Academic & Research Affairs
1. Authority and Responsibility
Administrative Officials cannot delegate the following responsibilities:
- Accountability for the academic or administrative leadership of the department.
- 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 is responsible for assuring compliance with campus environmental and safety policies, and that laboratory spaces are free of contamination and cleared of hazardous materials following lab relocations.
- Oversight responsibility for the departmental review process.
- Conducting of annual performance reviews of all academic appointees.
- Consulting of faculty on academic personnel actions and programmatic issues.
Staff may be responsible for implementing the Administrative Official’s decisions and for reviewing departmental compliance with university policies and procedures, but cannot be responsible for academic or other substantive decisions for which the Administrative Official is accountable.
2. Academic Affairs
Major responsibilities that can be delegated:
- Carrying out administrative details concerning compliance with university policies and procedures pertaining to academic layoffs, academic grievance, misconduct (see Faculty Code of Conduct), confidentiality, departmental peer review process, and related ethical and legal issues.
- Carrying out administrative details concerning the negotiation and advising of academic appointees about the terms and conditions of employment, including benefits.
- Overseeing faculty compliance with terms of the UC Davis Compensation Plan, where applicable.
- Overseeing allocation of support services.
- Areas Of Potential Risk
In overseeing the university's appointment and academic review process, Administrative Officials should follow the procedures outlined in the Academic Personnel Manual, Section 220 (and related sections as appropriate).
Problems frequently arise as a result of negotiating faculty compensation agreements and administering the faculty compensation plan.
Serious issues or circumstances may lead to a formal complaint, grievance, or legal action such as:
If any of these issues occur or are likely to occur … The Administrative Official should contact: Conflict of Interest - General Conflict of Interest Coordinator/
UCD Campus Counsel
Conflict of Interest – Health Sciences Compliance Officer, Campus
Compliance Office, UCDMC
Conflict of Interest – Research, Misconduct in Science Director, Sponsored Programs,
Office of the Vice Chancellor for Research
Discrimination, Sexual Harassment Harassment & Discrimination Assistance and Prevention Program Layoffs, Termination - Staff Employee & Labor Relations Misconduct, academic or social, involving students Student Judicial Affairs Misuse of Resources, Improper Governmental Activities Assistant Executive Vice Chancellor, Offices of the Chancellor & Provost Violation of the Faculty Code of Conduct Research Compliance Hotline
3. Research Affairs
Major responsibilities that can be delegated:
- Reviewing proposals submitted by departmental faculty members to ensure the following:
- Principal investigator or co-principal investigator is eligible.
- Proposed project scope is consistent with the educational and professional objectives of the department.
- Time commitments made by faculty are appropriate.
- Campus space is available for the proposed project or alternate space options have been arranged.
- Cost sharing and/or other fund commitments set forth in the proposal can be met.
- Equipment screening procedures have been followed where appropriate.
- University guidelines regarding the review, approval, and timely submission of proposals and the conduct of the research have been followed.
- Establishing and maintaining departmental review or safety committees as appropriate, such as the UC Davis Institutional Animal Care and Use Committee.
- Approving all radiation safety and radioactive drug research applications on behalf of the department.
- Training animal care laboratory personnel.
Roles of Administrative Officials - Research
The following is a list of roles for Administrative Officials in everyday research affairs.
- Approving Authority
- Employees signing any document as the approving authority must sign their own name or use their own electronic signature or user ID (e.g. KFS approval) where appropriate.
Staff must be adequately trained to ensure transactions are appropriate, accurate and in compliance with relevant policies, regulations, laws, funding source restrictions, and contractual terms & conditions. Only certain UC Davis staff are authorized to execute business contracts and agreements with outside entities. Any Administrative Official contemplating a business arrangement with an outside entity should contact the appropriate office (see Resources list) for consultation and support.
- A bank account for either an activity supported by or for funds disbursed by the university is not to be opened without prior approval by the Treasurer’s Office. Approval must be coordinated with the Associate Vice Chancellor - Finance (see Resources).
Cash and checks received for the university must be endorsed and deposited in accordance with the UCD PPM Sections 330-55.
