Research Policy Analysis and Coordination
Chapter 10-100: The University of California Organization
The University of California is a statewide institution comprised of numerous organizational components, including the Office of the President, ten campuses, the Lawrence Berkeley Laboratory (operated by the University on behalf of the U.S. Department of Energy), five teaching hospitals, and numerous statewide research, training, and public service programs. The interactions among these University components and with external organizations are diverse and complex. For University personnel to carry out their University contract and grant administration responsibilities effectively and efficiently, it is important that they understand the University's organization, its operations and the relationships among the many organizational components.
Sections 10-110 through 10-140 describe the general organization of the University. Sections 10-200 through 10-253 discuss the "special" University organizational considerations in contract and grant administration including obtaining additional authorities from The Regents, handling multi-campus projects, and coordinating internal University "sponsor-recipient" transactions.
Chapter 1 of this Manual provides coverage on the basic mission of the University. Chapter 13 discusses the constitutional and corporate basis for the existence of the Board of Regents of the University of California which is charged with administering the University as a public trust. In addition, Chapter 13 discusses delegations of authority from The Regents which must be considered in the University's contract and grant administration function.
10-110 Office of the President
The Regents have adopted Bylaws and Standing Orders which list many of the duties of the President as the executive head of the University. (See Standing Order 100.4.)
Various functional units within the Office of the President (OP) support the President's responsibilities to The Regents for the conduct of the University's academic, business, and fiscal operations. These functional areas include: the Executive Vice President - Business Operations; the Executive Vice President – Chief Financial Officer; the Senior Vice President – Health Sciences and Services; the Provost and Executive Vice President - Academic Affairs; the Senior Vice President – External Relations; the General Counsel and Vice President for Legal Affairs; and the Senior Vice President, Chief Compliance and Audit Officer. Organization charts for the Office of the President are available online. In addition, Sections 10-111 through 10-115 below provide further information about OP units that most directly work with the University's contract and grant administration function.
10-111 Executive Vice President - Business Operations
As the chief administrative officer for the University, the Executive Vice President - Business Operations oversees a variety of administrative functions including: Human Resources; Budget and Capital Resources; Institutional Advancement; Information Resources and Communications; and UCOP Budget. The Executive Vice President also serves as the chief administrative officer for the internal administration of OP. The responsibilities of the Executive Vice President - Business Operations include: regulatory reform; corporate strategic business initiatives; legislative initiatives and analysis; University infrastructure development, renewal and sustainability; Public Safety coordination and advocacy; oversight of Office of the President administrative operations, as these areas relate to the above listed departments within the Division of Business Operations.
The Associate Vice President--Information Resources and Communications and Chief Information Officer (IR&C), who reports to the Executive Vice President - Business Operations, is responsible for the universitywide information technology (IT) department, offering services for both the campuses and OP. IR&C responsibilities cover such broad areas as: computer systems operation and development; telecommunications; networking; and IT policy analysis. It supports University administrative and business processes as well as new technologies for teaching and research. Among the functions of IR&C is development and maintenance of the Corporate Contract and Grant Information System (see 10-420), policies and procedures for procurement of computer hardware, software, and services, and records management policies.
Institutional Advancement is responsible for articulating, facilitating, and encouraging financial and other support to maintain and enhance the University's capacity to fulfill its mission. Within Institutional Advancement, the Office of Development Policy and Administration provides a number of private support-related services for the University community including endowment stewardship, administration and allocation of gifts and bequests, reports on private support, systemwide policy development and compliance review related to gifts and endowments, planned giving programs, and information for potential donors.
The Office of the Chief Financial Officer is responsible systemwide management of overseeing all aspects of financial management at the ten campuses, five academic medical centers and the Lawrence Berkeley National Laboratory. Responsibilities include: oversight on accounting and financial controls, risk management, strategic sourcing, tax compliance, payroll coordination and long range
financial planning. In addition, the Office is responsible for external relationships with rating agencies, investment houses, banks, financial auditors and financial regulators. The Office administers cross- campus efforts on financial matters and works closely with the Division of Business Operations on budgeting and policy decisions.
Departments within the Office of Financial Management under the Vice President - Finance which have responsibilities related to contract and grant administration are described below. These areas include: Controls and Accountability; External Finance; Financial Management; Risk Services; and Purchasing Services.
