handbook - university of the pacific · web viewthese procedures are outlined in the university’s...

Handbookfor

Investigatorsand

Project Staff

Published byOffice of Sponsored Programs

Research and Graduate StudiesUniversity of the Pacific

Stockton, CA 95211

Table of Contents

PROGRAM MANAGEMENT AND THE OFFICE OF SPONSORED PROGRAMS..............................1-1

OFFICE OF SPONSORED PROGRAMS.................................................................................................................1-2ORGANIZATIONAL CHART................................................................................................................................1-3

FUNDING SOURCES.......................................................................................................................................2-1

FUNDING CLASSIFICATIONS: GIFT OR GRANT?...............................................................................................2-3

MANAGEMENT AND PROCESSING OF PROPOSALS............................................................................3-1

OVERVIEW OF DEVELOPING AND SUBMITTING A PROPOSAL..........................................................................3-2

POLICIES RELATED TO SCHOLARLY ACTIVITIES AND SPONSORED PROGRAMS.................4-1

POLICIES RELATED TO INTELLECTUAL PROPERTY..........................................................................................4-2COPYRIGHT POLICY......................................................................................................................................4-3PATENT POLICY............................................................................................................................................4-5ROYALTIES....................................................................................................................................................4-6ADMINISTRATIVE MATTERS...........................................................................................................................4-7PROCEDURE FOR FILING A PATENT..............................................................................................................4-8PATENT FLOWCHART....................................................................................................................................4-9

POLICY ON HUMANE CARE AND USE OF LABORATORY ANIMALS................................................................4-10IRB POLICY...................................................................................................................................................4-19ENVIRONMENTAL SAFETY POLICY................................................................................................................4-21OCCUPATIONAL SAFETY POLICY...................................................................................................................4-22

UNIVERSITY OF THE PACIFIC.................................................................................................................4-23

POLICY ON CONFLICTS OF INTEREST AND COMMITMENT.............................................................................4-23POLICY ON INTEGRITY IN RESEARCH AND SCHOLARSHIP.............................................................................4-26INDIRECT REIMBURSEMENT ALLOCATIONS...................................................................................................4-34

FINANCIAL MANAGEMENT OF GRANTS AND CONTRACTS............................................................5-1

SPONSORED PROGRAMS MANAGEMENT..........................................................................................................5-2RECORD RETENTION SCHEDULE....................................................................................................................5-10

INTERNAL FUNDING PROGRAMS.............................................................................................................6-1

AWARDS ADMINISTERED BY THE OFFICE OF THE PROVOST............................................................................6-2AWARDS ADMINISTERED BY THE OFFICE OF SPONSORED PROGRAMS............................................................6-6

INFORMATION FOR PROPOSAL DEVELOPMENT................................................................................7-1

COMMONLY REQUESTED INFORMATION..........................................................................................................7-2WHO TO NOTIFY OF PROPOSAL STATUS OR AWARD.......................................................................................7-4HELPFUL INTERNET LINKS...............................................................................................................................7-5WHO TO CALL ON CAMPUS.............................................................................................................................7-6

FORMS FOR SPONSORED PROGRAMS AND INTERNAL AWARDS..................................................8-1

ROUTING SHEET FOR GRANT AND CONTRACT PROPOSALS.............................................................................8-2INTERNAL FUNDING APPLICATION FORM FOR FACULTY.................................................................................8-4DEANS RESEARCH AWARD APPLICATION.....................................................................................................8-10INVESTIGATOR’S STATEMENT OF FINANCIAL INTEREST................................................................................8-12INVENTION DISCLOSURE FORM.....................................................................................................................8-14BUDGET PLANNER TEMPLATE.......................................................................................................................8-16

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Introduction

This Handbook for Investigators and Project Staff was prepared by the Office of Sponsored Programs at the University of The Pacific to assist the faculty and staff in performing, monitoring and administering programs funded by agencies outside the University, as well as certain internally funded programs.

Funding to support research projects is granted on the basis of professional expertise of the faculty members submitting proposals; however, awards are made to the University. Therefore, the institution assumes the responsibility for administering the award according to the regulations of the sponsor, the University, and any state or federal agencies. This creates a shared responsibility between the University and the faculty member to properly complete the project for which the funds were awarded.

Sponsored programs are an essential component of the University because they enhance the professional and academic environment, as well as provide recognition of both the faculty member and the institution. As a result, students benefit by having a well-informed faculty and the opportunity to participate in relevant real-world projects.

This Handbook was prepared for faculty and staff involved in sponsored project administration. Procedures and basic regulations that apply to funded projects are presented with the hope that the successful completion of each project may be accomplished in the most efficient manner.

As changes in procedures or policies occur, corrected pages will be issued.

Any questions or comments concerning this Handbook should be directed to the Office of Sponsored Programs, Rm. 214 Knoles Hall, 209-946-7356

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Chapter 1 Program Management and the Office of Sponsored Programs

Office of Sponsored Programs, Description of Roles…………………………... 1-2

Office of Sponsored Programs, Organizational Chart………………………….. 1-3

President of the University……………………………………………………… 1-4

University Provost………………………………………………………………. 1-4

Dean of Research and Graduate Studies………………………………………... 1-5

Sponsored Programs Administrator…………………………………………….. 1-5

Sponsored Programs Accountant……………………………………………….. 1-6

Office of Sponsored Programs

The University of the Pacific established an Office of Sponsored Programs specifically intended for the purpose of grant and contact management. The Office reports to the Dean for Research and Graduate Studies, and the Assistant Vice President for Business and Finance. The primary mission of the Office is to provide high quality service and administrative expertise to the University community, and to represent the interests of the Board of Regents in its contractual relationships with external sponsors.

Pre-Award ManagementThe Sponsored Programs Administrator primarily performs pre-award functions: searching for funding agencies, developing and editing of proposals, submitting electronic proposals, managing research-related policies and procedures, administering the human subjects and animal care committees, managing patents, administering several internal award programs, and acting as liaison to funding agencies and various federal, state, city and local entities.

Post-Award ManagementThe Sponsored Programs Accountant performs primarily post-award functions, which include budget monitoring, financial reporting and auditing, billing of sponsoring agencies, and closeout of grants. A staff of over 20 employees in Pacific’s Finance Center also backs the Accountant.

Grants & Contracts Computer SystemIn 2000, the University of the Pacific purchased SCT’s Banner Grants software, which streamlines the grant proposal and administration process.

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Organizational Chart


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President

Provost VP for Budget and Finance

ControllerDean of Research and Graduate

Studies

Assistant Controller

Sponsored Programs

Accountant

Sponsored Programs

Administrator

The President of the UniversityThe authority and duties of the President are explicitly delegated by the Board of Regents and include all obligations for all university educational and managerial affairs. The President is the chief executive officer of the University and the executive agent of the Board of Regents. He/she exercises a general superintendence over all the affairs of the University, in accordance with the policies of the Board of Regents and provides leadership and advice to the Board of Regents in carrying out its responsibilities.

Effective presidential leadership is essential to the proper operation of the governance system. The effectiveness of the board and of the system of institutional governance depends on the ability of the president to cultivate a climate of respect, trust and openness in which dialectical processes of participatory decision-making can flourish.

Proper growth and qualitative improvement of the University require the President to bring strong and effective leadership to each of the following functions:

Educational program and policy development. Comprehensive institutional planning. Faculty and staff development and welfare. Financial strengthening and budgetary planning. Fund-raising and constituency relations. Physical facility development and improvement. Governance processes, decision-making and policy formation. Personnel and employment policy development. Enrollment management and forecasting.

It is understood that a President must appoint a senior staff of Vice Presidents and a Provost to whom the authority and obligations of many of these functions are assigned. This senior staff serves at the discretion of the President and is selected with broad consultation from constituent groups. The arrangement of duties under each member of his/her staff will change as University policies and personnel change.

An important emphasis in the President’s functions concerns the exercise of leadership in university planning. The President guides the reexamination and realization of the University’s mission and provides strong leadership in developing, articulating and implementing the University’s planning efforts. The President has primary responsibility for the realization of high academic standards and high achievement levels throughout the University. The President mobilizes a planning and budgeting structure and process that embodies these principles of governance.

The President has delegated his/her responsibility for the administration of sponsored research and projects to the Dean of Research and Graduate Studies.

