Research Policy Analysis and Coordination
Chapter 1-300: President's Duties and Statements on Academic Policy
Regents’ Standing Order 100.4, Duties of the President of the University, Section (j), states:
(j) The President shall consult with the Chancellors and the Academic Senate regarding the educational and research policies of the University, and shall keep the Chancellors and the Academic Senate informed about significant developments within the University and within the State and Federal governments which may have serious consequences for the conduct of education and research within the University. The President shall present recommendations to the Board concerning the academic plans of the University and the several campuses. The President shall transmit to the Board any memorial which the Academic Senate may address to The Regents.
University Regulation No. 4, Special Services to Individuals and Organizations, now published as Academic Personnel Manual APM-020, establishes the basic framework of University policy regarding the types of acceptable activities and the conditions under which the University will perform services under contract involving the use of University facilities. The following are excerpts from pertinent sections of Section II of APM-020:
- Services Involving the Use of University Facilities or Conducted Through University Bureaus or Other Organizations, and Under Contracts Between Such Organizations and the Regents
- Presidential approval
Research for the benefit of Federal, State, industrial or other projects is to be undertaken only under conditions approved in advance by the President. Prior to execution of a contract, expenditures or commitments of any kind are prohibited except as may be authorized by specific regulations of The Regents of the University.
- Character of Undertakings
University participation in tests and investigations shall be limited to activities which lead to the extension of knowledge or to increased effectiveness in teaching. Routine tests of a commonplace type will not be undertaken.
University laboratories, bureaus and facilities are not to be used for tests, studies, or investigations of a purely commercial character, such as mineral assays, determination of properties of materials, the performance efficiencies of machines, analyses of soils, water, insecticides, fertilizers, feeds, fuels, and other materials, statistical calculations, etc., except when it is shown conclusively that satisfactory facilities for such services do not exist elsewhere. Those requiring such tests or services should apply to business firms or to such public agencies as the State Division of Mines, the State Department of Agriculture, or the State Food and Drug Laboratory, etc.
Commercial tests or investigations involving controversial elements may be undertaken only at the direct and unanimous request of representatives of all parties to the controversy.
- Expenses incurred by the University
For all tests and investigations made for agencies outside the University, a charge shall be made sufficient to cover all expenses, both direct and indirect.
- * Participation by Members of the Faculty
Within the limits established under Section I, members of the faculty may render service in connection with research undertaken for the benefit of Federal, State, industrial or other projects, and may receive compensation therefore, in periods of academic recess up to a total of three months per year for 9-month appointees (or one month in the case of 11-month appointees), unless prohibited from accepting compensation by the terms of their University appointment. All persons other than members of the faculty, to be engaged in such research, must be approved by the University. All payments made to members of the faculty or to other persons for their services in connection with such research shall be made solely by the University, except in case of any full-time, permanent employee of the sponsoring agency. Acceptance of responsibilities by members of the faculty with reference to such research must not interfere with regular University duties, or be of a routine character undertaken primarily to supplement personal income.
[*Note: This paragraph was superseded by Academic Personnel Manual Sections 660-0, 660-16, 664, 667, and 750.]
- Publicity of results
All such research shall be conducted so as to be as generally useful as possible. To this end, the right of publication is reserved by the University. The University may itself publish the material or may authorize, in any specific case, a member or members of the faculty to publish it through some recognized scientific or professional medium of publication. A report detailing the essential data and presenting the final results must be filed with the University. Notebooks and other original records of the research are the property of the University.
- Use of the name of the University
The use of the name of the University for advertising purposes shall not be permitted.
- Patent Agreements
For those projects in which patentable ideas may result, in the opinion of the President or of the chairman of the department concerned, patent agreements between the sponsor and the University shall be made. Employees of the University will be required to execute agreements, before the work begins, in which the position of the employee, the University, and the sponsor shall be clearly set forth.
- Appropriate Arrangements will be made by the President for the Administration of the policy herein set forth.
- Presidential approval
Concurrent with the issuance of Regulation No. 4, the President issued the Principles Underlying Regulation No. 4. The following is the text of the Principles Underlying Regulation No. 4:
To accomplish its aims of providing higher education, of advancing knowledge and of contributing to the welfare of the State, the University invites to its faculty scholars whose interests, learning, and accomplishments give promise of continued effective service to these ends. The service of the individual member of the faculty may include varied types of activities, such as classroom teaching, conference with students, writing, research, committee work, administrative service, and public service. To these various activities the relative time allocations will vary with individuals, and for the same individual at different periods. It is not desirable or feasible to arrange them in a fixed regimen applicable to all persons at all times. Teaching is one of the essential functions of the faculty and the teaching "load" is intended to be moderate to provide time for fulfilling other obligations, the most evident of which are professional improvements and scholarly activity.
Certain commitments directly affecting other persons, as, for example, classroom teaching and administrative engagements, will naturally involve specific schedule and other obligations, but the University in general leaves the time allocations of such activities as study, writing, research, and public service to the discretion of the individual. It is assumed that Full-Time members of the faculty are devoting their time and energies (full "working" time) to the services of the University (See further, Regulation No. 3).
