Academic Personnel and Programs
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 members are evaluated in part on their abilities to demonstrate creative and productive work through published research and/or creative activities. APM - 210-1*
The University endeavors to provide space, funds, and facilities for the research programs of faculty members. Funds are made available for research through departments or equivalent units, and through Organized Research Units which are generally interdepartmental or interdisciplinary in scope.
All members of the Academic Senate are eligible for research grants allocated on the recommendation of the Senate Committees on Research on each campus. Faculty who are not members of the Senate may seek research support in cooperation with Senate members or through other campus funding sources. Grant application procedures are determined by each campus.
Members of the Academic Senate and certain other academic titles are eligible to submit proposals for research or training grants to external sponsors. (Principal Investigator Guidelines*) Those sponsors include the Federal government, the State government, and private sponsors such as private industry, foundations, or charities. Faculty who wish to serve as the Principal Investigator for a research project supported by extramural funds should contact the campus Contracts and Grants Office for information and assistance.
All contracts and grants, and gifts for research are subject to conditions, restrictions, and review procedures established by the Chancellor, in conformance with Universitywide policies and procedures outlined in the Contract and Grant Manual and the Development Policy and Administrative Manual.
Gifts and Grants for Research Purposes
There is a distinction between gifts and grants for purposes of the University's sponsored research program. Generally, if a faculty member receives funding from a donor who does not impose contractual requirements and who provides the funds irrevocably, such funding is termed a gift. If funding involves provisions for audits by the grantor, or directions to satisfy particular requirements or a detailed report of results or expenditures, or other such characteristics, such funding is generally termed a grant. The appropriate category is determined by applying the guidelines established by the President and in conformance with campus-based procedures. For further information, contact the campus Contracts and Grants Office.
Organized Research Units
In general, faculty members establish individual research programs in their own departments on their own or in collaboration with colleagues. However, major research programs including numerous faculty with complementary research interests may be organized into official research units which are approved by the Academic Senate.
ORUs: Single-campus Organized Research Units are complementary to the academic goals of departments of instruction and research and customarily are interdisciplinary in scope. Examples are California Regional Primate Research Center (UCD), Earthquake Engineering Research Center (UCB), and Institute for Health and Aging (UCSF).
MRUs: Multi-campus Research Units: This category includes those units with facilities and personnel at two or more campuses or major research facilities. The Institute of Geophysics and Planetary Physics and the Linguistic Minority Research Institute are examples of Multi-campus Research Units. For more information and a listing of all approved ORUs and MRUs, see the Directory of Organized Research Units in the University of California.
Other Major Research Programs
Several programs with characteristics of ORUs and MRUs have been established in response to particular opportunities or needs. Examples of recent programs include programs in toxics, biotechnology, AIDS research, tobacco-related disease research, and microelectronic research.
Patents and Other Intellectual Property
All employees sign a patent agreement which assigns inventions and patents to the University except those resulting from permissible consulting activities which do not involve the use of University facilities. The Patent Agreement requires disclosure of all inventions, whether or not the invention was created as a part of, or outside, any University duties or use of University facilities. After disclosure, the equities of the parties are assessed and the interest of the University in filing a patent or releasing the right to the inventor is determined. For University-owned patents, any royalties are shared between the University and the inventor. In most cases, the University pays royalties to the inventor on the basis of a sliding scale. Net royalties from patents or inventions assigned to the University are defined as gross royalties and fees, less administrative costs, and less the costs of patenting, protecting, and preserving patent rights, maintaining patents, the licensing on the patent and related property rights, and such other costs as may be necessary or required by law. Funds generated by patents are used by the University to support research and other educational activities. For further information, see University of California Patent Policy, (1990)*.
A faculty member s scholarly works such as books, musical or dramatic compositions, architectural designs, paintings, and sculptures are considered property of the creator unless the work is prepared by special contractual agreement or first produced in performance of a sponsored agreement or as a specific part of a University assignment other than general obligation to produce scholarly works. For further information, see the University Policy on Copyright Ownership (1992)*.