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The University ProvostThe Provost is the chief academic officer of the University and represents academic interests to the President and the Board of Regents. He/she provides leadership to the University faculty and to the deans in advancing the quality of all undergraduate, professional and graduate programs. He/she is responsible for the following functions:

Ensure, maintain and improve the quality and performance of the faculty through the appointment, evaluation and advancement of individual faculty members. Oversee the maintenance evaluation and improvement of all academic programs. Oversee academic support services, such as libraries and educational technology, and other academic facilities. Oversee enrollment services to recruit and retain a diverse student body of high quality. Promote and support faculty development, scholarship and research. Coordinate academic planning and the preparation of annual budgets in relation to planning. Chair the Council of Deans and provide general supervision, advice and support to the deans. Coordinate all academic policy-making and implementation. Maintain student academic records and active institutional research. Provide oversight for academic and instructional support budgets. Facilitate and ensure the effectiveness of faculty governance. Act on behalf of the President at times so instructed by the President.

The Provost has been designated by the President to be the institutional official for approval of all requests for funds from selected internal sources and all requests for funds from grants and contracts. In addition to the signature of the investigator, dean and sponsored research staff, the signature of the Provost, or his/her designee, is required on all Routing Sheets for Grants and Contract Proposals.

Dean of Research and Graduate StudiesThe Dean of Research and Graduate Studies is responsible for the Office of Sponsored Programs, as well as the activities of the Graduate School.

The Dean administers the indirect cost allocations, oversees the intellectual property compliance of the University community, and is responsible for all research-related policies and procedures at the University of the Pacific. The Dean also represents the Provost in research-related matters as requested by the Provost.

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Sponsored Programs AdministratorThe Sponsored Programs Administrator reports to the Dean of Research and Graduate Studies. He or she is administratively responsible for all pre-award activities, procedures and policies, as well as assisting in post-award management of Sponsored Programs.

The Sponsored Programs Administrator: Approves all proposals and contracts in regards to adherence to institutional policies for sponsored programs Negotiates award with sponsors Advises faculty about research support matters Assists investigators in proposal preparation Informs university community about funding opportunities Makes presentations to groups about research on campus, including how to secure support, procedures, research policies, animal and human subjects, and the responsible conduct of research Prepares Office of Sponsored Programs newsletters and other publications Maintains the proposal information system, and generates monthly, annual and ad hoc reports Maintains an Office of Sponsored Programs library, available to faculty and project staff Oversees select internal award programs administered by the Office of Sponsored Programs Serves as administrator to the Institutional Review Board (IRB), Institutional Animal Care and Use Committee (IACUC). Provides administrative support to the Dean of Research and Graduate Studies

Sponsored Programs AccountantThe Sponsored Programs Accountant is a direct report to the Assistant Controller in the Finance Center. The Accountant has fiscal responsibility for all externally sponsored and selected internal awards at the University of the Pacific. In addition, the Accountant assists in pre-award management and activities as appropriate.

The Sponsored Programs Accountant: Approves all proposals and contracts in regards to financial matters such as budget, indirect costs, matching fund requests, etc. Administers grant monies according to sponsor, university and state requirements Assists investigators with financial requests, reports to agencies, and requests for project continuations Maintains the grant information system and produces monthly, annual and ad hoc reports Provides administrative support to the Assistant Controller

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Chapter 2 Funding Sources

Funding Agencies………………………………………………………………… 2-2

Internet Resources………………………………………………………………… 2-2

Faculty Interests…………………………………………………………………... 2-2

Internal Funding…………………………………………………………………... 2-2

Funding Classifications: Gift or Grant?………………………………………….. 2-3

Definition of Gifts…………………………………………………………….. 2-3

Definition of Grants…………………………………………………………... 2-3

Determination of Classification………………………………………………. 2-4

Funding Sources

Funding AgenciesThere are a number of sources for external funding, including federal, state and local government agencies, corporations, foundations and professional associations. Determining the most likely funding source for your project can take research and preparation. The Office of Sponsored Programs can assist you in communicating with various agencies, reviewing their annual reports and past award history, and obtaining guidelines.

The Office of Sponsored Programs maintains a comprehensive collection of government and non-government application guidelines, plus a variety of hardcopy grant directories. In addition, the Office subscribes to Sponsored Programs Information Network (SPIN), a web-based resource for scientific information, funding opportunities, and alert services. SPIN provides an up-to-date listing of national and international government and private funding sources.

Internet Resources and Funding LinksSee the Helpful Links page in the “Information for Proposal Development” section of this Handbook for links to several funding databases, including SPIN.

The Office of Sponsored Programs web page contains several links to various funding sources and search engines. The Office also sends out, on a bi-monthly basis, a newsletter that contains new grant competitions.

Faculty InterestsThe Sponsored Programs Administrator maintains a list of faculty seeking funding, as well as a database of researcher interests so that new opportunities can be matched with the most appropriate faculty. If you would like to be added to the list of those seeking funding opportunities, call the Sponsored Programs Administrator at 6-7356.

Internal FundingThe Office of Sponsored Programs administers Seed Grant and Bridge Grant internal funding opportunities for University of the Pacific faculty. The goal of these awards is to support and develop projects in the areas of research and creative endeavors. Awards are granted through a competitive application process. Policy and application forms can be found in the Internal Funding section of this Handbook.

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Funding Classifications: Gift or Grant?

Approved, Provost June, 2002Approved, VP Finance June 2002

Approved, VP Development June 2002

IntroductionFunding derived from sources outside the University is an essential component of the financial stability of the institution. Funding comes in the form of gifts, grants, and contracts. Because the University has a responsibility to manage all funds in accordance with relevant federal, state, and local regulations, it is essential that appropriate accounting practices accurately reflect the type of extramural funding. It is also important to accurately classify funding sources at the University because the Division of Advancement manages gifts and the Office of Sponsored Programs of the Academic Division manages grants and contracts.

In most cases, external funds can be classified with relative ease. However in some cases, the distinction is less clear, requiring more extensive evaluation of the characteristics of the funding agreement to make a determination.

Accordingly, these guidelines have been established to clarify the University’s position regarding classification of the types of funds it receives from external sources. (Reference: NACUBO, 1999)

DefinitionsGifts:

Gifts are an irrevocable or non-irrevocable award, (money, equipment or other property), provided by the donor without contractual requirements that result in material benefits to the donor, such as the purchase of services, goods or other exclusive information not shared with others.

In general, funds will be classified as gifts when the following characteristics exist: The University solicits resources as a contribution. The resource provider affirms that it is making a donation to support the University’s program. The resource provider determines the amount of the payment. The donor may or may not impose contractual requirements. The University is not penalized for nonperformance. Any unspent funds unrestricted resources may be retained. Restricted resources are retained for disbursement in future fiscal periods.

Grants:

An award of financial assistance to allow for the performance of certain work envisioned by the University or principal investigator. Indirect costs are assessed in

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accordance with University policy unless funding agency policies impose a restriction.

In general, funds will be classified as grants when the following characteristics exits: Direct benefit to donor. There is a provision for audits by or on behalf of the grantor. The grantor is entitled to receive some consideration such as detailed technical report of research results and/or a report of expenditures. Testing or evaluating of proprietary products is involved. The University is penalized for nonperformance. The project is directed to satisfy specific grantor requirements (e.g., terms and conditions stating a precise scope of work to be done rather than a general area of research). A specified period of performance is prescribed or termination is at the discretion of the grantor. Funds unexpended at the end of the period shall be returned to the grantor. Patent rights requested by the grantor. Payment is for the normal cost of the goods or services.

Determination of ClassificationIn most situations, a project will have characteristics that enable a determination with relative ease. However, when a determination is not easily made, a judgment must be made to classify the gift/grant in accordance with the intent of these guidelines and University policy. The decision of whether an award should be considered a gift cannot be made based upon the presence or absence of a single characteristic or criterion. When the Office of Sponsored Programs reviews the award, the overall preponderance of qualifications will be considered in the determination of gift or grant.

The Vice President of Finance will determine final classification of projects, in collaboration with the Vice President of Development and the Dean of Research and Graduate Studies.

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Chapter 3 Management and Processing of Proposals

Overview………………………………………………………………………… 3-2

Proposal Flow Chart…………………………………………………………….. 3-3

Early Phases in Proposal Development………………………………………….. 3-4 Budget………………………………………………………………………. 3-4 Indirect Costs………………………………………………………….. 3-5 Cost Sharing…………………………………………………………... 3-5 NIH Modular Budgets………………………………………………… 3-5

Compliance Assurance Approvals………………………………………………. 3-5 IRB: Human Subjects……………………………………………………… 3-5 IACUC: Animals ………………………………………………………….. 3-6 Hazardous Material…………………………………………………………. 3-6 Technology…………………………………………………………………. 3-6 Responsible Conduct in Research………………………………………….. 3-6

Institutional Routing, Review & Approvals……………………………………... 3-6 Routing Sheet………………………………………………………………. 3-7 Purpose of Routing Sheet……………………………………………... 3-7 When to use Routing Sheet…………………………………………… 3-7 Obtaining a Routing Sheet…………………………………………….. 3-7 Institutional Review & Approvals…………………………………….. 3-8

Submission to the Sponsor………………………………………………………. 3-9 National Science Foundation FastLane……………………………….. 3-9 Agency Notification…………………………………………………... 3-10

Negotiations/Communications with Sponsor …………………………………… 3-10

Overview of Developing and Submitting a Proposal

The development and submission of a grant or contract can be organized into five basic steps: development of the proposal, approval of institutional oversight (“pre-award approvals”), institutional review, submission, and agency negotiation. The general flow of a project can be found on the Proposal Flow Chart, next page.