Within the Department of Financial Management are: Corporate Accounting; Endowment and Investment Accounting; Financial Planning and Analysis; Costing Policy and Analysis; and Payroll Coordination and Tax Services. The offices reporting to the Vice President--Finance that support contract and grant activities include:
The Executive Director – Purchasing Services is responsible for developing and implementing the overall policies governing purchasing activities including: monitoring compliance; providing effective coordination of purchasing; central storehouse operations; small business development; independent contractors and consultants; and equipment management. The Office administers the Strategic Sourcing Program, maintains the CALCODE classification and coding system for equipment and supply management. Strategic Sourcing negotiates products and services purchasing contracts for the system and represents the University with external suppliers, independent contractors and consultants.
Strategic Sourcing has administrative responsibility to provide for appropriate implementation of the policies and requirements of the State of California, funding agencies for federal contracts and grants, and other extramural agreements. This unit is further responsible for updating University subaward and purchase order terms and, in conjunction with OP Research Policy Analysis and Coordination (RPAC), terms and conditions which may be flow-down requirements under contracts or grants, as well as any special conditions required for research and development subcontracts and consultant agreements. (See the Business and Finance Bulletin Manual, in particular, BUS 29, Management and Control of University Equipment; BUS 43, Materiel Management; and BUS 34, Securing the Services of Independent Consultants.
The Chief Risk Officer is responsible for developing and recommending policies and practices to manage the negotiation and purchase of insurance coverage, to manage the University's self-insurance programs, to adjust liability and property claims, to assess risk exposure, and to serve as principal coordinator within the University for all matters pertaining to risk management.
The General Accounting Office has primary responsibility for establishing uniform policies and procedures for recording accounting transactions and for preparing consolidated corporate reports, such as the University of California Financial Reports. Other duties include providing guidance to the campuses for application and interpretation of accounting policies and maintaining the records of the endowment funds and University investment.
The Office is further responsible for monitoring various cash advance programs administered by the campuses and for directly administering a limited number of cash advance programs.
The Manager of the Costing Policy & Analysis unit is responsible for:
- Federal indirect cost rate proposals and negotiations;
- Federal costing regulation analysis;
- Primary liaisons with federal audit agencies;
- Federal costing systems development and maintenance;
- Extramural costing and audit policy development;
- Federal Audit Resolution; and
- Special Costing Studies and Analysis
The Senior Vice President - Health Sciences and Services(HSS) provides leadership and strategic direction to advance the education, research, and public service programs of the University's health sciences instructional system and clinical enterprise. The department's activities include:
- Representing and supporting the University's health profession schools of: dentistry, medicine, nursing, optometry, pharmacy, public health, and veterinary medicine in areas of planning, development, funding, and collaboration;
- Overseeing and coordinating the business and financial activities of the clinical enterprise, including: mergers, acquisitions, partnerships, contracting, product line development, strategic sourcing, operational improvement, and related capital and investment activities; and
- Developing and responding to state and federal policy programs aimed to improve health sciences education, clinical care, and medical research.
Provost and Executive Vice President – Academic Affairs is responsible for: Academic Personnel; Academic Planning Program and Coordination, Educational Partnerships, Office of Research and Graduate Studies, and Student Affairs. These areas encompass: academic planning,; faculty and graduate student affirmative action; academic program review;
Organized Research Units (see 10-130); research policy, compliance and administration, including research policy applicable to protection of human and animal subjects in research and conflict of interest; technology transfer; relations with the California Postsecondary Education Commission and with other segments of education in California; admissions and educational outreach services, student affairs, financial aid and loan collection, and student preparation; Agriculture and Natural Resources; library plans and policies, including the California Digital Library; University Extension; Continuing Education of the Bar; and the University Press.
This office is also the principal liaison between the University administration and the Academic Senate.
The Office of the Vice President – Research and Graduate Studies supports research and graduate education across the University of California's ten campuses and three affiliated national labs. The Office of Research and Graduate Studies (ORGS) provides guidance and resources to individual researchers and administrators, and strategic coordination of programs, policies and initiatives across the systemwide research enterprise. ORGS establishes and oversees University policies in certain areas relating to research and extramural projects. These include: research administration; research policies involving human and animal subjects, intellectual property, and conflict of interest; technology transfer; graduate studies; and special initiatives The Office assists in the coordination of issues related to State and federal research projects and legislative initiatives related to research. It coordinates administration and review of multi-campus and organized research units and programs across the system. It administers or oversees a number of Universitywide research programs and units including the University Natural Reserve System.