Regulation No. 4 deals with services to individuals and organizations outside the University. In the spirit of the above-outlined principles, such service may be justified if it does not interfere with University commitments and if 1) it gives the individual experience and knowledge of value to their teaching or research; 2) it is suitable research through which the individual may make worthy contributions to knowledge; or 3) it is appropriate public service.
The University enters into certain contracts to carry out research projects for outside agencies when it is convinced that the project is an appropriate University activity, that conditions of space, etc. are adequate, and that faculty personnel is available, competent, and interested in undertaking the work. No one is required to undertake such work, but it may present a welcome opportunity to one who is interested in the research problems involved, as supplying the necessary assistance and equipment which he otherwise might be unable to obtain. In general, the time which the regular member of the faculty gives to the work is that which he would normally have available for study and research.
The University has had the policy for many years of giving added compensation to faculty members who undertake scheduled obligations in the summer period (summer sessions), and on that analogy has, with the concurrence of contracting agencies, allowed compensation for summer contract work.
The point is sometimes raised that a faculty member may undertake individual work for an outside agency at a rate higher than that allowed by the University; also that certain contract agencies would be willing that higher payments be made from the funds they supply. Nevertheless, it would be a very unsatisfactory policy for the University, in dealing with its regular staff, to set up for individuals two rates of pay for different parts of the year, or to compensate for some of the projects it undertakes at higher proportional rates than for others.
It is expected that those administering or otherwise taking part in projects, or rendering services covered by University Regulation No. 4, will act in the spirit of the principles of service to the University, and interpret any detailed statement of the regulation in the light of these principles.
In recognition of the importance and complexity of relations between the University of California and private industry, the President issued Guidelines on University-Industry Relations on May 17, 1989. Following are the Guidelines:
Guideline 1: Open Academic Environment
The Administration and the Academic Senate are responsible for assuring that an open environment exists throughout the University. It is the responsibility of the campus administration, departmental faculty, and the Academic Senate to establish appropriate norms and to assure the existence of an open environment.
Guideline 2: Freedom to Publish
Freedom to publish is fundamental to the University and is a major criterion of the appropriateness of a research project.
Guideline 3: Outside Professional Activities
Faculty are encouraged to engage in appropriate outside professional activities. Responsibility rests with each faculty member to assure that such activities do not interfere with the performance of University duties.
Guideline 4: The Obligation to Avoid Conflict of Interest
Faculty may not engage in any activity that places them in a conflict of interest between their official University activities and any other interests or obligations.
Guideline 5: Disclosure Responsibilities
Principal Investigators who have a financial interest (such as equity, directorship, or consultant relationship) in any non-governmental sponsor proposing to fund their research must disclose this interest prior to acceptance of funding.
Guideline 6: Responsibility to Students
Faculty members must not allow any outside professional activities or interests to adversely affect their responsibilities to students as teachers, mentors, or supervisors of research.
Guideline 7: Patent Policy
All University employees and others who use University funds or facilities must sign patent agreements and must adhere to the University of California Patent Policy.
Guideline 8: University Practice on Licensing the Use of Technology Resulting From Research
University practice permits the licensing of technology resulting from its research as long as the University retains the right to disseminate the results publicly. The principle of the right of open dissemination of research results must not be compromised.
Guideline 9: Copyright Policy
All University employees and others who use University funds or facilities must adhere to the University Copyright Policy.
Guideline 10: Tangible Research Products
The University will permit the licensing of tangible research products as long as no inappropriate restrictions are placed on publication or dissemination of research results and materials.
Guideline 11: Use of University Facilities
University facilities and resources should be devoted to activities that support teaching and research and that lead to the advancement of knowledge. They should not be used for routine tasks of a commercial character. Unique or special facilities may be made available to outside users on a fee-for-use basis.
Guideline 12: Recovering Costs from Research Sponsors: Gift/Grant Distinctions
The proper distinction between gifts and grants, with the different obligations in each case, is important to the integrity of the University's sponsored research program.
Guideline 13: Organizational Arrangements
In general, it is not appropriate for the University to invest directly in enterprises when such investment is tied to the commercial development of new ideas created or advanced through University research.
Full text copies of APM-020, University Regulation No. 4 and the Principles Underlying Regulation No. 4, are reprinted in the Faculty Handbook, September, 1995, Appendix, and in the Academic Personnel Manual, APM-020. The Guidelines on University Industry Relations were distributed to campus and Laboratory Contract and Grant Offices by Research Administration Memo. Guidance for Faculty and Other Academic Employees on Issues Related to Intellectual Property and Consulting is published on the UCOP Research Policy and Coordination (RPAC) Policies and Guidance Industry page.
General academic policy questions relating to extramurally sponsored projects or programs treated by this Manual, including questions of appropriateness and suitability, are in the province of the Provost and Executive Vice President--Academic Affairs. The offices of the Executive Vice President—Business Operations, the Executive Vice President – Chief Financial Officer, Vice President--Agriculture and Natural Resources, and Senior Vice President--Health Sciences and Services may also be involved in issues in their areas of responsibilities.