The steps for approval are guided by the routing sheet, which documents that the proposed work has received all the appropriate institutional approvals to comply with all applicable Federal, State, Local, and Institutional regulations, such as human subjects, animal care, hazardous material, accounting principles, etc. The proposal is ultimately approved by the “institutional official” after the other institutional approvals have been obtained.

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Step 1: Early Phases in Proposal DevelopmentAlso see Chapter 7 for commonly needed information for

grant proposals – rates, codes, contact names, etc.It is helpful for PI’s to consult with their department chair and/or dean, as well as the Office of Sponsored Programs regarding institutional issues early in the process of developing a proposal. This helps to assure a smooth proposal submission in plenty of time for the proposal deadline.

Before developing the idea for a project, it is also helpful for the PI to assess the qualities needed to have success in obtaining funding. Are the resources, strengths, skills, facilities, and staff in place to perform the proposed work? If not, the PI might want to consider altering some aspects of the project, or change the emphasis. PI’s might also find it helpful to consult colleagues, review the literature in the field, and develop a clear-cut statement of the need for the project.

Although all proposals to granting agencies should be processed through the Office of Sponsored Programs, individuals are encouraged to hold discussions with prospective sponsors on an informal basis. Before approaching corporations or private foundations, however, contact the Director of Advancement Services and Research, Development Research Office (6-2218) so that multiple proposals to a sponsor can be monitored. That office can also provide additional background information on a corporation or foundation that can be useful in preparing the proposal.

Agencies often provide information on what proposal format they prefer, and they may also publish specific requirements by programs. Government agencies publish these requirements in program announcements, RFPs, RFAs, or other notices. Specific sponsor guidelines for content and format should be followed. However, several items to consider are:

How does the project fit with the mission and objectives of the University? How does the project match the objectives and funding priorities of the source? Is the problem clearly defined and the need for support of the project justified? Are the objectives clear and measurable? Is the significance of the expected outcomes explained? Is the proposed scope of work reasonable for the timetable presented? Are the qualifications of the project personnel adequate? Are the institutional resources adequate and available? Does the evaluation plan measure the accomplishments of the objectives? Are the post-award plans detailed, including dissemination of the findings? Does the budget reflect the proposed work and are the costs reasonable?

Proposal BudgetMost funding agencies provide budget forms or indicate a preferred budget format. The Office of Sponsored Programs can assist in locating required forms. If no format or form is specified, the OSP Project Budget Planner can be used. This form can be found in the Forms section of this handbook.

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If employee fringe benefits are requested in the budget, contact the Office of Sponsored Programs for the current rate.

Indirect CostsIndirect Costs are those expenses that are borne by the University, but cannot be attributed directly to a specific project. Some funding agencies term indirect costs as “Facilities and Administrative” costs (F&A Costs). Indirect costs include the expenses associated with general maintenance, utilities, security and fire protection, library services and resources, payroll and accounting services, and other administrative services. Even though some sponsors may not permit indirect costs, these are true expenses that the University must incur to support projects.

Indirect cost requests should be part of the requested budget for every project, unless the sponsor specifically stipulates that indirect costs are not allowed. When sponsors will not pay indirect costs, written documentation from the sponsor stating so should accompany the proposal.

For Federal agencies, the University negotiates the indirect cost rate on a scheduled basis. If you do not know the indirect cost rate, please call the Sponsored Programs Accountant (6-7356).

Cost SharingCost sharing in the form of waived indirect costs, partial support of faculty/staff time, and the costs associated with that faculty/staff time are generally appropriate contributions from the University toward total project costs. All commitments of cost sharing require prior approval of the school dean and the University budget officer.

NIH Modular BudgetsAlthough the NIH Modular Grants do not require detailed budgets for submission to the sponsor, we do ask PIs to submit one to us when they route the proposal so that, if the project is funded, we can more quickly assist them in monitoring project activity.

Step 2: Compliance Assurance ApprovalsTo assure that all appropriate Federal, State, Local and Institutional policies and regulations have been fulfilled, the following “pre-award” approvals must be obtained:

(Additional information, beyond what is provided in this section, regarding all compliance procedures is included in the Policy section of this Handbook)

Institutional Review Board “Human Subjects”The University of the Pacific’s Institutional Review Board (IRB) reviews all projects that involve human subjects, and has approval power regarding compliance to federal regulations. A copy of that approval should be attached with the proposal when submitting it for administrative signatures. Also, before applying for some federal grants that involve human subjects, all principal investigators must take an educational tutorial and any other personnel involved in the conduct of the research or the administration of

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the grant. See the Investigators Manual on Research with Human Subjects for details on review procedures and timelines.

AnimalsThe Institutional Animal Care and Use Committee (IACUC) must approve any use of vertebrate animals in teaching or research. Principal Investigators have responsibility to obtain approval prior to the submission of a protocol for submission. As this may take some time, it is important that PI’s start the IACUC approval several weeks prior to the proposal deadline. The approval should be attached with the proposal when submitting it for administrative signatures. See the Assurance of Compliance with PHS Policy on Humane Care and Use of Laboratory Animals by Awardee Institutions for details on review procedures.

Hazardous MaterialAll research projects involving the use of hazardous materials or ionizing radiation require approval and monitoring by the Director of Environmental and Occupational Safety (946-2783).

Technology (Computer Equipment)If the project involves the purchase of computer equipment, approval from the Office of Information Services and Resources (OISR), or the campus Director of Technology (for McGeorge School of Law and the School of Dentistry) must be obtained and the appropriate signature should appear on the Routing Sheet.

Responsible Conduct in Research (RCR)The federal Office of Research Integrity (ORI), in collaboration with the Public Health Service (PHS), is expected to announce by 2003 the issuance of a Final Policy on Instruction in the Responsible Conduct of Research. This policy will require all institutions to provide training in the responsible conduct of research to their research staff who are supported by or working on PHS funded research.

The University of the Pacific is developing training plans, and the training will be required of all investigators on campus, including students, regardless of sources of support.

Accordingly, as soon as the federal policy is finalized, the University of the Pacific Routing Sheet will reflect this training requirement All investigators – faculty, students and staff – will be required to participate in a training module, which includes topics found under the umbrella of Responsible Conduct, including mentoring, misconduct, data ownership and collection, use of animals, etc. This training will be arranged through the Office of Sponsored Programs.

When a “Routing Sheet for Grants and Contract Proposals” is received, the Sponsored Programs Administrator will check to make sure that the investigators listed have completed the tutorial. Signatory approval of the proposal by the Office of Sponsored Programs and Provost will require that all investigators have completed the training successfully.

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Step 3: Institutional Routing, Review & Approvals Because funding for grants and contracts are provided to the institution (i.e., the University) for specific projects, the University, not the principal investigator (P.I.), has the ultimate responsibility to assure that all appropriate policies and procedures will be followed in carrying out the projects. Accordingly, a series of reviews and approvals are needed from the committees and administrative officials who are responsible for the various activities prior to the submission of the proposal to the funding agency.

Routing SheetPurpose of the Routing Sheet

The routing sheet is a mechanism to assure all required institutional endorsements have been obtained so that the University can accept funds for the intended project or purpose. Failure to properly complete the Routing Sheet often results in delays in processing project funds or may jeopardize whether the University will approve the project.

The purpose of the routing sheet is to ensure that all concerned are aware of projects taking place at Pacific. ensure that projects relate to the mission, goals and objectives of the University. ensure a standard of quality in proposals presented on behalf of the University. assure the confirmation to regulations of the University and funding agencies. monitor multiple requests that may be going to a funding source simultaneously. recognize and credit the efforts of individuals seeking external funding.

When to use the Routing SheetAny grant or contract project that is solicited or accepted from a source outside the University by an employee of the University is to be processed with the Routing Sheet for Grants and Contract Proposals.

The routing sheet should not be used for: Gifts of cash, equipment and/or in-kind services.