The Executive Director –Innovation Alliances and Services (IAS) reports to the Vice President – Research and Graduate Studies. IAS provides leadership and strategic direction for the systemwide University of California technology transfer program and is responsible for oversight of the administration of intellectual property on behalf of the University. IAS’s responsibilities include managing inventions, patents and licenses which are not managed by a campus, as well as providing support services for campus- based licensing offices, including income distribution, legal oversight, and management of systemwide information systems. In addition, IAS provides outreach services for the community on behalf of the systemwide technology transfer program. These services include conducting forums on how to work with University, and providing ways to access the University technology transfer system through publications, web resources, and visibility at relevant meetings.
The Executive Director - Research Policy Analysis and Coordination (RPAC) reports to the Vice President – Research and Graduate Studies. RPAC provides oversight and guidance to the University research administration function systemwide, including the negotiation of systemwide master agreements, as well as providing direct contract and grant services to the Office of the President. RPAC is the institution-wide focal point for extramural contract and grant policy. It is responsible for monitoring and responding to changes in sponsor requirements, and working to interpret and implement sponsor requirements consistent with University needs. It also oversees the University overall implementation of research policies such as policies applicable to protection of human and animal subjects in research, misconduct in science, and conflict of interest. RPAC is also responsible for the development and implementation of University intellectual property policies and training and providing guidance for campuses on intellectual property matters. This Office is further discussed below in 10-320.
(c) Research Accountability and Coordination
Research Accountability and Coordination (RAC) manages special initiatives or projects designated by the Vice President to improve accountability of the University’s research and to increase the impact of collaborative research. The RAC’s work includes: evaluating the University’s research progress to ensure that it maintains competitiveness in research and graduate education; articulating the impact of the
University’s research and communicate its successes to the public and legislature; and facilitating a number of large, high-impact, collaborative initiatives.
The Research Grant Programs Office (RGPO) administers OP’s research grant-giving programs and operations. These include: Special Research Programs (SRP); Discovery Grants, Lab Fees Research Program, Multicampus Research Programs and Initiatives, among others. The RGPO also houses all of the supporting units for these grant programs for pre- award and peer review evaluations of applications, for post-award grant management and for financial and general administrative support. These supporting units are the Program Application and Review Center (PARC), the Program Award Administration Center (PAAC) and a consolidated unit to provide grant financial management and database information.
(e) Graduate Studies
Graduate Studies promotes graduate education through long-term graduate education planning, outreach and coordination, and the development of graduate research opportunities within system-wide initiatives and programs. The Director of Graduate Studies works closely with the Council of Graduate Deans and campus Graduate Division Staff as well as within OP to coordinate and plan initiatives and programs across the University system.
The Vice President—Agriculture and Natural Resources reports to the Provost and Executive Vice President – Academic Affairs. This Division is responsible for coordination of the statewide agricultural research programs carried out at the University's Davis, Berkeley, and Riverside campuses, and for the organization and operation of the Agricultural Experiment Station and Cooperative Extension public service offices serving all California counties. The Division also administers a number of Universitywide research programs. See 10-220 for coverage on internal contract and grant administration considerations unique to agricultural programs.
The Agricultural Experiment Station (AES) is the research arm of the Agriculture and Natural Resources. The Agricultural Experiment Station is a Universitywide Organized Research Unit with sub-units on the Berkeley, Davis, and Riverside campuses. In addition, the Agricultural Experiment Station has field stations and experimental areas throughout the State. The Station's research programs concern conservation and use of natural resources, environmental enhancement, the efficient production of food and fiber products, product improvement and marketing, protection of plants and animals, family and consumer welfare, and community resource development. The Agricultural Experiment Station is headed by the Vice President-- Agriculture and Natural Resources.
