Selected Policies/Guidelines


The Chancellor delegates accountability for the management of UC Davis resources to the leadership of functional units. Each Unit Head is accountable for managing his/her own resources.
The Administrative Official is responsible for developing an appropriate structure for handling the unit's resources. This will involve delegating a variety of tasks to employees within the unit. The Administrative Official of each unit will normally delegate the overall management responsibilities.
Each Administrative Official shall be responsible for developing an accountability structure that adheres to the following Principles and Responsibilities:

  1. A person cannot delegate greater authority, responsibility, and accountability than they have.
  2. Tasks shall only be delegated to people who are qualified to perform them. A qualified person must:
    1. Be actively involved in the tasks being performed.
    2. Have the appropriate knowledge and technical skills to perform those tasks, including knowledge of relevant laws, regulations and policies.
    3. Have the authority and responsibility to carry out tasks without being countermanded.
  3. A person delegating tasks is responsible for ensuring that those tasks are being performed properly.
  4. The Administrative Official must periodically:
    1. Review the official record of who is accountable for the various functions.
    2. Ensure that employees’ assigned tasks that involve accountability are performing their duties with competency and honesty
  5. Each Administrative Official is responsible for monitoring the effectiveness of the accountability structure.

Details on accountability principles may be found in the UCD PPM Financial Management and Services and the UC Business and Finance Bulletins.


An effective structure for the delegation of accountability includes the following areas of responsibility:

  1. Ensuring that only one person (normally the Administrative Official) is responsible for managing the accountability structure of a unit and ensuring that the structure clearly defines all areas of responsibility.
  2. Clearly defining delegated duties and assigning those tasks to qualified personnel. A qualified person is someone who:
    1. Does not have conflicting duties.
    2. Fully understands what is expected.
    3. Has sufficient training to complete the tasks successfully.
    4. Has the knowledge and experience to make sound judgments concerning each task.
    5. Knows who to contact, or what action to take, if problems arise such as a person of higher authority attempting to override compliance requirements.
  3. Ensuring that there is a reasonable distribution of workload in accordance with the available resources.
  4. Informing involved individuals of their assigned roles and training them when necessary.
  5. Designating a person in the unit, as appropriate, who is responsible for keeping a secure, up-to-date record of accountability delegations, which includes:
    1. Recording the initial delegation of tasks to people in the unit and subsequent changes to those delegations.
    2. Updating the accesses granted to prepare, review or inquire against on-line systems.
    3. Ensuring the record of delegations is secured from unauthorized changes.
    4. Keeping a backup copy of the record in a physically separate location from the original.
  6. Reviewing the official record of accountability delegations at least quarterly to ensure that the record is accurate, complete, current and secure.
  7. Monitoring the effectiveness of the Accountability Structure on a regular basis through the use of exception, summary, reconciliation, or other reports, and reviewing selected transactions.


Both a preparer and reviewer should be involved in budgetary and financial transactions. Specifically:

  1. A preparer must understand all relevant regulatory requirements, UC Davis systems and policies, and the purpose of the transaction to:
    1. Enter accurate data into all fields on a paper form or on-line system screen.
    2. Record an accurate and thorough explanation of each transaction.
    3. Ensure that the account and fund cited are appropriate.
    4. Be aware of basic policy, regulatory, contract/grant and other requirements.
    5. Resolve any questions that rose during the completion of the transaction or via on-line edits and related messages.
    6. Forward the completed transaction, with any supporting documents, to a reviewer as appropriate.
    7. Understand and follow department procedures for arranging for a back-up preparer when absent.
  2.  A reviewer must:
    1. Review selected transactions in a timely manner.
    2. Inspect transactions to ensure that the preparers properly fulfilled their responsibilities.
    3. Ensure that transactions being reviewed comply with all requirements -- policy, regulatory, etc.
    4. Resolve all questions that arise with a transaction, or ensure the transaction is reversed until the questions are resolved.
    5. Understand and follow department procedures for arranging for a backup reviewer when absent.



Administrative officials are responsible for ensuring that purchase and subsequent payments for products and services comply with policy and approved methods, and meet business, agency, and legal requirements.