The Office of Corporation & Foundation relations, 6-2502, have the appropriate forms for routing of gifts.

Intramural funding (projects supported solely by campus funding (e.g., scholarly activity grants, Eberhardt Awards, etc.). Individual programs of campus-based funding each have specific forms for the application of these funds.

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Fellowships such as Fulbright Awards.Each fellowship has its own application forms and instructions—in general, these funds are made to an individual, not an institution.

Obtaining a Routing SheetThe routing sheets can be obtained from the Office of Sponsored Programs, or from the OSP website. In order to ensure time for adequate review of the final proposal, the completed proposal should be submitted to the Office of Sponsored Programs at least five (5) working days prior to the deadline for submission to the granting agency. This amount of time is necessary to thoroughly review the proposal and obtain all the needed signatures. Additional time may be needed for review of contracts.

Institutional Review and Approvals In order to ensure time for adequate review of the final proposal, the completed proposal should be submitted to the Office of Sponsored Programs at least five (5) working days prior to the deadline for submission to the granting agency.

At the time of submission, all assurances should have been obtained, and the PI and their dean should have signed the routing sheet. These signatures indicate the following:

The principal investigator accepts responsibility for the scientific conduct of the project and all related expenditures. Also, they will observe all sponsor and University policies, and inform compliance committees of any changes in the project that involve human or animal subjects, or hazardous materials. The dean approves of the budget, as well as the time and effort commitment of the faculty member. Also, they assure that the appropriate supervisors (e.g., department chair) have approved the project.

The Principal Investigator, after securing their dean’s signature, should bring the Routing Sheet, the completed proposal, and any applicable RFPs to the Office of Sponsored Programs. The Sponsored Programs Administrator will then review the proposal for assurance to institutional policies. This individual will also, if requested, edit the proposal and act as liaison with the sponsor regarding any unclear items.

If the proposal is directed to a corporation or foundation, the Sponsored Programs Administrator will obtain the approval of the Director of Advancement Services, who assures that there are no funding request conflicts. If the corporation or foundation is one that is uniquely approached by the School of Dentistry or the McGeorge School of Law (e.g., a dental foundation), a copy of the proposal will be sent to the Stockton Director of Advancement Services for informational purposes only.

The Sponsored Programs Accountant will next review the proposal, assuring that the financial information is correct, and that indirect cost requests and matching

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funds are appropriate. Adherence to the sponsors’ budget guidelines is also affirmed.

The Office of Sponsored Programs, as a final step, obtains the approval of the Provost, or their designated representative. The Provost assumes responsibility for the project on behalf of the University. Therefore, it is of utmost importance that all preliminary signatures are obtained in an expedient yet thorough manner.

Once the Provost has signed off on the proposal, the Office of Sponsored Programs will make one copy of the proposal for their files, and contact the Principal Investigator to advise them that their proposal has been approved and is ready for pick up in their office (along with a photocopy of the signed routing sheet). In the case of proposals from the School of Dentistry or McGeorge School of Law, the proposal original and the routing sheet photocopy will be returned to them by mail. If the department provides an index code, OSP will return the proposal to them via an overnight service.

Step 4: Submission to the SponsorThe PI will be responsible for submitting the proposal to the sponsor. They are responsible for the mailing costs, and for meeting the sponsor deadlines. If, due to PI absence from campus, they or a departmental staff member are unable to submit the proposal, the Office of Sponsored Programs can submit it for them; however, the PI should provide to the Office of Sponsored Programs an index code that mailing costs can be charged to.

The Office of Sponsored Programs will retain one copy of the proposal for their files. If the proposal is not funded, they will keep the copy for one year from the date of submission, after which time it will be shredded.

If the proposal is funded, the Sponsored Programs Administrator prepares a grant file and gives it to the Sponsored Programs Accountant, who then requests an index and sets up the grant for administration.

National Science Foundation: FastLane FastLane is an electronic submissions system used by the National Science Foundation (NSF) for all of its grant system. All grant-related communications with NSF (proposals, reports, etc.) must be submitted through their FastLane system.

The web site for NSF’s Fast Lane is: http://www.fastlane.nsf.gov/fastlane.jsp, and a demonstration website for new users is available at: http://www.fldemo.nsf.gov.

Investigators wishing to submit proposals to NSF should first contact the Office of Sponsored Programs. OSP is responsible for managing all submissions from Pacific through the FastLane system, and approves access for the PI’s to the FastLane program. In addition, OSP provides passwords for new users or those who have not used FastLane within the past 12 months.

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The PI is responsible for preparing all documents for submission on FastLane. The OSP office staff assists PI’s with questions or problems, as well as edit and approve the final draft of the proposal. The OSP office submits and electronically signs the proposal for the PI.

Ideally, PI’s have a final printed copy of the finished proposal with a Routing Sheet submitted to OSP well before the submission deadline. If not, however, the PI may submit the proposal as they have prepared it, and fill out a routing sheet after the proposal is submitted. However, the PI must attach a copy of the final proposal to the routing sheet.

Agency NotificationThe principal investigator should ensure that their proposal was actually received. Many agencies will send some type of notification, and most mailing services can track packages. It is not always advisable to call agencies to ask about the status of a proposal. Most guidelines will tell you when to expect notification; if not, it is acceptable to call the agency and ask when notification should be expected.

If possible, request copies of reviewer comments. Whether or not the proposal is accepted, these comments can be helpful in future grant writing efforts. Most agencies cannot fund all proposals received, and the chances are often better after revising and reapplying.

Step 6: Negotiations/Communication with the SponsorOften a sponsor will have questions, or will require changes to the proposal before they will consider funding it. The PI should be available for discussions on the technical, programmatic and financial aspects of the project. The Office of Sponsored Programs can act as a liaison with the sponsor during these discussions. The Office will also provide to the sponsor any institutional information that they need during this process.

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Chapter 4 Policies Related to Scholarly Activities and Sponsored Programs

Policies Related to Intellectual Property .………………………………………… 4-2 Preamble and Definitions……………………………………………………... 4-2 Copyright……………………………………………………………………... 4-3 Patents……………………………………………………………………….... 4-5 Royalties……………………………………………………………………… 4-6 Administrative Matters……………………………………………………….. 4-7 Procedure for Filing a Patent……………………………………………….… 4-8 Patent Flow Chart…………………………………………………………….. 4-9

Humane Care & Use of Laboratory Animals…………………………………….. 4-10 Institutional Program for Animal Care and Use……………………………… 4-11 IACUC………………………………………………………………………... 4-12 IACUC Responsibilities………………………………………………….. 4-12 Authorized Approvals…………………………………………………….. 4-15 Protection from Animals……………………………………………………… 4-16 Facilities………………………………………………………………………. 4-16 Personnel Training……………………………………………………………. 4-16 Institutional Status…………………………………………………………….. 4-17 Record Keeping Requirements…………………………………………….…. 4-17 Reporting Requirements……………………………………………………… 4-18

IRB (Human Subjects) Policy…………………………………………………….. 4-19

Environmental Safety Policy …………………………………………………….. 4-21

Occupational Safety Policy……………………………………………………….. 4-22

Policy on Conflicts of Interest and Commitment (Draft) 4-23

Integrity in Research and Scholarship……………………………………………. 4-26 Definitions……………………………………………………………………. 4-27 Procedures…………………………………………………………………… 4-27 Reporting Requirements and Record Keeping………………………………. 4-33 Compliance with Federal Regulations………………………………………. 4-33

Policy on Indirect Reimbursement Allocations…………………………………... 4-34

University of the PacificPolicies Related to Intellectual Property

Approved, Council of Deans, 12/4/2001Approved, Academic Council, 2/14/2002

Approved, Board of Regents, 4/4/2002

Summary: Establishes University policy on intellectual property, copyright, patents and royalty distribution.

Administered by: Office of Sponsored Programs

Contact Person: Dean of Research and Graduate Studies

PREAMBLE

University of the Pacific seeks to support its faculty members in their scholarly and artistic activities. The University seeks to foster an academic environment that promotes the creation and distribution of scholarly and artistic work. The University’s infrastructure, resources, and other support of those activities enhance its educational programs, attract high achieving students and faculty, and can develop supplemental revenue.

DEFINITIONS

“Materials” or “Copyrightable Materials” include any original work of authorship that is subject to copyright law. “Copyright” is the ownership and control of the intellectual property in the original works of authorship, which are subject to copyright law.

“Institutional Works” includes Materials that are 1) created at the specific direction or request of the University for a specific University purpose, 2) created as part of a project involving a grant or contract sponsor or 3) created as part of a project involving other third parties with whom the University has entered agreements concerning copyright ownership. Institutional works also includes a work that has been created by a direct allocation of University funds or is created using significant University resources, e.g., non-faculty employees working within the scope of their employment with the University.