Cooperative Extension represents a national, publicly funded, non-formal educational system that links educational and research activities and resources of the United States Department of Agriculture (USDA), land-grant universities, and county administrative units. This educational system includes professionals in each of America’s 1862 land- grant universities (in the 50 states, Puerto Rico, the Virgin Islands, Guam, Northern Marianas, American Samoa, Micronesia, and the District of Columbia) and in the Tuskegee University; 1890 land-grant universities; and 1994 land-grant tribal colleges.
The University of California Cooperative Extension (UCCE) program is staffed by specialists attached to campus departments and with UCCE advisors working out of a statewide network of local UCCE offices working in almost all California counties. UCCE advisors work closely with local clientele, communities, and cooperators to identify critical and emerging needs in agricultural, natural, and human resources, and with campus partners to develop research-based approaches to solve local problems. UCCE specialists are headquartered at UC Berkeley, Davis and Riverside, where they conduct research and develop new technologies. UCCE specialists work to connect local UCCE advisors to the campus-based AES and other resources that may provide appropriate research and new technologies to address a myriad of issues and needs throughout California. AES faculty work directly with CE advisors and specialists to address critical California issues.
The Vice Provost - Academic Personnel is responsible for developing and implementing policies on compensation, benefits, and employee relations for all academic personnel; for statistical analysis of graduate student and faculty populations to meet federal and state reporting obligations, and for University-wide planning and program evaluation efforts; and for developing and managing Universitywide outreach, recruitment, and retention efforts to enhance the diversity of the University's graduate student and faculty populations.
10-115 External Relations
The Senior Vice President--External Relations is responsible for communications and public affairs, federal and State governmental relations, alumnae affairs, public relations, institutional advocacy, and for analyses of major issues within these areas of responsibility.
The Office of Federal Governmental Relations serves as the University's liaison to the federal government. Working with Congress, the Administration, federal agencies, and national organizations, the Office of Federal Governmental Relations advocates for the University and its missions in education, research and outreach. The Office is headed by Associate Vice President – Federal Governmental Relations, who reports to the Senior Vice President--External Relations and is responsible for reviewing proposed federal legislation in order to refer to the Office of the President all measures of concern to the University. This includes those matters of concern to the University's contract and grant administration function.
The State Governmental Relations Office provides a liaison between the University and California governmental officials. The Associate Vice President and Director of State Governmental Relations is responsible for reviewing proposed State legislation in order to refer to the Office of the President all measures of concern to the University. This includes those matters of concern to the University's contract and grant administration function.
The Office serves to promote understanding of the University's purposes, achievements, and public service capacity as California's land grant institution; to inform and influence the legislative and executive branches of government and State agencies regarding University positions on legislative and budgetary matters; to enhance public trust and support for the University's mission; and to preserve the University's constitutional autonomy.
10-116 Laboratory Management
The Executive Vice President – Laboratory Management oversees the University’s management of the Lawrence Berkeley National Laboratory for the U.S. Department of Energy (DOE). The Lawrence Livermore National Laboratory (LLNL) and the Los Alamos National Laboratory (LANL) have recently changed from University management and operation to operation by Limited Liability Corporations. The University partnered with Bechtel and other industrial partners to manage the Los Alamos National Laboratory and Lawrence Livermore National Laboratory . As of June 1, 2006, LANL is operated by Los Alamos National Security, LLC (LANS), and as of October 1, 2007, LLNL is operated by Lawrence Livermore National Security, LLC (LLNS).
The General Counsel and Vice President for Legal Affairs is the chief legal officer of the University and reports to the Board of Regents and the President of the University. The Office of the General Counsel provides legal review and guidance to both campuses and Office of the President. For more information about the Office of the General Counsel and its relationship to research administration, see 13-330.
Senior Vice President – Chief Compliance and Audit Officer oversees the University’s compliance with applicable laws, rules and regulations governing ethics, research compliance, systemwide audits, and dissemination of University policies and delegations of authority.
A number of compliances areas related to extra-mural award administration are within the scope of the Research Compliance Program of the Office of Ethics, Compliance and Audit Services. These include: animal care and use; biosafety; conflict of interest; export controls; human subjects; and research integrity and misconduct.
Audit Services is responsible for University-wide internal audit programs, investigators and advisory services. It provides training the campus auditors and develops University-wide audit policies, practices and procedures. The University Auditor assists the Board of Regents and University management in the discharge of their oversight, management, and operating responsibilities using independent audits and consultations designed to evaluate and promote the internal controls system.
