Chapter 2-100: Introduction

The University encourages a broad spectrum of research and creative activity of the highest possible quality, from basic to applied, across the full range of academic disciplines. “The University's commitment stems from its obligation to advance knowledge, to educate both undergraduate and graduate students, and to serve the economic and cultural needs of society.” (Faculty Handbook)

In furtherance of these goals, eligible University faculty and other approved University personnel may submit proposals to sponsors for support. Sponsors can be external organizations such as federal, state, local, foreign, and other government entities, private industry, foundations, educational institutions, and charitable organizations. In addition, the University itself acts as a sponsor in its capacity as administrator of intra-University programs under its auspices which award funds on a competitive basis to projects for research, training, or public service.

2-110 Scope

This Manual Chapter discusses the administration of proposals and awards for support of research, scholarly or professional training, or public service programs. (See Section 2-210 on Who May Submit Proposals and Chapter 1-500, Principal Investigator Policy.) The purpose of this Chapter is to outline overall University policies upon which local contract and grant (or sponsored projects) administrative procedures for proposal/award administration are based throughout the University, including individual campuses, the Office of the President (OP), Division of Agriculture and Natural Resources (DANR) and Lawrence Berkeley National Laboratory (LBNL). The procedures required by each location are described in its respective contract and grant administration handbook. Since every sponsor has its own guidelines or regulations and these are always subject to change, individual sponsor requirements are not covered in this Chapter. Sponsor requirements must be reviewed in relation to the University policies outlined in this Contract and Grant Manual.

2-120 Applicability

The policies outlined in this Chapter apply to the submission of proposals and acceptance and administration of awards from extramural sponsors for research, scholarly and professional training or public service programs related to research or to scholarly or professional training in any University organizational unit where such activity occurs. In addition, they should be used as a guide for intra-University programs as intra-University program terms should be consistent with the policies in this Manual.

Prior to submission or acceptance, all proposals and awards for either extramural or intramural support must be reviewed and approved by the campus [or Laboratory] Contract and Grant or Sponsored Projects Office or other formally designated office for consistency with campus [or Laboratory] and University-wide policies and procedures. This does not apply to: construction grants and contracts to the extent that such awards are subject to the policies and procedures of the University Facilities Manual; work-study programs or awards for student aid grants, scholarships, or loans which are within the scope of campus and Office of the President Student Financial Support Offices; or agreements which establish or modify programs with the Education Abroad Program. Policies relating to the solicitation and acceptance of private funded gifts and endowments are covered in the Development Policy and Administration Manual and summarized in Chapter 9 of this Manual.

2-130 Academic Policy - University Regulation No. 4

University Regulation No. 4, set forth in APM 020, states the general policy of the University concerning professional or scholarly services to external individuals or organizations including business, industry, governments, or other educational institutions. This Policy describes, in part, the types of such services which the University considers appropriate for its faculty to undertake. "Routine tests of a commonplace type" are specifically proscribed. The full text of APM 020 can be found in Chapter 1, Sections 1-320 and 1-330, of this Manual and in the Academic Personnel Manual Section APM 020, Special Services to Individuals and Organizations.