“Academic Works” includes artistic, scholarly, and learned materials, whether traditionally, electronically or otherwise published, created by faculty and/or by students in the course of their educational endeavors that are not patentable. This also includes “like-kind” works such as papers, reviews, articles, theses, dissertations, scholarly papers, abstracts, monographs, treatises, in-person presentations made at scholarly meetings, non-fiction and fiction books and writings, textbooks, musical and other artistic compositions,

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software, and all other works of artistic or scholarly creation which are not institutional works or were not created using significant University resources.

“Significant University Resources” includes a direct allocation of University funds or use of specialized equipment, either of which is significantly greater than or different from that ordinarily available for creation of academic works. The term also includes substantial contribution by non-faculty employees working within the scope of their University employment. Significant University Resources in connection with academic works do not include the incidental use (as defined in unit-based protocols approved by the University) of University facilities, support staff and related resources, to the extent that in the school or college at issue, those resources are customarily available for the use of regular faculty members’ academic activities, such as:

use of University computers and other standard equipment and facilities of the unit use of clerical and other support staff and related resources faculty development leaves or research stipends; and, use of student research assistants working for compensation.

For this policy, “Course” is defined as an organized body of information used for educational instruction and includes the expression in reproducible form of all instructional materials and presentations made by faculty member(s) or other instructors responsible for delivering the instructional material. A “Course” includes any on-site or distance-learning course, a course delivered synchronously or asynchronously by traditional or electronic means, and courseware that is a combination thereof.

COPYRIGHT POLICY

Articles, Artistic Works, Scholarly Books and “Like Kind” WorksThe University will not claim copyright in academic works unless specifically provided otherwise in this Policy.

Faculty who create academic works shall have the right to claim copyright therein and are encouraged to do so by notice as provided in this policy.

The University shall have, as a condition of its award of academic degrees, the royalty-free right to retain, use and distribute a limited number of copies of theses, dissertations, and related material, together with the right to require its publication for archival use or for educational-related purposes.

Institutional WorksThe copyright to Institutional Works remains with the University.

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Courses The University holds the copyright of courses taught by the faculty of the University. The faculty holds the copyright to the components of courses (lecture notes, slides, handouts, electronic presentations, demonstrations, case books, etc.) that are the product of a faculty member’s efforts and are used to fulfill the educational objectives of courses.

A faculty member who remains employed in that capacity by the University must obtain express approval from the dean of the school or college before that faculty member may use components of courses for the delivery, at any other educational institution or in any other educational program, of a course that is similar to any course taught at the University.

Another faculty member teaching at the University may use components of courses prepared by one faculty member. Appropriate attribution should be included and the member who originally prepared the materials should be given the opportunity to update or correct those materials if a timely request is made to do so.

Visiting Scholars and FacultyUnless specified otherwise and approved in writing by the appropriate dean of the school or college in advance, visiting scholars and faculty will be subject to the same provisions of this policy and unit protocols as regular University personnel during the period they are associated with the University.

University Obligations to External Entities This Policy does not restrict the University in satisfying its contract obligations to grant or contract sponsors or other third parties to which the University has entered into agreements for research, software, and licenses.

This continues the University’s policy that its resources are to be used to further the University’s purposes.

Academic Unit ProtocolsEach academic unit (i.e., school or college) will develop and approve through its governance structure a protocol to describe how it will implement this University-wide policy. The unit-based protocol must define the following:

how the academic unit will make decisions on the unit’s determination of property rights. what constitutes customary support and “incidental use” for faculty and staff in the unit, what academic works require further definition, and other unit-specific implementation issues of the University-wide policy.

The Provost reviews each unit-based protocol to ensure conformity to the University-wide policy of intellectual property, and forwards the protocol to the President for final approval.

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ConflictsThe University grievance procedures (Section 7.10 of the Faculty Handbook) are to be used to resolve conflicts arising from Intellectual Property rights of the Faculty or University.

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PATENT POLICY

General All patented inventions, and all potentially patentable inventions, which have been for the first time reduced to practice or conceived in whole or in part by members of the University faculty or staff (including student-employees) of the University in the course of their University responsibilities, or with more than incidental use of University resources, shall be disclosed in writing to the University Vice President for Business and Finance. Title to such inventions shall be assigned to the University, regardless of the source of funding, if any.

The University shall share royalties from inventions assigned to the University with the inventor(s) according to the University royalty policy.

The inventors, acting collectively where there is more than one, are free to place their inventions in the public domain if they believe that would be in the best interest of technology transfer and if doing so is not in violation of the terms of any third-party agreements that supported or are related to the work.

If the University cannot, or decides not to, proceed in a timely manner to patent and/or license an invention, it may in writing executed by the Vice President for Business and Finance reassign ownership to the inventors upon request, to the extent it may lawfully do so under the terms of any third party agreements that supported the work.

The University may issue supplemental policies regarding ownership of potentially patentable inventions created or discovered with more than incidental use of University resources by students when not working as employees of the University, by visiting scholars and by others not in the University's employ. In addition to faculty and staff (including student-employees), the provisions of the University's patent policy will extend to all graduate students and postdoctoral students/fellows, all non-employees who participate in research projects, all of whom must execute a University of the Pacific Copyright and Patent Agreement as a condition of the relationship with the University.

This policy shall apply to all inventions conceived or first reduced to practice on or after July 1, 2002.

Disclosures of Inventions An invention disclosure is a document that provides information about inventor(s), what was invented, circumstances leading to the invention, and facts concerning subsequent activities. It provides the basis for a determination of patentability and the technical information for drafting a patent application. An invention disclosure is also used to report technology that may not be patented but is protected by other means such as copyrights, such as certain software.

Inventors must prepare and submit to the University on a timely basis an invention disclosure for each potentially patentable invention that has been conceived or first

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actually reduced to practice in whole or in part in the course of their University responsibilities or with more than incidental use of University resources. Individuals covered by this policy should reasonably consider whether an invention has potential for commercial marketing. If such commercial potential exists, the invention should be considered "potentially patentable," and disclosed to the University.

“Incidental use” is defined by the school or college protocol. "More than incidental use of University resources" for purposes of this Policy includes specialized, research-related facilities, equipment or supplies, provided by the University for academic purposes. It also includes significant use of "on-the-job" time. However, "more than incidental use of University resources" does not include routinely available, office-type equipment, including desktop computers and commercially available software; reference materials or other resources collected at the University.

Licensing: The University encourages the development by industry for public use and benefit of inventions and technology resulting from University research. It recognizes that protection of proprietary rights in the form of a patent or copyright are appropriate to induce a company to risk the investment of its personnel and financial resources to develop the invention. In some cases an exclusive license may be necessary to provide an incentive for a company to undertake commercial development and production.

Nonexclusive licenses allow several companies to exploit an invention.

The research and teaching missions of the University always take precedence over patent considerations. While the University recognizes the benefits of patent development, it is most important that patent considerations or personal financial interests not substantially determine the direction of University research.

Definitions of Terms:University policy utilizes the definition in law for patents and inventions and other related terms. For example, the law defines a patent as a novel and useful idea relating to processes, machines, manufactures, and compositions of matter. A patent may purport to cover new or improved devices, systems, circuits, etc. It is probable that an invention is made when something new and useful is conceived or developed, or when unusual, unexpected, or non-obvious results are acquired.

ROYALTIES

Royalty income for works for which the University holds the copyright or patent will be distributed as follows:

A. Cash royalties: A deduction of 15% to cover the administrative overhead is taken from gross royalty income, followed by a deduction for any directly assignable expenses, typically patent filing fees. After deductions, royalty income is divided by 50% to the faculty member /

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author / inventor and 50% to the University. Disagreements involving royalty distribution will be reviewed and resolved by the Provost.

B. Equity: If the University obtains equity as part of a license issue fee, the value of the equity after the deduction set forth in V.A., above, will be divided in the same way.

ADMINISTRATIVE MATTERS

All faculty, staff, student employees, graduate students and post-doctoral fellows, volunteer and other employees or non-University employees are covered by the Policy. They are required to execute the University of the Pacific Copyright and Patent Agreement.

This Policy applies to them whether or not a signed agreement is on file with the University.

This University Policy does not establish University policy in respect to University faculty members in respect to consulting, non-University professional, and business activities.

Works of non-University employees, including independent contractors and consultants, are considered institutional works, either commissioned by the University or supported by direct allocation of funds. University departments are expected to obtain a written agreement from the non-employees of the University that ownership of institutional works is assigned to the University.