Other Forms of Intellectual Property
Other forms of intellectual property including tangible research products such as cell lines, plasmids, technical schematics, and physical models are also governed by University policy. Ownership is generally with the University. For further information, consult the systemwide Office of Technology Transfer or the campus licensing office.
Use of the University's Name -- Commercial
The name "University of California" is the property of the State (California Education Code Section 9200). Industrial sponsors of University research may not state or imply in any publication or other published announcement that the University has approved any product. In addition, the University does not allow its name to be used in connection with any form of business promotion or publicity, or to have one of its research agreements referred to in a commercial message without prior written approval. See Chapter 1, Contract and Grant Manual. For further information, see Policy To Permit the Use of the University s Name (1985)*.
Other Policies and Conditions Pertaining to Research
The Academic Senate has affirmed the right of faculty members to make public the findings of their research, orally or in writing, free from censorship or restraint by any representative of the University. (See APM - 010, University Regulation No. 5*.) The freedom of the investigator to disseminate the results of research is an essential part of academic freedom. It is also a major criterion in determining the appropriateness of any sponsored project. Unless otherwise approved by the Chancellor, the campuses of the University will undertake research projects only if the scientific results can be published or otherwise promptly disseminated. University policy precludes assigning ownership of research results or the final decision on what may be published to extramural sponsors. The policy also precludes placing an unreasonably long or unlimited delay on the publication or dissemination of information.
Use of Human Subjects
The University requires that all research and teaching activities involving human subjects be reviewed to determine if the persons involved are at risk in any way as a part of the research project. See the University Policy on Protection of Human Subjects in Research (1981) and the Contract and Grant Manual, Chapter 18, Protection of Research Subjects.
Use of Animals
The University policy sets forth common procedures to assure the continued maintenance of high standards of animal care and use within the University. The policy calls for University compliance with specific Federal standards and requirements. See the University Policy on the Use of Animals in Research and Teaching (1984) and the Contract and Grant Manual, Chapter 18, Protection of Research Subjects.
Appropriateness of Research Activities: Use of Facilities
University Regulation No. 4 -- Special Services to Individuals and Organizations establishes academic policy for determining the appropriateness of and basis for conducting research sponsored by extramural sources, such as Federal, State, or private sponsors. University Regulation No. 4 governs the use of research facilities. It states that University facilities are not to be used for purely routine tests. It also deals with such matters as ownership and use of results, recovery of costs, as well as establishing guidelines for the character of the research. See APM -- 020, University Regulation No. 4*.
Conflict of Interest
Faculty members are encouraged to engage in outside professional activities related to their academic specialities. However, the growth of sponsored research, consulting contracts, and faculty involvement in the management of private companies and other types of nongovernmental entities has complicated these relationships. One of the consequences is the possibility of a potential conflict of interest.
In 1980 the University Policy on Conflict of Interest was issued together with a Compendium of Specialized University Policies and Guidelines Related to Conflict of Interest. The University s overall policy on conflict of interest is that none of its faculty, staff, managers, or officials shall engage in any activities which place them in a conflict of interest between their official activities and any other interest or obligation. APM - 028 -- University Policy on Disclosure of Financial Interest in Private Sponsors of Research* which relates specifically to conflict of interest with respect to sponsored research is described below.
Other policies which touch on other areas in which conflict of interest could occur for faculty members are summarized in the Compendium which was reissued in 1986 as Business and Finance Bulletin G-39. It may be obtained from the campus Conflict of Interest Coordinator.
Disclosure of Financial Interest
Principal investigators must disclose if they have any direct or indirect financial interest in a nongovernmental sponsor which has funded their research through grants, contracts, or earmarked gifts. The disclosure statements are public documents. When a disclosure statement indicates that such a financial interest exists, an independent review committee of the particular campus or laboratory reviews the disclosure statement, the research project, and other relevant information and recommends whether the project should be accepted and, if so, whether any modifications or conditions are needed. Department chairs must disqualify themselves from approving research projects funded in whole or in part by nongovernmental entities in which they have a financial interest. See APM - 028 -- University Policy on Disclosure of Financial Interest in Private Sponsors of Research*.