Contracts and Grants (Research)
Delegation of Authority
Major Responsibilities That Can Be Delegated:
  • Authority to solicit and accept awards (within dollar limits established by the Vice President)
  • Establishment of unit policies and procedures to ensure that contracts and grants are administered in accordance with the UC Office of the President Contract and Grant Manual and related policies
  • Reviewing proposals submitted by academic appointees to ensure the following:
    • Eligibility of principal investigator or co-principal investigator
    • Proposed project scope is consistent with the educational and professional objectives of the unit
    • Time commitments made by academic appointees are appropriate
    • UC ANR space is available for the proposed project or alternate space options have been arranged
    • Cost sharing and/or other fund commitments can be met
    • Equipment screening procedures have been followed where appropriate
    • UC guidelines regarding the review, approval, and timely submission of proposals and the conduct of the research have been followed
  • Reviewing matters such as space allocation and employee health and safety programs as they relate to research issues such as biohazard, fire and life safety, chemical hazards, and radiation safety (the administrative official, in consultation with Risk & Safety Services, is responsible for assuring compliance with R&SS requirements, including that laboratory spaces are free of contamination and cleared of hazardous materials following lab relocations)
  • Establishing and maintaining unit review or safety committees as appropriate
  • Approving all radiation safety and radioactive drug research applications on behalf of the unit
  • Training animal care laboratory personnel
Major Responsibilities That Cannot Be Delegated:
  • Accountability for the administrative leadership of the unit
  • Oversight responsibilities for unit research activities

Staff may be responsible for implementing the administrative official’s decisions and for reviewing unit compliance with UC policies and procedures, but cannot be responsible for academic or other decisions for which the administrative official is accountable.

Selected Requirements, Risks and Mitigation Measures
Overview

UC prohibits research misconduct – all UC employees are expected to conduct research with integrity and intellectual honesty at all times, and with appropriate regard for human and animal subjects.  UC employees engaged in research are expected to pursue the advancement of knowledge while meeting the highest standards of honesty, accuracy, and objectivity.  They are also expected to demonstrate accountability for sponsors' funds and to comply with specific terms and conditions of contracts and grants.  Those engaged in research are not to: fabricate data or results; change or knowingly omit data or results to misrepresent the research record; or intentionally misappropriate the ideas, writings, research, or findings of others.

Serious issues may lead to a complaint, grievance, or legal action in areas such as:

  • Conflict of interest / conflict of commitment
  • Foreign Influence
  • Misconduct in research
  • Misuse or mismanagement of resources
  • Violation of the faculty code of conduct

It is strongly suggested that the administrative official immediately involve the Contracts and Grants Director if any of the above issues occur or are likely to occur.

Research—Human Subjects

Noncompliance with federal regulations and policies can result in the loss of the privilege to conduct human subject research for the investigator, the institution, and the potential for the loss of all federal funding to the institution.

To protect the rights of human subjects, all research involving them must be reviewed and approved by a campus Institutional Review Board (IRB). Failure to obtain IRB approval for research involving human subjects prior to commencing the project or instituting a revision/modification of the project without prior IRB approval of the procedures may compromise UC indemnification of the investigator and make the investigator personally liable.

Research—Animal Subjects

To protect the welfare of vertebrate animals, all research involving them must be reviewed and approved by a campus Institutional Animal Care and Use Committee (IACUC).

Noncompliance with federal and UC animal welfare regulations and policies may lead to a formal complaint, the loss of animal use privilege, loss of federal funding, fines, and/or criminal penalties.

Animals owned by, used, or funded (subcontracted) under the jurisdiction of UC ANR must be housed in facilities approved by a campus IACUC.

The transportation of animals must meet with federal, state, and local regulations.

Research—Review of Contract and Grant Applications

The administrative official must ensure that research grant and contract applications are accurate, complete, and timely.

An employee with the Vice President’s formal, written redelegated contracting authority should sign all contracts and grants.

Contracts and Grants should be consulted for assistance.

Research—Financial Management

The administrative official must ensure that a principal investigator manages their grants effectively and reports the sources and uses of these extramural funds accurately.

Falsification of financial transactions, including vendor payments, expense reimbursements, payroll, and leave documents is a violation of the Federal False Claims Act and may be punishable by individual and institutional sanctions up to and including incarceration.

Research—Use of Hazardous Materials

The administrative official should ensure that all work involving the use of radioisotopes, hazardous biological materials, radiation machines, high-power lasers, and certain hazardous chemicals and toxins receive campus approval prior to start of research. Contact Risk & Safety Services for assistance.

Non-compliance with state and federal regulations and policies can result in the loss of the privilege to conduct research using radiation for the investigator and the institution. There may also be the potential for loss of all federal funding as well as licensure and accreditation risks.

Noncompliance with NIH hazardous biological materials policies and guidelines may result in the loss of the privilege to conduct research for the investigator, for the institution, and the potential for loss of all NIH funding to the institution.

The transportation of hazardous materials, including radioisotopes, hazardous biological agents, and chemicals must meet with federal, state, and local regulations.

Research—Intellectual Property

It is required that anyone using UC research facilities, whether or not on a paid appointment, sign UC’s Patent Acknowledgement Form.

Consulting agreements between an academic appointee and an outside organization may not conflict with duties owed UC under academic personnel guidelines, such as obligations to disclose inventions. See UC ANR Policy and Procedure Section 345, Consulting for further information.

Resources and Background Information

For more information contact the Contracts and Grants Director.