Copyright Notice: The University’s copyright notice should appear on all materials owned by the University, e.g.: “Copyright@2001, The Board of Regents of University of the Pacific. All rights reserved.” College, school or other unit names or identities may not be used in the copyright notice. The copyright notice of individual faculty member or members should appear on all materials owned by the faculty, e.g., "Copyright@2002, Alena P. Jones. All rights reserved." The year in which the work is initially published should be used.

Copyright and Patent Agreement: A University of the Pacific Copyright and Patent Agreement must be signed by all individuals prior to their start date with the University and, if not, at any other time requested by the University.

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University of the PacificPROCEDURE FOR FILING A PATENT

Approved by Academic Council, 3/21/96Transcribed into electronic format, 12/1/99

The first step in the patent filing process is for the inventor to report the invention/discovery to the University's Provost. Each employee of the University is obligated to report all discoveries as stated in the "University Policy on Invention and Patent Agreements." Once reported to the Provost, an Ad Hoc Committee to review and facilitate patent development may be appointed.

Ad Hoc Committee to Review and Facilitate Patent DevelopmentThis committee serves the inventor and the University to acquire and develop inventions. Upon request from the Provost, the Dean of Research and Graduate Studies appoints the Ad Hoc Committee and appoints one of the members as Committee Chair. Committee members are to be experienced individuals from among the University's faculty/alumni/regents. Outside consultants may be used where the committee deems it necessary and/or advisable. The inventor may sit on the Ad Hoc Committee as a resource person but will not have a vote. The Dean of Research and Graduate Studies reports the Committee's decisions to the Provost.

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PATENT FLOWCHART

Inventor has Discovery

Full Patent RightsReturned to Inventor

Inventor Reports Discovery to Provost

Provost Consults with Ad Hoc Committee on Patents

1. Committee recommends one of these three options to the Provost2. Provost directs Dean of Research to pursue one of the following options

NO

UOP Patent Attorneys Research CorporationTechnologies

Other Technical Development Company, Contract Company, Etc.

YES YES YES

Patent Patent Patent

NO NO NO

Ad Hoc Committee Makes Recommendation to the Provost: Get Second Opinion, or Return Rights to Inventor

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University of the Pacific

Policy on Humane Care and Use of Laboratory Animals

Summary: Establishes University policy on the care and use of animals in research.



The University of the Pacific hereinafter referred to as institution, hereby gives assurance that it will comply with the Public Health Service Policy on Humane Care and Use of Laboratory Animals, hereinafter referred to as PHS Policy.

I. APPLICABILITY This Assurance is applicable to all research, research training, experimentation, biological testing, instruction and related activities, hereinafter referred to as activities, involving live, vertebrate animals supported by the Public Health Service (PHS) and conducted at this institution, or at another institution as a consequence of the subgranting or subcontracting of a PHS-conducted or supported activity by this institution.

"Institution" includes the campus of the University of the Pacific located in Stockton, California: the main campus with the address of 3601 Pacific Avenue, and the School of Pharmacy and Health Sciences campus at 751 Brookside Road.

II. INSTITUTIONAL POLICY A. This institution will comply with all applicable provisions of the Animal Welfare Act and all other Federal statutes and regulations relating to animals.

B. This institution is guided by the "U.S. Government Principles for the Utilization and Care of Vertebrate Animals Used in Testing, Research, and Training.”

C. This institution acknowledges and accepts responsibility for the care and use of animals involved in activities covered by this Assurance. As partial fulfillment of this re-sponsibility, this institution will make a reasonable effort to ensure that all individuals involved in the care and use of laboratory animals understand their individual and collective responsibilities for compliance with this Assurance as well as all other applicable laws and regulations pertaining to animal care and use.

D. This institution has established and will maintain a program for activities involving animals in accordance with the Guide for the Care and Use of Laboratory Animals (known as the Guide in the remainder of this document).

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III. INSTITUTIONAL PROGRAM FOR ANIMAL CARE AND USE

Program OrganizationA. The lines of authority and responsibility for administering the program and ensuring compliance with this Policy are depicted in the following diagram:

VeterinarianThe qualifications, authority, and percent of time contributed by the Veterinarians who participate in the program are:

Qualifications85. hold a Doctor of Veterinary Medicine (D.V.M.) degree from a recognized college of veterinary medicine86. possess a license to practice veterinary medicine in California87. experienced in small animal veterinary medicine practice88. ideally, will have completed postgraduate training or have professional practice experience in laboratory animal medicine

AuthorityThe veterinarian has authority to enter all animal facilities and teaching or research laboratories where animals are being used whenever necessary to conduct his/her duties. The veterinarian may render appropriate medical care to animals when deemed necessary without prior authorization as long as such action is reported as soon as possible to the person responsible for the animals.

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The veterinarian will review facilities and practices involving animals to assure that they conform to the Guide. His/her responsibilities will include, but not be limited to, the following:

providing consultation and advice on the handling, care and sanitation of any experimental laboratory animals; on anesthesia and treatment of laboratory animals; on approved euthanasia techniques; and on the prevention of disease in laboratory animals. providing diagnosis and treatments when needed making periodic inspections of facilities and animals for health and sanitation

Percent of Time ContributedThe veterinarian will spend approximately 5% time for these responsibilities. If needed, the vivarium caretaker will use the emergency replacement services that the University veterinarian has arranged for his/her practice.

Institutional Animal Care and Use Committee (IACUC)This institution has established an Institutional Animal Care and Use Committee (IACUC), which is qualified through the experience and expertise of its members to oversee the institution's animal program, facilities, and procedures. The IACUC consists of at least five members, and its membership meets the composition requirements set forth in the PHS Policy at IV.A.3.b.

IACUC ResponsibilitiesThe IACUC will:

1. Review at least once every six months the institution's program for humane care and use of animals, using the Guide as a basis for evaluation.

2. At least every 6 months, usually as a part of the regularly scheduled meetings held normally in December and June, the IACUC will conduct a comprehensive review of institutional programs concerning the humane care and use of animals. This review will address practices and procedures relating to the various categories of the DHHS Guide. The review will also include a study of the work of the IACUC since the preceding review with intent of assuring that it had complied with all provisions of this statement of assurance. Procedures for processing proposals will be reviewed and modified as appropriate. Actions taken by the University on recommendations of the IACUC will be reviewed to assure compliance. If indicated, the IACUC will develop appropriate responses to any problem identified as a result of the review.

The findings of the review and recommendations for change in policies and/or procedures will be presented to the Dean of Research and Graduate Studies and to the Provost.

3. Inspect at least once every six months all of the institution's animal facilities, including satellite facilities, using the Guide as a basis for evaluation.

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All animal facilities on the Stockton campus (currently, the School of Pharmacy and Health Sciences and the Department of Biological Sciences) will be inspected by the IACUC at least every six months, usually in coordination with the regularly scheduled meetings in December and June. The IACUC conducts the animal facilities as follows:

the IACUC chair assigns two IACUC committee members to inspect an animal facility with which they are not affiliated. All IACUC members are encouraged to participate as well. one individual submits a written report of the inspection and presents his/her findings to the IACUC committee at the scheduled semi-annual meetings. the IACUC chair accepts the report for the record & the findings are reported to the Department Chairs & Deans for information and any required follow-up.

4. Prepare reports of the IACUC evaluations as set forth in the PHS Policy at IV.B.3. and submit the reports to the Provost. To develop reports and submit them to the Provost (Institutional Official), the IACUC chairman prepares a written summary of the IACUC findings and recommendations, which is subsequently forwarded to the Provost after IACUC action and sign-off.

5. Review concerns involving the care and use of animals at the institution. Any expression of concern or allegation regarding appropriate cane and handling of animals will be referred to the IACUC for investigation. It will be incumbent upon the IACUC chairman to immediately initiate an investigation and to inform the committee of the situation. Depending on the nature of the problem, the IACUC may meet to review the findings and recommend appropriate action. All such reviews and recommendations will be reported to the Dean of Research and Graduate Studies and to the Provost. Customarily, situations will be resolved within 5 working days of receipt of the complaint or concern. If relevant, the University’s policy for Research Integrity (revised Fall 1998) will be followed to assure all OPRR regulations are followed.

6. Make written recommendations to the Provost regarding any aspect of the institution's animal program, facilities, or personnel training. The IACUC will file a report of its actions and recommendations with the Dean of Research and Graduate Studies within 30 days of its meetings. As a minimum, this will include the results and recommendations of the annual review for the institutions program for humane care and use of animals and the biannual review of animal facilities. Recommendations developed as a result of special meetings to address specific issues will be similarly forwarded. It will be incumbent on the Dean of Research and Graduate Studies to initiate discussions of these recommendations with appropriate University officers and to inform the IACUC of the final disposition of each matter.