- Contracts and standard purchases
- The Director of Materiel Management and designee have the highest delegation for the execution of purchase contracts and standard purchase orders for materials, goods and services, and the execution of contracts for lease or lease/purchase of equipment. No university staff or faculty member may commit university funds without specific delegation of purchase authority granted from policy, the Vice Chancellor of Administrative Resource Management or the Director of Materiel Management.
- Complete records of equipment, as addressed in the UCD PPM Section 350-55, must be kept in the department. University-owned equipment used in homes or other locations remains the property of the University of California and must be returned when no longer used for university business. University equipment can only be given to vendors if it is documented on the Purchase Requisition, indicating that the university will be compensated for the equipment. For instance, a department may want a vendor delivering a new copier to take the old copier away.
- Per UCD PPM 380-55 - Acceptance or Offering of Gifts and Gratuities by University Employees, to avoid the appearance of favoritism, no officer or employee should accept any gift or gratuity from any source that is offered or reasonably appears to be offered because of the university position held by the officer or employee, nor should an officer or employee extend an offer of a gift on a similar basis.
- Income and Expenditures
- Expense reimbursements and payments must follow special limits and approvals as outlined in the appropriate section of the UC Davis Policy and Procedure Manual.
Income and expenses recorded in departmental financial subsystems must be reconciled to the general ledger in Decision Support (the official record for UC Davis financial transactions) on a monthly basis.
Expenditure adjustments (cost transfers) must be made in accordance with UCD PPM Section 330-63, which permits expenditure adjustments only to correct errors, record a change in decisions originally made in the use of goods or services, or redistribute certain high numerical but small individual and/or minor charges.
The establishment of a new service activity and new or revised recharge rates must be approved as outlined in the UC Davis PPM Sections 340-25.
The funds of the university cannot be used for personal gain. This includes the purchase of products for personal use or the purchase of products or services from oneself, a relative, or other department employee or their relatives, unless allowed under the provision of the conflict of interest policy.
The university cannot make charitable or political contributions. The Chancellor may grant an exception if charitable contributions are consistent with the mission of the university.
- Employees should not approve payroll or other disbursements to themselves or someone to whom they report. Administrative Officials have the responsibility to ensure a system of separation of duties in which this does not occur.
All payments to or for the benefit of UC Davis employees must be made in accordance with the UCD PPM and compensation plans.
The payment of compensation or expense reimbursement to foreign visitors is restricted in many situations by Immigration and Naturalization Services (INS) regulations. Contact the Payroll Division of Accounting & Financial Services for help before a visitor arrives at UC Davis.
All loans to UC Davis employees must be in accordance with approved university loan programs.
It is illegal to pay individuals as independent contractors or consultants when they should be paid as employees, and doing so renders the department liable to pay required taxes and/or penalties as outlined in UCD PPM Section 380-70.
- Risk Management
- Risk Management Services is to be consulted in decisions involving potential liability, accidental loss, insurance and indemnification requirements and litigation issues. Claims for loss of or damage to property are submitted to Risk Management Services as they are incurred.
- Research Affairs - Human Subjects
- Non-compliance with Federal regulations and policies can result in loss of the privilege to conduct human subject research for the investigator and the institution. Non-compliance also creates the potential for loss of all Federal funding to the institution.
The university’s indemnification of an investigator may be compromised and an investigator may be held personally liable under the following circumstances:
> Failure to obtain Institutional Review Board (IRB) approval for research involving human subjects prior to commencing a project.
> Instituting a revision of or modification to a project without prior IRB approval of the procedures.
- Research Affairs - Animal Care
All use of vertebrate animals for teaching, training and research must have approval by the UC Davis Institutional Animal Care and Use Committee (IACUC).
> Serious issues or circumstances may lead to a formal complaint, grievance, or legal action as outlined in the Animal Welfare Act.
> Animals used under the jurisdiction of UC Davis must be housed in facilities approved by the UC Davis IACUC.
> The transportation of animals must meet with Federal, State and campus policies. View policies.
> Non-compliance with Federal regulations and policies can result in fines as well as the loss of the privilege to conduct animal research for the investigator and the institution. Non-compliance also creates the potential for the loss of all Federal funding to the institution and puts AAALAC accreditation at risk.
> Financial implications may apply to the department for animal research conducted inappropriately according to either animal welfare or contract and grant regulatory guidelines