  • Avoid exposing the University to legal and financial risks by enforcing policies and procedures to ensure that all regulatory, agency, and accountability requirements are met in advance of an acquisition or commitment for products and services.
  • Allow for payment within the accepted terms and conditions by ensuring that unauthorized faculty and staff do not enter into unofficial commitments and do not execute informal contracts and agreements on behalf of the University.
  • Support established supplier and provider relationships so that products and services are acquired with favorable terms and conditions and the University receives the best value.


  • Purchases of products and services comply with relevant UC Davis Policies & Procedures Manual Section to fulfill the requirements for competition, are negotiated according to the specific requirements for the commodity/service, satisfy contractual requirements for preapprovals and indemnification certification, and do not otherwise compromise the public trust.
  • Requests for payment of invoices and/or reimbursements are not submitted for processing and charges of expenditures to the UCD Purchasing Card are not made without meeting all requisite policy, approvals, and certification.
  • Transactions that are not in compliance with policy are dealt with to ensure that approvals and certifications are executed, even if this requires after-the-fact actions, and those responsible for unauthorized transactions receive proper training and are made aware of consequences.



The University of California, Davis, is first and foremost an institution of learning and teaching, committed to serving the needs of society. Our campus community reflects and is a part of a society comprising all races, creeds and social circumstances. The successful conduct of the university's affairs requires that every member of the university community acknowledge and practice the following basic principles:

We affirm the inherent dignity in all of us, and we strive to maintain a climate of justice marked by respect for each other. We acknowledge that our society carries within it historical and deep-rooted misunderstandings and biases, and therefore we will endeavor to foster mutual understanding among the many parts of our whole.
We affirm the right of freedom of expression within our community and also affirm our commitment to the highest standards of civility and decency towards all. We recognize the right of every individual to think and speak as dictated by personal belief, to express any idea, and to disagree with or counter another's point of view, limited only by university regulations governing time, place and manner. We promote open expression of our individuality and our diversity within the bounds of courtesy, sensitivity and respect.
We confront and reject all manifestations of discrimination, including those based on race, ethnicity, gender, age, disability, sexual orientation, religious or political beliefs, status within or outside the university, or any of the other differences among people which have been excuses for misunderstanding, dissension or hatred. We recognize and cherish the richness contributed to our lives by our diversity. We take pride in our various achievements, and we celebrate our differences.
We recognize that each of us has an obligation to the community of which we have chosen to be a part. We will strive to build a true community of spirit and purpose based on mutual respect and caring. [April 20, 1990]



The university’s overall policy on conflict of interest specifies that none of its faculty, staff, managers and officials shall engage in any activities which place them in a conflict of interest between their official activities and any other interest or obligation. It requires that all university employees disqualify themselves from participating in a university decision when a financial conflict of interest is present.
Administrative Officials are responsible for ensuring an open, free, and objective environment in the conduct of the University’s teaching, research, and service roles by applying the following Principles and Responsibilities:


  1. Teaching, research, public services and patient care performed by UC Davis employees are to be conducted in an atmosphere free of conflicts or the appearance of conflicts of interest.
  2. Employees act with integrity and objectivity in the performance of their university obligations by assuring that outside activities or interests do not conflict with their university responsibilities.
  3. Each unit is responsible for maintaining a reasonable balance between competing interests and providing a mechanism to help maintain research integrity, protect student interests, and foster an open academic environment.
  4. The reporting of financial interests and the withdrawal from decision-making shall be consistent with the university’s Conflict of Interest Code and the State of California’s Political Reform Act of 1974.
  5. A process must be in place to assure the systematic review of all Principal Investigators financial disclosures prior to the acceptance of gifts, contracts, or grants from non-governmental sponsors.
  6. Details on conflict of interest principles may be found in the UCD PPM 380-16, and in the California Code of Regulations, title 2, section 18730 at the UCOP Office of the General Counsel website. See Resources below.