7. Review and approve, require modifications in (to secure approval), or withhold approval of those activities related to the care and use of animals as set forth in the PHS Policy at IV.C.

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All research and teaching activities that involve the use of animals will be reviewed by the IACUC. Each investigator will be responsible to submit proposals to conform to the provisions of the DHHS Guide. The IACUC will provide a consultative service to investigators upon request to assist them with designing the appropriate section of the proposals.

Completed proposals will be reviewed by the IACUC with full consideration of items set forth in the PHS Policy at IV.C.1.a. through IV.C.1.g. The Guide will serve as a general guide to the IACUC in its review of proposals. Proposals deemed unacceptable by the IACUC will be returned to the investigator(s) for appropriate modification. If proposals are acceptable, written notice will be filed with the investigators, who will then be free to submit the proposal through usual channels of the University for further processing. The statement of approval must accompany proposals by the IACUC. The Office of Research and Graduate Studies will process no proposal not accompanied by the statement of approval from the IACUC, and no orders for the purchase of animals will be honored by the vivarium caretaker without IACUC approval.

These procedures will apply regardless of the final destination of the proposal. All projects conducted at the University of the Pacific that involve animals will be expected to conform to PHS policy.

Investigators at the University of the Pacific will be reminded annually of the necessity of complying with PHS policy and the procedures for obtaining approvals of their proposals by the IACUC. These procedures are outlined in the University’s Research Handbook and available from the Office of Research and Graduate Studies.

8. Review and approve, require modifications in (to secure approval), or withhold approval of proposed significant changes regarding the use of animals in ongoing activities as set forth in the PHS Policy at IV.C. It is incumbent upon investigator(s) to report, in writing, any plans to significantly modify any portion of an animal-use protocol previously approved by the IACUC to the Chairman of the IACUC. The chairman will inform the entire IACUC committee of proposed changes, and any member can request a full review by the IACUC committee. If a full review is not requested, the IACUC chair (or qualified designate from the IACUC committee) can review the changes and act upon on behalf of the committee. The investigators cannot proceed with the changes until the IACUC has given approval or has obtained modification of the proposed procedure to bring it into compliance with PHS and University policies. The investigator(s) will be informed of this policy in writing at the time each proposal is initially approved by the IACUC.

Each investigator will be required to file a statement annually with the IACUC that procedures relating to the humane care and use of animals have not changed from those outlined in the approved proposal or approved changes.

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9. Notify investigators and the institution in writing of its decision to approve or withhold approval of those activities related to the care and use of animals, or of modifications required to secure IACUC approval as set forth in the PHS Policy at IV.C.4.

Notifying InvestigatorsA written summary of IACUC action on each protocol will be provided to the investigator following the IACUC meeting. This summary will include any concerns by the committee and/or IACUC reviewer as well as any corrections that must be made before work can begin. If approval is withheld, the explicit reasons are identified and described. If approval is granted, the IACUC protocol number and expiration date of the approval are included.

InstitutionWritten summaries of IACUC action will be distributed to all IACUC members, the Dean of Research and Graduate Studies, the Provost, and Vivarium caretaker.

10. Conduct continuing review of each previously approved, ongoing activity covered by PHS Policy at appropriate intervals as determined by the IACUC, including a complete review in accordance with the PHS Policy at IV.C.1-4. at least once every three years. All animal protocols will be reviewed annually by the IACUC. For the first and second annual reviews, a “short-form” renewal process will be used, which verifies that no changes were made from the originally approved protocol (or approved amendments), and that the number of animals used did not exceed the approved amount. For third-year renewals, investigators will be required to submit a full protocol in a format identical to a new proposal, providing the opportunity for the IACUC to thoroughly review the protocol.

11. Be authorized to suspend an activity involving animals as set forth in the PHS Policy at IV.C.6.If in the opinion of the IACUC there is due cause to suspend an activity involving the use of animals, the Dean of Research and Graduate Studies and the Provost will be immediately informed and requested to initiate suspension the activity involving animals. The Provost or his/her designate must hear the matter within 24 hours of receiving the IACUC recommendation and initiate appropriate action. The IACUC will have full opportunity to present its findings at this hearing. In extreme cases, the IACUC will have the authority to suspend activity acting on its own authority. However, in these cases, the Provost or his/her designate must review the IACUC action within 24 hours of such action.

Authorized Verification of IACUC ApprovalsThe individuals authorized by this institution to verify IACUC approval of those sections of applications and proposals related to the care and use of animals are the

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Dean of Research and Graduate Studies, and the Grants & Contracts Administrator in the Office of Research and Graduate Studies.

Authorized Animals on the Stockton CampusThe only animals in use at the Stockton campus of the University of the Pacific are rodents, reptiles, and amphibians. No primates, felines, canines, ovines, bovines, or other mammals are currently used or housed in this institution. As long as this situation continues, the following will constitute the occupational health program for personnel working in and maintaining laboratory animal facilities. This program will be revised should it become necessary to house other species. Personnel will be instructed in appropriate hygiene procedures and the potential

hazards and recognition of common animal-borne diseases. Personnel will be required to have current tetanus immunization. A physical exam will be required at the time of initial employment. The institution will provide physical exams as needed. Personnel will be required to report sickness or unusual symptoms to their

supervisor. Medical attention will be provided as appropriate. Appropriate protective clothing will be provided for handling and caring for

animals being held in quarantine.

Protection from AnimalsThe vivarium caretaker will provide appropriate protection from animal dander, wastes, etc.. As part of the annual review of each protocol, all individuals involved in the project will be required to submit a written statement to determine if any problems related to allergens, animal wastes, etc. have arisen.

Animal FacilitiesThe total gross number of square feet in each animal facility (including each satellite facility), the species of animals housed therein and the average daily inventory of animals, by species, in each facility is provided in the table included as Appendix B.

Personnel TrainingThe training or instruction available to scientists, animal technicians, and other personnel involved in animal care, treatment, or use can come from:

Didactic InstructionAs needed, a short course will be conducted for new faculty, graduate students, post-doctoral trainees and research technicians to assure they are acquainted with appropriate practices in the care and use of animals in experimentation. The course will include the following:

Review of PHS and institutional policies concerning the humane care and use of laboratory animals, Discussion of ethical issues in the use of animals for research and teaching purposes,

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Principles and procedures of analgesia and anesthesia appropriate for the animal experimentation and species, Principles and procedures of euthanasia of laboratory animals, Introduction to non-animal models in research and biological testing, and Elements of experimental design that minimize unnecessary use of excessive numbers of animals.

Experienced InvestigatorsThe IACUC will request verification from each investigators submitting proposals for review that any personnel associated with the research or teaching activities will have completed the course or its equivalent prior to the initiation of the activity involving animals.

Vivarium Personnel & FacultyThe Chairman of the Department of Physiology and Pharmacology is responsible for the training and ongoing monitoring of the Vivarium technician in the School of Pharmacy and Health Sciences. The Chairman of the Department of Biological Sciences is likewise responsible for the training of individuals for that department. Training is initially provided by the respective Chairman or his/her designee using the NIH Guide as the basic training material and for the technician’s personal reference source. The University Veterinarian also provides training in the care and handling of animals as well as to dealing with the recognition of health problems that may arise. When possible, short courses and visitations are arranged for the technician to AAALAC-accredited facilities where appropriate procedures and practices of facility operation can be observed. Students receive training from the Vivarium technician and faculty in charge of the activity involving animals.

IV. INSTITUTIONAL STATUS As specified in the PHS Policy at IV.A.2, as Category 2, all of this institution's programs and facilities, including satellite facilities, for activities involving animals have been evaluated by the IACUC and will be reevaluated by the IACUC at least once every six months in accord with IV.B.1. and 2. of the PHS Policy, and reports prepared in accord with IV.B.3. of the PHS Policy.

All IACUC semiannual reports will include a description of the nature and extent of this institution's adherence to the Guide. Any departures from the Guide will be identified specifically and reasons for each departure will be stated. Reports will distinguish significant deficiencies from minor deficiencies. Where program or facility deficiencies are noted, reports will contain a reasonable and specific plan and schedule for correcting each deficiency. Semiannual reports of the IACUC evaluations will be submitted to the Provost. Semiannual reports of IACUC evaluations will be maintained by this institution and made available to the Office for Protection from Research Risks (OPRR) upon request. The most recent semiannual report of the IACUC is attached and appears as Appendix C.

