Policies & Regulations
Review the policies and regulations which govern the conduct of research at UC Davis:
- Animal Care & Use
- Biological Safety/ Biohazard Use
- Conflicts of Interest in Research
- Contract & Grant Administration (Sponsored Programs)
- Export Control
- Human Anatomical Specimen and Tissue Oversight
- IRB Administration
- Intellectual Property (InnovationAccess)
- Organized Research
- Research Misconduct
- Stem Cell Research
For additional information please contact the responsible OR unit.
Animal Care & Use
Oversight of the Animal Care and Use program is the responsibility of the Institutional Animal Care and Use Committee (IACUC).
Biological Safety/Biohazard Use
Oversight of the use of infectious biological agents, recombinant DNA/RNA, and the propagation and release of recombinant organisms including plants, animals and microbial agents is the responsibility of UC Davis Safety Services.
Conflicts of Interest in Research
The Research Compliance & Integrity unit provides administrative support on issues pertaining to financial conflicts of interest and supports the Conflict of Interest Committee (COIC).
UC Davis Policies
- PPM 230-05
UC Davis Policy on Individual and Institutional Conflicts of Interest involving Research- Exhibit A
UC Davis Procedures for Reporting, Reviewing, and Managing Conflicts of Interest in Research
- Exhibit A
- PPM 230-07
UC Davis Policy on Public Health Service Regulations on Objectivity in Research - PPM 380-16
Conflict of Interest for Personnel - APM UCD-025
Conflict of Commitment and Outside Activities of Faculty Members
UC Systemwide Policies
- Disclosure of Financial Interests & Management of Conflicts of Interest, Public Health Service Research Awards (August 24, 2012)
- Conflict of Interest Policy and Compendium of Specialized University Policies, Guidelines, and Regulations Related to Potential Conflict of Interest (revised February 24, 2010)
- University Policy on Disclosure of Financial Interest in Private Sponsors of Research (April, 1984)
- University Policy on Disclosure of Financial Interests and Management of Conflicts of Interest Related to Sponsored Projects (effective October 1, 1995; revised October 15, 1997; technical revisions March 4, 2010)
- University of California Policy on Outside Professional Activities of Faculty Members (July 1, 2014)
California State Laws and Regulations
- Political Reform Act
- Proposition 209
California Civil Rights Initiative - California Code of Regulations, Regulations of the Fair Political Practices Committee
- Specifically see Chapter 7, 18702.4.pdfArticle 1, 18702.4 and Chapter 7, Article 3, 18755
Federal Laws and Regulations
- Title 21, Part 54
Financial Disclosure by Clinical Investigators - Title 42, Part 50
Section 50.604, Institutional Responsibility Regarding Conflicting Interests of Investigators
- Title 45, Part 94
Responsible Prospective Contractors
Other Resources
- Association of American Universities (AAU)
- Federation of American Societies for Experimental Biology (FASEB)
- Shared Responsibility, Individual Integrity: Scientists Addressing Conflicts of Interest in Biomedical Research (July 2006)
- Association of American Medical Colleges (AAMC)
- Protecting Subjects, Preserving Trust, Promoting Progress- Policy and Guidelines for the Oversight of Financial Interests in Human Subjects Research (December 2001)
Contract & Grant Administration (Sponsored Programs)
Sponsored Programs provides administrative support on issues pertaining to contract and grant administration.
UC Davis Policies and Regulations
- Acceptable Signatures (PDF)
- Administrative Records Relating to Research: Retention and Disposition Requirements (PDF)
- Charging Practices for Federal Contracts and Grants (Accounting & Financial Services)
- Definition of Equipment (Capital Asset & Equipment Management)
- Health and Safety Services Policies
- Indirect Costs/Facilities & Administrative (F&A) Costs
- No Cost Time Extensions
- Nonresident Supplemental Tuition Remission Policy (Graduate Studies)
- Principal Investigator (PI) Eligibility to Submit Proposals
- UC Davis A-133 Audit information (PDF)
UC Systemwide Policies
- Cost Sharing
- Proposal Submission and Award Acceptance/Administration
- UC Contract and Grant Manual
Chapter 1: Refer to 1-500 Principal Investigator Guidelines - Memo – Operating Guidance No. 95-1
Policy on the Requirement to Submit Proposals and to Receive Awards for Grants and Contracts through the University - Standing Orders of The Regents of the University of California – Duties of the President of the University
- UC Contract and Grant Manual
- Indemnification and Third Party Liability (Chapter 21-430)
- Indirect Costs: Agreements with the State of California
- UCOP Guidance on Consulting with Industry (PDF)
California State Laws and Regulations
- State Administrative Manual
- State Contracting Manual
- California Code of Regulations
- Senate Resolution 66 (PDF)
Federal Laws and Regulations
- Office of Management & Budget (OMB) Circulars
- US Code
- Code of Federal Regulations
- Federal Register
- Federal Acquisition Regulations (FAR)
- Federal Demonstration Partnership (FDP)
Export Control
The Research Compliance & Integrity unit provides administrative support on issues pertaining to export control.