  1. Designated Officials, defined as university employees who make or participate in decision-making that may result in personal financial interests and identified in the Conflict of Interest Code, must file a financial disclosure statement when they assume office, annually thereafter, and when they leave office.
  2. Faculty and staff should not purchase, lease, and/or contract for goods and services from any University employee or near relative unless the Director of Materiel Management has determined that goods or services are not available from commercial sources or from the university’s own facilities.
  3. The university’s Conflict of Interest Code prohibits UC employees from participating in university decisions when personal financial interests may be affected by those decisions. The Code requires that all UC employees disqualify themselves from participating in a decision when a financial conflict of interest is present. To disqualify themselves from making or participating in the making of a university decision, the employee must refrain from participating in any way in the decision and must not use their official position to influence any other person with respect to the matter. The determination not to act may be accompanied by disclosure of the disqualifying interest, but the disclosure is not required.
  4. Faculty responsible for the design, conduct, or reporting of a sponsored project must disclose to the university, interests:
    1. That would appear to be affected by the funded research or educational activities.
    2. In entities whose financial interests would reasonably appear to be affected by such activities.
    3. In entities owned by the Principal Investigator or a near relative.



Financial management decisions affect every aspect of the university, but such decisions can only be as good as the data on which they are based. Consequently, each unit must establish and implement a system to ensure data integrity. This system must provide reasonable assurance that transactions are in accordance with the appropriate authorization and are recorded in the university records in an accurate and timely manner.
Administrative Officials are responsible for developing a system that adheres to the following Principles and Responsibilities:


  1. An adequate data control system, including independent checks and balances, must exist within and between operating units.
  2. All employees engaged in financial management activities are responsible for ensuring that adequate data controls are being employed. If they are not, all employees must take an active role in developing and implementing appropriate corrective actions.
  3. Each unit must ensure that recorded assets match actual existing assets. A mechanism must be in place to detect discrepancies and to ensure that corrective actions are taken.
  4. Each unit must ensure that all financial transactions are recorded correctly. Correct transactions must:
    1. Reflect the actual values involved.
    2. Contain sufficient detail for proper identification and classification.
    3. Be posted on a timely basis in the proper accounting period.
    4. Be stored securely.
    5. Be readily retrievable for inquiry or reporting.
    6. Be safeguarded against improper alteration.
    7. Details on data integrity principles A-D may be found in the UCD PPM 330-11, Departmental Financial Administrative Controls and Separation of Duties.
  5.  All university administrative records are owned by the UC Board of Regents, regardless of their location. The Administrative Official must be familiar with the University Records Management Program and inform those in their unit who handle administrative records of their responsibilities under the Program. Details on data integrity principle E may be found in the UCD PPM 320-10, Records Management Program.
  6. F. All systems that affect, or are used to report financial data, must be secure, reliable, responsive and accessible. These systems must be designed, documented, and maintained according to accepted development and implementation standards. They should be built upon sound data models and employ technology that allows data to be shared appropriately.
  7. G. All financial systems should meet the users’ needs. In addition, all interfaces affecting any financial system must contain controls to ensure the data is synchronized and reconciled.
  8. H. All networks, including electronic mail, through which departmental users access University financial data must be reliable, stable and secure.
  9. Details on data integrity principles F-H may be found in the UC Davis Administrative Computing Policy


  1. A system of data integrity includes:
    1. A. Allowing no one individual complete control over all key processing functions for any financial transactions. Such functions include:
    2. Recording transactions into KFS directly or through an interfacing system.
    3. Authorizing transactions.
    4. Receiving or disbursing funds.
    5. Reconciling financial system transactions.
    6. Recording corrections or adjustments.
  2. Assigning a second person to review work for accuracy, timeliness, appropriateness, and compliance if insufficient personnel within the unit requires that one person perform all of the above functions.
  3. Ensuring that all employees who prepare financial transactions provide adequate descriptions, explanations, and backup documentation sufficient to support post-authorization review and any internal or external audit.
  4. Keeping office of record documents (both forms and paperless transactions) physically secure and readily retrievable. These documents must be retained for the periods specified in the UC Records Disposition Schedules Manual and PPM 320-10.
  5. All employees who handle university administrative records are responsible for knowing and following the laws and university policies and guidelines that govern those records.
  6. Ensuring that staff review the validity of charges and credits appearing on the general ledger at the end of each accounting period. Charges and credits must be verified for:
    1. Amount
    2. Account classification
    3. Description
    4. Proper accounting period
    5. Compliance with policy and regulatory requirements and terms, conditions of agreements, and any restrictions placed by the funding source.