University Policy Office oversees the policy-making process in all areas for which the President has authority. The Office issues and maintains all Delegations of Authority from the President to the Chancellors and senior managers and is the official repository of historical and current documents.
10-119 Institutional Research
The Office of the Director – Institutional Research provides a wide range of information and analysis to OP executives, departments, and the University community. The systemwide Contract and Grant Information Database is administered within this Office.
The University encompasses ten campuses — Berkeley, Davis, Irvine, Los Angeles, Merced, Riverside, San Diego, San Francisco, Santa Barbara, and Santa Cruz. The Chancellor is the executive head of all activities on each campus. The Standing Orders of The Regents charge each Chancellor with responsibility: . . . . for the organization and operation of the campus, its internal administration, and its discipline; and decisions made by the Chancellor in accordance with the provision of the budget and with policies established by the Board or the President of the University shall be final....(Standing Order 100.6(a), Duties of the Chancellor)
Activities designated by the Board as University-wide activities are within the purview of The Regents and the President. (See 10-110 through 10-116 for identification of University-wide activities within the Office of the President and 10-142 through 10-143 for discussion of University-wide Organized Research Units.) The Chancellor shall, however, be consulted on such activities occurring on his/her campus.
On each campus, the Chancellor has established a Contracts and Grants Office, with staff who are is responsible for performing the campus contract and grant administration function as discussed in 10-310 and under authorities as discussed in Chapter 13.
10-130 Organized Research Units
Pursuant to the Regents Policy on Organized Research Units approved on September 17, 1971, Organized Research Units (ORUs) are organizational units established within the University to….. contribute to the general goals of the University and, in particular, to strengthen interdisciplinary programs of research and teaching conducted by the faculty, as well as to provide graduate and post doctoral students with added research opportunities, facilities, and assistance.
Research programs administered by ORUs generally cut across departmental, college, and campus boundaries. The President's implementing policy, Administrative Policies and Procedures Concerning Organized Research Units, discusses definitions and purpose, authority and responsibility, administration and funding, and ORU establishment, directorship, and review.
Academic organizational units are recognized as ORUs by approval of The Regents. A Directory of Organized Research Units in the University of California is maintained and periodically issued by the Office of Research and Graduate Studies. As a general rule, ORUs are designated by one of the following titles: Institute, Laboratory, Center, or Station. These designations shall not be used as formal labels on research projects that are not ORUs. Use of the term "Project" is recommended for a research project that is likely to evolve into an ORU after a trial period of operation. Some long- established ORUs will continue to be designated by older titles no longer on the above list, such as Institution, Bureau, Division, Foundation, Museum, or Organization. Regardless of name, however, all ORUs fall into one of the following ORU categories.
10-131 Single-Campus Organized Research Unit (ORU)
A single-campus Organized Research Unit is one contained within a single campus. An ORU Director or Chairperson is appointed by the Chancellor to whom the ORU is administratively responsible.
This designation applies to units with facilities and personnel on two or more campuses or locations and facilities at a single location on or near one of the campuses with the participation of faculty or staff from other campuses that are so extensive as to give the unit a Universitywide character.
10-133 Exceptions to ORU Administrative Policies
All exceptions to the President's Administrative Policies and Procedures Concerning Organized Research Units must be approved by the President. Exceptions to specific provisions of these policies and procedures are identified within the Presidential policy.
10-140 the Academic Senate
The Academic Senate is empowered by the Board of Regents under Standing Order 105. The duties, powers, and privileges of the Academic Senate as described in Standing Order 105.2 include the authority to: determine the conditions for admission, certificates, and degrees, other than honorary degrees; recommend to the President all candidates for degrees in course; authorize and supervise all courses and curricula offered under the jurisdiction of the departments, colleges, schools, graduate divisions, or other University academic agencies approved by the Board, with some exceptions; and advise Chancellors and the President on budget matters, administration of the libraries, or on any other matter pertaining to the conduct and welfare of the University.
Membership qualifications for the Academic Senate are described in Standing Order 105.1(a). The Senate is organized into ten divisions, one on each campus. Further detailed information on the Senate organization is presented in the University's Faculty Handbook and on the Academic Senate website