Federal laws and Regulations
- U.S. Department of Commerce, Bureau of Industry and Security Export Administration Regulations (15 CFR Parts 700-799)
- PPM 430-10
Human Anatomical Specimen and Tissue Oversight
The Research Compliance & Integrity unit provides administrative support to the Human Anatomical Specimen and Tissue Oversight Committee (HASTOC).
UC Davis Policies
- PPM 220-03
UC Davis Policy on Anatomical Specimens
UC Systemwide Policies
- Policy on Anatomical Materials Programs
- Policy and Procedures on Curation and Repatriation of Human Remains and Cultural Items
California State Law and Regulations
Federal Law and Regulations
IRB Administration
The IRB Administration provides administrative support on issues pertaining to human research protection and supports the UC Davis Institutional Review Board (IRB).
UC Davis Policies
- Policy and procedure manual, Section 240 “Research Involving Human Subjects”
- IRB Administration Standard Operating Procedures
UC Systemwide Policies
- UCOP Policies on Research (including human subjects)
- UC Contracts and Grants Manual, Chapter 18, Sections 100 through 999
- Administrative Records Relating to Research: Retention and Disposition Requirements
California State Laws and Regulations
- California Health and Safety Code Section 24170-24179.5 (PDF) (Effective 4/03/2006)
Federal Laws and Regulations
- Federalwide AssuranceUC Davis’ Federalwide Assurance Number (FWA#) is 00004557, and is approved up to January 5, 2024. The University of California, Davis, in accordance with its Federalwide Assurance (FWA00004557) with the Department of Health & Human Services, adheres to all federal and state regulations related to the protection of human research subjects, including 45 CFR 46 (“The Common Rule”), 21 CFR 50, 21 CFR 56 for FDA regulated products, and the principles of The Belmont Report and Institutional policies and procedures. In addition, the International Conference on Harmonization, Good Clinical Practice (ICH GCP) principles are adhered to insofar as they parallel the previously mentioned regulations and policies.
- Terms of Assurance
- Office of Human Research Protections (OHRP)
- U.S. Food and Drug Administration (FDA)
Intellectual Property Management (InnovationAccess)
UC Davis Policies
- Copyright (PPM 250-01)
- Course Materials Fees and Services Fees (PPM 330-86)
- Digital Millennium Copyright Act (DMCA) (PPM 250-05)
- Intellectual Property (PPM Section 250)
- University Library Policy on Reserves Materials & Copyright
- Publication Rights (PPM 230-10)
- Sales of Instructional Materials (PPM 210-80)
- Sales of University Goods and Services to Non-university Users (PPM 340-09)
- Use of the University’s Name, Seal, and other Trademarks (PPM 310-65)
- WWW Graphics Standards (PPM 310-70)
UC Systemwide Policies
- Accepting Equity When Licensing University Technology (2008)
- Conflict of Commitment and Outside Activities of Faculty Members (APM 025) (1/21/2011)
- Copyright Policies
- Digital Millennium Copyright Act (1999)
- Open Access Policy for the Academic Senate of the University of California (2013)
- Policy for Off-Air Recording of Broadcast Programming for Educational Purposes (1985)
- Policy and Guidelines on the Reproduction of Copyrighted Materials for Teaching and Research (1986)
- Policy on Copyright Ownership (1992)
- Policy on Ownership of Course Materials (2003)
- Policy on Use of Recordings of Course Presentations (2005)
- Special Services to Individuals and Organizations (APM 020) (6/23/1958)
- University of California Patent Policy (10/1/1997)
Organized Research
The Research Unit Development unit provides administrative support on issues pertaining to Organized Research.
UC Davis Policies
- Davis Division of the Academic Senate, Policy for the Review & Approval of an Organized Research Unit
- PPM 220-01
UC Davis Policy on Organized Research - Academic Personnel Manual, Appendix II-C
UC Davis Appointment and Review of Directors of Organized Research Units
UC Systemwide Policies
- UCOP Policy on Administration of Organized Research Units
- UCOP Policy 2307, Organized Research Units
- UCOP Compendium: Universitywide Review Process for Research Units
Research Misconduct
The Research Compliance & Integrity unit provides administrative support on issues pertaining to research misconduct.
UC Davis Policies
- PPM 220-05
UC Davis Policy on Integrity in Research - PPM 220-05, Exhibit A
UC Davis Policy on Procedure for Conducting the Inquiry - PPM 220-05, Exhibit B
UC Davis Policy on Procedure for Conducting the Investigation
UC Systemwide Policies
Federal Law and Regulations
Stem Cell Research
The Research Compliance & Integrity unit provides administrative support on issues pertaining to stem cell research and supports the Stem Cell Research Oversight committee.
UC Davis Policies
- PPM 220-02
UC Davis Policy on Human Stem Cell Research
California State Law and Regulations
- Health & Safety Code, Sections 125118-125119.5, California Embryonic Stem Cell Guidelines
- Health & Safety Code, Sections 125300-125320, Embryo Registry
- Health & Safety Code, Sections 125330-125355, Procuring of Oocvytes for Research