In order to accomplish the university’s mission and vision to promote teaching, research, public service, and patient care, Administrative Officials must manage various resources in an efficient and cost-effective manner.
Whenever applicable, Administrative Officials shall adopt the following Principles and Responsibilities to ensure sound financial management:


  1. An annual (current) budget must be established to accomplish the following:
    1. Prioritize unit goals and objectives to guide deployment of resources.
    2. Measure current financial performance.
    3. Compare actual and planned (budgeted) expenditures.
    4. Review variances to identify significant transaction errors and to detect substantial changes in circumstances or business conditions.
  2. A budget must be attainable, reasonable, realistic, and aligned with programmatic goals.
  3. The following principles should guide the budget process: fairness, openness, clarity, understandability, stability, consideration of performance, focus on priorities, and balance between centralization and decentralization of responsibility and authority.
  4. Units, as part of a public university, have a special stewardship obligation to process properly and accurately all receipts and disbursements of funds; to account for all financial resources received and used; to ensure that all financial transactions conform to legal requirements and administrative policies and are recorded in accordance with generally accepted accounting principles for colleges and universities; and to provide reports that present to university administrators and the public a complete picture of the university's funds and their uses. The compliance requirement includes all university policies, external laws and regulations, funding source restrictions, and terms and conditions of agreements. Following established financial procedures will ensure compliance with Generally Accepted Accounting Principles. (UC Accounting Manual A-000-4).
  5. Units must operate within their current year operating budget. If expenditures exceed budget, the financial manager must analyze the variance, identify the cause, and develop a plan to eliminate deficit balances.
  6. Actual financial results must be compared to the budget on a regular basis to ensure expenditures are consistent with the budget, that charges against the fund are appropriate, and that projected revenues are being realized.
  7. When actual financial results vary significantly from the budget, Administrative Officials or their designees, as appropriate, must determine the cause, evaluate the activity, and take corrective action.
  8. Each unit must evaluate the financial and programmatic consequences before a new activity is started, or a current activity is changed or eliminated, and must ensure that the anticipated benefits are greater than the costs.
  9. Administrative Officials must provide adequate safeguards to protect against the loss or unauthorized use of University assets.
  10. Details on Financial Management may be found in the UCD PPM Financial Management and Services section.


All planning and budgeting activity should include:

  1. A mission statement with objectives for each unit that are simple, direct, attainable, and include measurable goals.
  2. A thorough process for identifying, prioritizing, implementing and evaluating activities required to achieve the university’s objectives and goals.
  3. An annual budget process aimed at reevaluating current and future budget sources and uses.
  4. A consistent method for gathering and analyzing data.
  5. Sufficient detail and descriptive narrative to clearly portray how all unit operations are being financed. Detail should include:
    1. All funding sources
    2. Revenue/allocation estimates
    3. Major expenditures by category
    4. Major assumptions and forecasting methods used
    5. Significant changes in current activities
    6. Contingency plans
  6. A method of identifying and assessing financial and organizational risks.
  7. Maintaining positive cash flow by processing timely revenues and expenses, and staying out of deficit circumstances.


