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Complete Category I Form

This article provides instructions on how to fill out a Category I prior approval form. When completing the form, provide detailed information about your involvement in the outside professional activity and upload supporting documentation, as needed. Once the Category I form is submitted, it will process through your campus's approval workflow. You will receive an email notification if the form is returned to you and once a final decision has been made on your Category I request.

  • UC OATS will allow you to request up to 5 Academic/Fiscal years of prior approval. However, most campuses will only approve 1 to 3 Academic/Fiscal years at a time.
  • Please check your campus policy before requesting multiple years of prior approval.
  • Once a Category I form is approved it cannot be deleted. So if you did not engage in the activity during the fiscal year leave the effort blank and add an activity note stating you did not engage.

Confirm the Category I form fiscal year

Click and drag the Category I form to the right to view the fiscal year. If you submitted the Category I form in the wrong fiscal year, you can delete it and submit it in the correct fiscal year.

Fill out Category I form

To request prior approval for a category I activity: 

  1. Complete the Category I form.
    Form Question Description
    (a) General description of the business  [required]

    Enter a description of the business.

    (b) Web address [optional]

    Enter the web address of the company with which you will be working.

    (c) In-Kind Contribution [required]

    The In-Kind Contribution questions will be required if you select specific Category I activity types. Entering details here does not fulfill your In-Kind Contribution reporting requirements.

    (d) Nature of your relationship to the entity  [required]

    Select all options that apply. 

    • Board Member - board member with governance responsibilities
    • Equity / Royalty Interest - Equity is one's ownership state in a legal entity. A royalty payment is made to the legal owner of the property, patent, copyrighted work or franchise.
    • Owner - The one who has the legal or rightful title of ownership.
    • Stockholder / Partnership Interest - A stockholder is an individual, group, or organization that holds one or more shares in a company, and in whose name the share certificate is issued. Also called a shareholder. A partnership interest in an association of two or more persons engaged in a business enterprise in which the profits and losses are shared proportionally.
    • Consultant (1099) - For tax purposes, you will receive an IRS 1099 form for this activity.
    • Founder / Co-Founder - The founder of a business or a company is the person who establishes it; a co-founder is a joint founder.
    • Salaried Employee (W-2) - For tax purposes, you will receive an IRS W-2 form for this activity.
    • Other, please explain - Other professional activities that common sense and good judgment would indicate are likely to raise issues of conflict of commitment. See APM - 671-10-a-(1) or APM-025-10-a-(1).
    (e) Description of the nature of your participation [required]

    Please provide enough details for the non-technical reviewer to be able to understand the nature of your participation in this outside activity. If your explanation exceeds the number of characters allowed, write your description in a Word document and upload it to the "Notes" tab at the top of the page.

    (f) Start & end date for which you are seeking approval. [required] Select the dates on which you are seeking approval to engage in the activity. Please note approvals are generally granted for one Academic / Fiscal year, but may be granted for a longer term, up to three years. Check your campus help site for campus-specific information. 
    (g) Estimated number of hours,  engaging in activity before permission. [required]
    • Estimated number of hours - Enter the number of hours of involvement during an Academic or Fiscal Year appointment.
    • Have you engaged in the activity before receiving permission - State whether or not you have engaged in the activity before receiving permission.
    (h) Notes [optional]

    Upload supporting documentation or add additional notes regarding the activity.

  2. Click the "Request Approval" button to submit the form. Once submitted, the form will be processed through your campus approval workflow, which will vary per campus.

Last Modified: 2020-08-27 10:01:10.325483-07