Next Review Date: 11/26/2022
Issuance Date: 12/03/2019
Issuing Office: Office of Research Affairs
This policy covers all University employees who receive any part of their salary through the University or whose activities use any University resources or facilities.
The University of California requires that employees who receive any part of their salary through the University or whose activities use any University resources or facilities must submit their proposals for extramural support through the appropriate contracts and grants office. Awards must be made to The Regents of the University of California. Exceptions to the requirement to submit proposals and awards through the University may be granted by the Vice Chancellor for Research on a case-by-case basis.
The governing policy is UC Policy, “Requirement to Submit Proposals and to Receive Awards for Grants and Contracts through the University.”
The Vice Chancellor for Research (VCR) has been delegated the authority to grant exceptions on a case-by-case basis to the requirement to submit proposals and receive awards of extramural support through the University. Exceptions may be granted by the VCR if the exception is in the best interests of the University. Exception requests must be submitted to the Research Compliance and Integrity (RCI) Office. The RCI Office will provide recommendations on the request to the VCR.
1. In advance of submitting proposals to or accepting an award from an external party that will not be administered by the University, the requestor must provide the following information to the Research Compliance and Integrity (RCI) Office (email firstname.lastname@example.org):
a. A list of the specific proposals, grant applications, and awards that the requestor wishes to be on outside of the University. For each proposal, grant application, and award, the requestor should provide the proposal title, agency, grant time period, their anticipated role, and their anticipated time commitment.
b. The rationale/justification for the request, including anticipated benefits to the University.
c. An explanation for why the requested activity will not interfere with the requestor’s duties and responsibilities to the UC San Diego campus.
d. Information on how the requestor will maintain a clear distinction and separation between the requestor’s service to the University and service to the external party.
e. An affirmation from the requestor that all University personnel, research, and intellectual property policies will be followed and that the University name will not be used by the external party without prior University approval.
2. The request must be endorsed by the requestor’s Department Chair or Dean.
3. In reviewing requests for an exception, the Vice Chancellor for Research will consider whether there exists a compelling reason to grant an exception, the degree of overlap in and/or conflicts with research and/or responsibilities between the proposed activity and the requestor’s University duties and responsibilities, the adequacy of the separation between the requestor’s University obligations and the proposed extramural activities, the risk that the proposed activity may result in a violation of University policy, and the justifications for the request.
4. The Vice Chancellor for Research will determine if the exception request is permissible. Exception requests will be granted only in unusual circumstances and only if, considering the totality of the circumstances, the Vice Chancellor for Research determines that granting the request is in the best interests of the University. Written notification will be provided to the requestor and their Department Chair or Dean.
5. The RCI Office will maintain a list of the exception requests (regardless if approved or not) in accordance with the UC Records Retention Schedule at https://recordsretention.ucop.edu/.
“Requirement to Submit Proposals and to Receive Awards for Grants and Contracts through the University” at https://policy.ucop.edu/doc/2500500/ReqSubmitProp-Awar.
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