The Kuali Financial System (KFS) and the Payroll Personnel System (PPS) are the official financial and payroll systems of UC Davis. Departments may have their own sub-systems of paper timesheets, documents, spreadsheets and databases, or combinations of paper and electronic documents. These departmental financial sub-systems must be reconciled to the official records in KFS and PPS to ensure accuracy and validity, and must include:

  1. Monthly financial reports that accurately represent the unit’s financial status. These reports must:
    1.  Identify revenue sources and categorized expenditure data.
    2.  Provide budget to actual comparisons.
    3. Identify trend activity and problem areas.
    4. Highlight exception items.
  2. A method that enables the reconciliation of sub-system financial and payroll data through KFS and PPS to supporting documentation.
  3. A method of reviewing financial transactions in KFS and PPS at the end of each accounting period (i.e., monthly) to ensure that charges and credits are valid and that adequate supporting documentation is available.
  4. A method to determine and document the cause of significant deviations.
  5. A method for taking corrective actions that include:
    1. Revising budgets and associated plans to reflect changing business conditions
    2. Changing or eliminating activities
    3. Obtaining additional funding
    4. Modifying goals and objectives
    5. Correcting transaction errors
    6. Implementing new control procedures
    7. Documenting managerial decisions that depart from the budget


University assets must be safeguarded from loss or unauthorized use. Adequate safeguards include:

  1. A physical inventory of all inventorial equipment must be conducted at least once every two years in accordance with UCD PPM Section 330-11. All discrepancies must be promptly reported and investigated.
  2. Documentation and approval of any adjustments to the asset records (UCD PPM Section 350.)
  3. Regular and periodic examinations of delinquent account balances and follow-up collections or write-off actions and procedures (UCD PPM Section 330-90.)
  4. The assurance that all cash or cash equivalent collections are handled in a timely manner. All cash shortages and excesses must be promptly reported to a supervisor, who must investigate them immediately (UCD PPM Section 330-55.)

All suspected misuses or improper governmental activities must be reported promptly in accordance with UCD PPM Section 380-17 and UC Business and Finance Bulletin G-29.


  1. All building space is considered to be an allocable resource subject to continual evaluation in order to achieve the optimal campus-wide level of utilization.
  2. Except for student governments, formal allocations are not made to student organizations. Deans and department chairs, however, may authorize the incidental use of facilities by student organizations, if in their judgment, that use of space contributes to the goals of the college/school or department.
  3.  Formal instructional activities will be scheduled on a first priority basis, but insofar as possible will be scheduled so as to minimally preclude students and faculty from participating in the full range of cultural and academically related activities available during the evening hours and on weekends.
  4. Administrative and service unit space requirements are evaluated on the basis of operational requirements and the requirements of staff personnel assigned to the unit.
  5. Department chairs may, at their discretion, recognize the contributions of emeritus professors, post-doctoral and visiting scholars in non-pay status and graduate students in non-pay status through the assignment of office space. The State space standards do not recognize these positions.
  6. The department head, and the Principal Investigator if a contract or grant is involved, have the primary responsibility for the care, maintenance, records, and control of materiel in their custody and/or all property acquired under the terms of a contract or grant.
  7. Use of university materiel, or property in the care and custody of the university, by university employees for personal purposes is not allowed except with the approval of the Chancellor or designee.
  8. The university is not responsible for loss of or damage to personally owned equipment. Under no circumstances shall university funds be used to purchase component parts or assemblies for installation in employee-owned equipment.



Every employee who conducts university fund transactions must comply with applicable laws, regulations, and special restrictions. To ensure compliance, each Administrative Official should adopt the following Principles and Responsibilities:


  1. Individuals conducting business transactions shall be held personally responsible and subject to punitive action resulting from intentional violations of laws, regulations, or restrictions affecting the conduct of those transactions.
  2. Anyone who is aware of fraudulent or illegal business transactions conducted in the name of the university shall report them immediately in accordance with UCD PPM Section 380-17.
  3. Each unit or individual is responsible for the restitution of any disallowance due to noncompliance with laws, regulations, or special restrictions.
  4. Employees conducting university business transactions are responsible for staying abreast of changing legal and regulatory requirements, terms and conditions of agreements, and restrictions applied by funding sources.
  5. Legal and regulatory requirements, as well as any donor-imposed restrictions, shall be maintained on record with the University and be readily accessible.

Details on regulatory compliance principles may be found throughout university policy. Noncompliance with regulations is addressed in UCD PPM 380-17 Improper Governmental Activities/Whistleblower Protection.


