Research Policy Analysis and Coordination
LUX-RA (Learning, Understanding, and eXcellence in Research Administration)
UC Policy Foundation Series
The UC Policy Foundations Series is a core component of LUX-RA and consists of eight virtual webinars that provide a high-level overview of UC Presidential policies governing sponsored projects and research administration. The series is intended for research administrators, compliance professionals, and others seeking a foundational understanding of the Presidential policies that support research across the University of California.
To access a PDF of the presentation slides and/or recordings of the sessions that have already taken place, please contact Research Policy Analysis and Coordination staff at rpactrainings@ucop.edu to receive the link to the shared Box folder. These recordings are intended for UC personnel only.
The series will cover the following:
| Session | Timeframe | Policy |
|---|---|---|
| 1. Foundations of Research: UC's Core Principles | June 2026 |
|
| 2. Foundations of Funding: Gifts, Sponsored Awards, and Institutional Requirements | November 2026 | |
| 3. Foundations of Research Outputs: Data, Publication, and Intellectual Property | January 2027 | |
| 4. Foundations of Trust in Research: Research Integrity and Conflict of Interest Policies | April 2027 |
|
| 5. Foundations of Research Subjects: Human and Animal Research Protections | July 2027 | |
| 6. Foundations of Research Compliance: Specialized Topics, Part 1 | October 2027 | |
| 7. Foundations of Research Compliance: Specialized Topics, Part 2 | January 2028 | |
| 8. Foundations of Repatriation: Cultural Affiliation and NAGPRA Requirements | April 2028 |
1. Foundations of Research: UC's Core Principles - June 23, 2026
What: This training session introduces the UC Policy Foundations Series and provides and overview of the UC Presidential Policy process. It also gives an overview of the Principles Regarding Rights to Future Research Results in University Agreements with External Parties policy ("Principles Policy"), which establishes the fundamental parameters for negotiating agreements with external parties to address rights and obligations associated with future University research results.
Why: The Principles Policy ensures that research conducted under University auspices remains as open and accessible when possible, while complying with legal and contractual obligations. It establishes clear boundaries on sponsor-imposed restrictions to protect academic freedom, support broad dissemination of knowledge, and maintain trust in UC's publicly funded research infrastructure.
| Policy | Proposed Presenter(s) | Length |
|---|---|---|
| Introduction to the Policy Foundation Series & Presidential Policy Process |
Agnes Balla Ian Harazduk |
30 min |
| Principles Regarding Future Research Results (PDF) | Deborah Motton | 30 min |
2. Foundations of Funding: Gifts, Sponsored Awards, and Institutional Requirements - November 3, 2026
What: This training provides and overview of UC policies governing the classification of external funding and the requirement to submit proposals and receive awards through the University. It covers the criteria used to distinguish gifts from sponsored awards, the implications of each classification for compliance and administration, and UC's requirements for institutional review, approval, and acceptance of proposals and awards.
Why: UC engages with a wide range of funding sources, including gifts and sponsored awards, each with different expectations and risks. These policies work together to ensure funds are properly classified, accepted, and managed in a way that aligns with UC's mission and that the institution maintains proper oversight.
| Policy | Proposed Presenter(s) | Length |
|---|---|---|
| Classification of Gifts & Sponsored Awards (PDF) |
Dragana Alexander |
45 min |
| Requirement to Submit Proposals and to Receive Awards for Grants and Contracts through the University (PDF) | Lourdes DeMattos | 45 min |
Registration Link: https://UCOP.zoom.us/webinar/register/WN_dAuWsSilT12JNVEabNj0bw
3. Foundations of Research Outputs: Data, Publication, and Intellectual Property - January 2027
What: This training provides an overview of UC policies governing research data and intellectual property, including expectations for data ownership, access, retention, and sharing, as well as the management of inventions. It highlights how these policies guide the stewardship of research outputs, clarify rights and responsibilities, and support compliance while enabling innovation and knowledge transfer.
Why: UC research generates data and innovations that must be managed in ways that support open inquiry, protect academic freedom, and ensure public benefit. These policies work together to guide how research outputs are shared, protected, and utilized, balancing the University's mission with external partnerships and legal obligations.
| Policy | Proposed Presenter(s) | Length |
|---|---|---|
| University of California Research Data Policy (PDF) |
Agnes Balla |
45 min |
|
UC Policy on Inventions, Patents, and Innovation Transfer (PDF) |
Randi Jenkins Felice Lu Rober Chan Angus MacDonald |
45 min |
Registration Link: will be posted here
4. Foundations of Trust in Research: Research Integrity and Conflict of Interest Policies - April 2027
What: This training provides and overview of UC requirements for disclosing and managing financial conflicts of interest (COI), as well as expectations for responsible conduct in research. It covers key elements of COI disclosure, review, and management, along with standards related to research misconduct, data integrity, and ethical research practices.
