accurately tied to the correct activity.

Each Activity ID is specific to a single activity and remains consistent throughout its lifecycle, allowing users to track, reference, and report on that activity within the system.

Activity Label

An Activity Label is a user-defined name created by the faculty member when entering an Outside Professional Activity (OPA) into UC OATS. This label is used to describe the activity in a way that is meaningful and easily identifiable to the faculty member and reviewers.

The Activity Label helps distinguish between multiple activities and provides a quick reference when viewing, managing, or reporting on OPA records within the system.

Faculty Indicated

Faculty Indicated is a field on the Category I Prior Approval form where faculty self-report whether they began an Outside Professional Activity (OPA) before receiving official approval.

This field captures the faculty member’s acknowledgment of potential non-compliance and is used to help identify activities that may have started prior to approval. Responses in this field are based on the faculty member’s input and should be considered alongside system data (such as Start Date and Approved Date) for verification.

Staff Indicated

Staff Indicated is a field on the Category I Prior Approval form that allows reviewers and approvers to indicate whether a faculty member has engaged in an Outside Professional Activity (OPA) prior to receiving approval.

This field is based on the reviewer’s or approver’s assessment and may be updated to “Yes” if they have reason to believe the activity began before approval was granted. It serves as an additional validation point alongside the faculty’s self-reported response.

Start Date

Start Date is the date the faculty member indicates their Outside Professional Activity (OPA) begins when submitting a Category I Prior Approval form.

This date reflects when the activity is expected to start (or has already started).

Reported Date/Time

Reported Date/Time is the date and time the faculty member entered their Outside Professional Activity (OPA) in UC OATS. This timestamp reflects when the activity was officially entered into the system.

Approved Date

Approved Date is the date the Category I Prior Approval form receives final approval or acceptance.

This date reflects when the approval process is completed, and the activity is officially authorized.

 

Last Modified:2026-04-13 10:36:24.95475-07