Financial reporting in compliance with regulatory requirements includes:

  1. Following Generally Accepted Accounting Principles (GAAP). The basic requirements of these standards as applied at UC Davis include:
    1. Sources and uses of funds must be aggregated by the type of activity they support, and in accordance with any restriction imposed on their use.
    2. Accounting principles must be applied consistently, both within fiscal years and between fiscal years. Campus administrative support departments review financial information to ensure consistent, university-wide application of these accounting principles.
    3. Transactions are classified and recorded consistently.
    4. Revenue and expense must be recorded in the proper accounting period.
    5. Revenue must be reported when earned. In general, revenue is earned when the university provides goods or services. For example, on a cost-reimbursed research grant, revenue is earned as the costs are incurred for the conduct of the research.
    6. Expenditures must be reported when goods or services are received. For example, when laboratory supplies are received, the university incurs the expense. Holding an invoice does not prevent the expense from being incurred.
  2. Reporting to sponsoring entities in accordance with their specific requirements. Federal agencies and entities that serve as conduits for Federal funds require adherence to Office of Management and Budget (OMB) Circulars and/or Federal Acquisition Regulations (FAR). Information on federally funded contracts and grants may be found on the Contracts & Grants Accounting website. Two essential OMB Circulars are:
  3. OMB Circular A-21 ; this circular provides the cost principles for educational institutions. These principles define allowable costs as those which are reasonable, allocable, consistently treated and in conformance with any special limitations. Circular A-21 also defines direct versus indirect costs, and provides guidelines for calculating indirect costs.
  4. OMB Circular A-110 ; this circular provides uniform administrative requirements for grants and other agreements with institutions of higher education, including financial reporting requirements.
  5. Making all financial reporting systems open to regular internal and external audits. External auditors must be cleared and coordinated by the Director, Internal Audit Services who has been designated as UC Davis External Audit Coordinator.



Administrative Officials, such as Deans, department Chairs and Directors, are responsible for ensuring a strong commitment to the humane care of all vertebrate animals used at UC Davis for research, teaching and training. The following Principles and Responsibilities should be followed:


  1. The promotion of sensitivity and concern among faculty and staff for the need for humane care and treatment of animals.
  2. Encouragement of open and cooperative communication with investigators, the Institutional Animal Care and Use Committee (IACUC), and animal care personnel; and receptiveness to the needs for resources, facilities improvement, and security measures to facilitate the use of animals in research.

Details on animal care principles may be found at: UCD PPM 290-30 Use and Care of Animals in Teaching and Research, Title 9 Code of Federal Regulations, and the Animal Welfare Act.


  1. Knowledge about Federal, State and local policies and regulations governing the use and care of laboratory animals, especially the U.S. Government Principles for the Utilization and Care of Vertebrate Animals Used in Testing, Research and Training.
  2. The provision of administrative and financial support for the use of animals in research and instruction to ensure that high standards for animal care are an institutional priority.
  3.  Establishment and/or support of public education endeavors to educate the lay public, the media, and political and governmental officials of the need for animals in research and instruction and the relevance to human and animal health, advancement of knowledge, and the good of society.
  4. Establishment of procedures for and direct leadership of any crisis situation that may arise to counter an assault upon appropriate animal use that has the potential to threaten the integrity and reputation of the institution.
  5. Consultation with institutional communications and governmental affairs officials regarding responses to inquiries about research being conducted at UC Davis, particularly demonstrations or other activities of animal rights organizations.



The University of California, Davis is committed to providing individuals a safe, efficient and neutral process for the management of conflict. That process shall be fair, efficient and free from reprisal. Recognizing that each individual has both a personal interest in, and a share of the responsibility for managing his/her conflict, UC Davis encourages and facilitates the use of an informal conflict management process.
Administrative Officials are responsible for supporting a workplace environment that adheres to the following Principles and Responsibilities:


  1. Conflicts are inevitable and may produce benefits and positive results if conflict is managed.
  2. UC Davis uses the terminology “conflict management” rather than “conflict resolution.” This is because a normal element of dealing with conflict includes committed, continuous, and consistent follow-through even after parties have reached an agreement. “Resolution” suggests that a conflict has been thoroughly concluded, will not re-emerge as a future concern, and need never be addressed again by the parties, administrative officials, or supporting entities. This is not a realistic or useful premise for sustainable and meaningful agreements.
  3. Early recognition of conflict is critical.
  4. An effective conflict management process promotes compromise or collaboration as people learn how to work respectfully, develop creative solutions to problems, and reach outcomes that mutually benefit those involved.
  5. The Administrative Official must promote an environment that emphasizes commitment, continuity, and consistency with respect to conflict management.