Why: UC's policies on Conflict of Interest (COI) and Integrity in Research establish essential safeguards to ensure that research is conducted and reported with objectivity, accuracy, and transparency. Financial interests and external relationships can introduce real or perceived bias, while failures in research integrity can undermine the credibility of research outcomes. Together, these policies protect the validity of the research enterprise, support compliance with regulatory and sponsor requirements, and maintain public trust in UC's research activities.
| Policy | Proposed Presenter(s) | Length |
|---|---|---|
| Integrity in Research Policy (PDF) |
Tim Miller |
30 min |
| Disclosure of Financial Interests and Management of Conflicts of Interest in Private Sponsors of Research (PDF) | Tim Miller | 45 min |
| Disclosure of Financial Interests and Management of Conflicts of Interest, NSF and NASA Awards (PDF) | Tim Miller | - |
| Disclosure of Financial Interests & Management of Conflicts of Interest, Public Health Service Research Awards (PDF) | Tim Miller | - |
Registration Link: will be posted here
5. Foundations of Research Subjects: Human and Animal Research Protections - July 2027
What: This training provides and overview of UC requirements for human subjects and animal research, including key principles, oversight structures, and compliance obligations. It covers the roles of IRBs and IACUCs, core review and approval processes, and practical considerations for ensuring ethical and compliant research conduct.
Why: UC's policies on the Protection of Human Subjects and the Use of Animals in Research establish fundamental ethical and regulatory standards for conducting research involving human participants and animal subjects. These policies ensure compliance with federal and state requirements, safeguard the welfare and rights of research subjects, and uphold the integrity and public trust in UC's research enterprise.
| Policy | Proposed Presenter(s) | Length |
|---|---|---|
| Protection of Human Subjects (PDF) |
Agnes Balla Ruchika Dhussa |
30 min |
| Use of Animals in Research, Teaching, and Testing (PDF) |
Dragana Alexander Sean Mayuga |
30 min |
Registration Link: will be posted here
6. Foundations of Research Compliance: Specialized Topics, Part 1 - October 2027
What: This training provides an overview of UC requirements related to international research activities and export control compliance. It covers key concepts such as restricted parties, controlled technologies, and international engagements, along with roles, responsibilities, and common risk areas to support compliant global research operations.
Why: UC's policies on International Activities and Export Control establish critical safeguards for conducting global research while complying with U.S. laws and institutional obligations. These policies help mitigate legal, financial, and reputational risks by ensuring that international collaborations, travel, and the sharing of information or materials do not violate export regulations or comprise national security.
| Policy | Proposed Presenter(s) | Length |
|---|---|---|
| International Activities (PDF) |
Dragana Alexander |
30 min |
| Export Control (PDF) |
Deborah Motton Marci Copeland |
30 min |
Registration Link: will be posted here
7. Foundations of Research Compliance: Specialized Topics, Part 2 - January 2028
What: This training provides an overview of UC requirements for conducting research involving drones and high-consequence biological agents or technologies. It covers key approval processes, regulatory considerations, and oversight mechanisms, as well as roles and responsibilities for identifying, assessing, and managing risks associated with these activities.
Why: UC's policies on Unmanned Aircraft Systems (UAS) and Dual Use Research of Concern (DURC) and Pathogens with Enhanced Pandemic Potential (PEPP) address high-risk research activities that carry significant safety, security, and regulatory implications. These policies ensure that such activities are conducted responsibly, in compliance with federal and state requirements, and with appropriate oversight to mitigate risks to public safety, national security, and the research enterprise.
| Policy | Proposed Presenter(s) | Length |
|---|---|---|
| Unmanned Aircraft System (Drone) Policy (PDF) |
Brandon Stark |
30 min |
| Dual Use Research of Concern and Pathogens with Enhanced Pandemic Potential (PDF) |
Ken Smith Tim Miller |
30 min |
Registration Link: will be posted here
8. Foundations of Repatriation: Cultural Affiliation and NAGPRA Requirements - April 2028
What: This training provides a systemwide overview of UC policy governing Native American cultural affiliation and repatriation. It covers the purpose, core requirements, and how the policy should be interpreted across campuses; focusing on what UC requires, where responsibilities apply, and common areas of misunderstanding, from a systemwide policy perspective.
Why: UC holds cultural items and ancestral remains that are subject to legal and institutional responsibilities related to repatriation. This policy ensures the University fulfills its responsibilities to Native American tribes and lineal descendants; supporting respectful engagement, compliance with applicable laws, and carrying out repatriation responsibilities in a consistent and appropriate manner across campuses.
| Policy | Proposed Presenter(s) | Length |
|---|---|---|
| Native American Cultural Affiliation and Repatriation Policy (PDF) |
Glenys Echavarri Andy Perkins |
60 min |
Registration Link: will be posted here