  1. Individuals experiencing concerns or conflicts should first bring their concerns directly to the attention of the relevant party or parties.
  2.  Individuals involved in a conflict have both the right and responsibility to address the matter on an informal basis.
  3. Administrative Officials must promote and facilitate conflict management so that the parties involved are encouraged to seek a satisfactory outcome within the department.
  4. All parties involved in the conflict management process should use and encourage open communication and cooperative problem solving.
  5. All parties involved in the conflict management process should focus on the real issues and concentrate on a win-win agreement.
  6. Employees who feel uncomfortable about raising issues within the department may seek assistance from Mediation Services, Employee & Labor Relations, and/or other applicable employee support offices in Human Resources. The following assistance is available:
    1. Clarification of issues that created the conflict/concern.
    2. Information regarding available options, including mediation by a third party.
    3. Articulation of interests and possible remedies.
    4. Information on policies and procedures.
    5. Key referral sources.
    6. Ongoing follow-up.



“Research involving human subjects,” as defined by Federal regulations, includes any systematic investigation that is designed to develop or contribute to generalized knowledge, and which uses living humans or identifiable private information about humans. Examples of “research involving human subjects” conducted at UC Davis are drug/device comparison trials, disease prevention studies, ethnographic interviews, psychology experiments, and curricular evaluation studies.

In accordance with the Federal Policy on the Protection of Human Subjects (DHHS Policy 45 CFR Part 46, FDA Policy 21 CFR Parts 50 and 56), UC Davis is responsible for the protection of the rights and welfare of human subjects in research conducted by, or under the supervision of faculty, staff or students. To conduct this responsibility effectively, the University maintains Institutional Review Boards (IRBs) to review research protocols involving human subjects and to evaluate both risk and protection against risk for those subjects.
Additional information is available from the IRB Administration.

It is the function of the IRBs to:

  1. Determine and certify that all projects reviewed by the IRBs conform to the regulations and policies set forth by the United States Department of Health & Human Services and the Food & Drug Administration regarding the health, welfare, safety, rights, and privileges of human subjects; and,
  2. Assist investigators in complying with Federal and State regulations.


  1. UC Davis, as part of its Multiple Project Assurance (the license from the NIH to function as an IRB), has agreed to protect the welfare of all human subjects involved in research, whether or not the research is conducted or supported by a Federal department or agency. Therefore, the UC Davis IRB has jurisdiction over all human subject research conducted at this institution and does not recognize any exemptions.
  2. The UC Davis IRB has the responsibility of reviewing all human subject research:
    1. Sponsored by UC Davis.
    2. Conducted by any UC Davis employee or agent in connection with his or her institutional duties.
    3. Conducted by any UC Davis employee or agent using any property or facility of UC Davis.
    4. That involves the use of UC Davis non-public information to identify or contact human research subjects



The objectives of the Innovation Access / Technology Transfer Services are to provide the results of UC Davis research for public benefit, promote the educational and research missions of the university and to obtain financial reward for the university and its inventors. All questions from faculty, staff, or students regarding intellectual property should be forwarded to the UC Davis Innovation Access Unit, Technology Transfer Services (TTS).

Any person using university research equipment or facilities or receiving funds through the university, whether or not on a paid appointment, must sign the University Patent Acknowledgement Form as mandated by the UC Patent Policy. If a visitor from other academic, nonprofit, or industry institutions has questions or concerns regarding the Patent Policy, the Technology Transfer Services should be contacted.

The UC Patent Policy governs the ownership of patentable inventions at UC Davis. Any UC Davis employee that produces a patentable invention must disclose that invention to the Technology Transfer Services using a Disclosure and Record of Invention form.

Tangible research tools and materials include, but are not limited to, biological materials (such as cell lines, clones and cloning materials, DNA libraries, and growth factors), chemical compounds, organisms (such as plants, mice, etc.), diagrams, drawings, laboratory procedures, software, and analytical methods. Tangible research tools and materials should not be transferred in any manner to any non-UC entity or individual until and unless a written agreement between UC Davis and the receiving entity or individual is signed by an authorized university official at the Technology Transfer Services.

Ownership of copyright to expressions of original work is addressed in UC Copyright Policy. The policy applies to university employees, staff, students, and other persons or entities using university facilities or acting under contract with the university for commissioned works. Questions from faculty, staff, students, or other entities regarding Copyright should be forwarded to the Office of Research. The policy, forms and contacts are available here.

Consulting agreements between a faculty member and an outside organization may not conflict with university responsibilities under Academic Personnel Guidelines, such as obligations to disclose inventions.



The role of UC Davis Internal Audit Services (IAS) is to perform independent audits and consultations designed to evaluate and promote the system of internal controls, including effective and efficient operations. These services assist Administrative Officials in the discharge of their oversight, management, and operating responsibilities. IAS is authorized to have full, free, and unrestricted access to information, including records, computer files, property, and personnel in accordance with the authority granted by the Board of Regents and the UC Davis Chancellor's approval of the Internal Audit Services Charter. The work of IAS is unrestricted, except where limited by law or university policy. IAS is also charged with investigating allegations of financial and administrative impropriety that have been reported and determined to be improper governmental activities.
IAS has neither direct responsibility for, nor authority over, any of the activities reviewed. Therefore, the audit review and appraisal process does not in any way relieve Administrative Officials of the responsibilities delegated to them.

IAS performs operational, financial, compliance, and information technology reviews of campus departments, programs, and systems with the primary goal of improving the effectiveness, efficiency, and compliance of operations reviewed. An annual audit plan is established that focuses IAS resources on those areas identified as having the highest risk in order to provide the university with the most benefit from the audit function. The planning phases of individual audits include input from the department to ensure areas of concern are addressed during the review.
Requests for audits can be directed to the Audit Director and will be prioritized based on the perceived urgency of the work and risk in relation to the audit plan and work in progress.

IAS also serves an advisory role to the campus community. Advisory Services include consultations, problem prevention and/or resolution, and participation on committees or task forces created by the campus to address specific problems, ongoing issues and evaluations of new products and processes.

The Assistant Executive Vice Chancellor, Chancellor’s Office, has been delegated responsibility for the oversight of all external audit activities, with the exception of The Regents' financial and A-133 audits, which are coordinated by the Associate Vice Chancellor - Finance. The role of the Assistant Executive Vice Chancellor is to assure that the campus responds appropriately to all external audit requests/agencies in a consistent manner. In order to do so, all audit requests must be directed to the Assistant Executive Vice Chancellor and should outline the purpose and schedule of the audit or survey to be conducted


  1. Establishing and communicating guidelines for effective business practices and providing examples of ineffective business practices.
  2. Assessing benefits and associated risks of a venture before proceeding.
  3. Communicating clearly to all personnel the responsibilities and expectations for the unit's activities.
  4. Developing academic and business plans that address University objectives and changing economic, industry and regulatory environments.
  5. Ensuring that activity-level objectives flow from the entity-wide objectives and strategies.
  6. Specifying the level of competence needed for particular jobs and translating the desired levels of competence into requisite knowledge and skills.
  7. Ensuring that personnel have required knowledge, experience and training to perform their duties, and are cross-trained for critical functions.
  8. Structuring the organization to facilitate the flow of information upstream, downstream and across all activities.
  9. Assigning responsibility and delegating authority to deal appropriately with the organization's goals and objectives, operating functions and regulatory requirements.
  10. Regularly evaluating the performance of all employees of the unit, using established performance management guidelines.

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