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V. RECORD KEEPING REQUIREMENTS A. This institution will maintain for at least three years:

A copy of this Assurance and any modifications thereto, as approved by PHS. Minutes of IACUC meetings, including records of attendance, activities of the committee, and committee deliberations. Records of applications, proposals, and proposed significant changes in the care and use of animals and whether IACUC approval was given or withheld. Records of semiannual IACUC reports and recommendations (including minority views) as forwarded to the Provost. Records of accrediting body determinations

B. This institution will maintain records that relate directly to applications, proposals, and proposed changes in ongoing activities reviewed and approved by the IACUC for the duration of the activity and for an additional three years after completion of the activity.

C. All records shall be accessible for inspection and copying by authorized OPRR or other PHS representatives at reasonable times and in a reasonable manner.

VI. REPORTING REQUIREMENTS A. At least once every 12 months, the IACUC, through the Institutional Official, will

report in writing to OPRR:

1. Any change in the status of the institution (e.g., if the institution becomes accredited by AAALAC or AAALAC accreditation is revoked), any change in the description of the institution's program for animal care and use as described in this Assurance, or any changes in IACUC membership. If there are no changes to report, this institution will provide OPRR with written notification that there are no changes.

2. Notification of the dates that the IACUC conducted its semiannual evaluations of the institution's program and facilities (including satellite facilities) and submitted the evaluations to the Provost.

B. The IACUC, through the Institutional Official, will provide the OPRR promptly with a full explanation of the circumstances and actions taken with respect to

1. Any serious or continuing noncompliance with the PHS Policy.

2. Any serious deviations from the provisions of the Guide

3. Any suspension of an activity by the IACUC.

C. Reports filed under VI.A. and VI.B. above shall include any minority views filed by members of the IACUC.

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IRB Policy

Summary: Establishes University policy on the use of human

subjects in research.



In order to comply with state and federal regulations, it is University of the Pacific policy that studies involving human subjects at or sponsored by the University be reviewed by the Institutional Review Board (IRB) prior to implementation.

The process for this review is set forth in the “Research with Human Subjects Investigators Manual.” Copies of this manual and the required forms are available in the Research & Graduate Studies office.

Charge and MembershipThe University of the Pacific Institutional Review Board (IRB) is responsible for holding all research projects involving human subjects to the standards set out in the Code of Federal Regulations, 45 CFR 46. The IRB committee reviews, examines and evaluates proposals for experimentation using human subjects in accordance with guidelines supplied by the Office for Human Research Protections (OHRP) of the Department of Health and Human Services.

The Committee is charged with determining: risks to human subjects; benefits to subjects and/or society; specific nature of subjects participation including;

recruitment of subjects, voluntary nature of subject participation, informed consent, remuneration (if any) to subject, specific procedures to be followed.

The IRB committee must have at least five members, with varying backgrounds to promote complete and adequate review of research activities commonly conducted by the institution. The Provost shall make appointment to the IRB committee. The IRB can have as many members as necessary for it to perform its duties effectively. However, care should be taken to ensure that it does not become so large that its management becomes cumbersome. The IRB committee shall schedule monthly meeting during the academic year.

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The IRB must be sufficiently qualified through the experience and expertise of its members and the diversity of their backgrounds, including considerations of their racial and cultural heritage and their sensitivity to issues such as community attitudes, to promote respect for its advice and counsel in safeguarding the rights and welfare of human subjects. In addition to possessing the professional competence necessary to review specific research activities, the IRB must be able to ascertain the acceptability of proposed research in terms of institutional commitments and regulations, applicable law, and standards of professional conduct and practice. The IRB must therefore include persons knowledgeable in these areas. The IRB may not consist entirely of members of one profession.

The IRB must include at least one member whose primary concerns are in scientific areas and at least one member whose primary concerns are in nonscientific areas. The IRB committee must also include at least one member who is not otherwise affiliated with the institution and who is not part of the immediate family of a person who is affiliated with the institution. The IRB must make every nondiscriminatory effort to ensure that it does not consist entirely of men or entirely of women. Selections must not, however, be made on the basis of gender. An IRB may, in its discretion, invite individuals (adjunct members) with competence in special areas to assist in the review of issues that require expertise beyond or in addition to that available on the IRB. These adjunct members may not vote.

The nonaffiliated member(s) of the IRB will be drawn from the local community-at-large. Ministers, teachers, attorneys, businesspersons, or homemakers are possible candidates. The person(s) selected should be knowledgeable about the local community and be willing to discuss issues and research from that perspective. Consideration will be given to the type of community from which the institution may draw its research subjects. The nonaffiliated member(s) should not be vulnerable to intimidation by the professionals on the IRB, and their services should be fully utilized by the IRB.

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Environmental Safety Policy

Summary: Establishes University policy on environmental safety.

Administered by: Office of Budget and Risk Management

Contact Person: Occupational and Environmental Safety Officer

The University of the Pacific’s Occupational and Environmental Safety Officer has developed an Environmental Policy, and Policy Manual. This policy minimizes the possibility of violation of environmental laws by University staff, faculty and students. Topics covered in the manual include:

Structure, Duties and Responsibilities Water Resources Management Oil and Hazardous Substance Spills Hazardous Materials Management Hazardous and Solid Waste Management Air Program Environmental Noise Management Asbestos Management Radon Reduction Management Pollution Prevention Environmental Restoration Programs

If you have questions, or to obtain a copy of the Manual, contact the Occupational and Environmental Safety Officer at 6-2783.

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Occupational Safety Policy

Summary: Establishes University policy on occupational safety

Administered by: Office of Budget and Risk Management

Contact Person: Occupational and Environmental Safety Officer

The University of the Pacific’s Occupational and Environmental Safety Officer has developed an Occupational Safety Policy, and Policy Manual. This policy minimizes the possibility of occupational injuries by University staff, faculty and students. Topics covered in the manual include:

Structure, Duties and Responsibilities Safety Program Structure and Activities Safety Standards Safety and Occupational Health Inspections of Facilities Standard Safety Staff Functions and Tasks

If you have questions, or to obtain a copy of the Manual, contact the Occupational and Environmental Safety Officer at 6-2783.

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DRAFT - DRAFT – DRAFT – DRAFT - DRAFT


Policy on Conflicts of Interest and Commitment

Draft Completed: June 2002Approved:

Conflict of CommitmentThe objectives of the University are served and its programs enriched by the active participation of its employees in outside activities that contribute to the advancement of the employees’ professions or provide an opportunity for professional growth through interaction with industry, business, government and other institutions of our society. However, University of the Pacific faculty members owe their primary professional loyalty to the University, and their primary commitment of time and intellectual energies should be to the education, scholarship, research and public service programs of the University.

Efforts by faculty to balance University responsibilities with external activities – such as consulting, public service or pro bono work – may inadvertently result in conflicts regarding allocation of time and energies. Whenever an individual’s primary professional loyalty is not to the University, a conflict of commitment exists.

The specific responsibilities and professional activities that constitute a primary commitment will differ across schools and departments, but they should be based on an understanding between the faculty member and his or her department chair and school dean. Therefore, the goal of this policy is not to provide specific rules covering all possible situations, but rather to establish the spirit in which professional interactions with external organizations should be undertaken.

Additionally, the potential for conflicts is greater for those in managerial or supervisory positions, but conflict of interest situations can arise for anyone. All members of the University community should consult with an appropriate supervisor when it appears there may be a conflict.

Conflict of InterestA conflict of interest occurs when there is a divergence between an individual’s private interests and his or her professional obligations to the University such that an independent observer might reasonably question whether the individual’s professional actions or decisions are determined by considerations of personal gain, financial or otherwise. A conflict of interest depends on the situation, and not on the character or actions of the individual.

Conflicts of interest can arise out of various situations, such as consulting arrangements, and the commercialization of technologies derived from faculty research. It is appropriate that faculty be rewarded for their participation in these activities; however, it is inappropriate for an individual’s actions or decisions made in the course of his or her University activities to be determined by considerations of personal financial gain. Such behavior calls into question

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the professional objectivity and ethics of the individual, and it also reflects negatively on the University.

Faculty members should conduct their affairs so as to avoid or minimize conflicts of interest, and must respond appropriately when such conflicts arise. To that end, the purposes of this policy are to educate faculty about situations that generate conflicts of interest, to provide means for faculty and the University to manage such conflicts, to promote the best interests of students and others whose work depends on faculty direction, and to describe situations that are inappropriate.

Every faculty member has an obligation to become familiar with, and abide by, the provisions of this policy. If a situation raising questions of conflict of commitment or interest arises, faculty are urged to discuss the situation with their department chair, school/college dean, or the Dean of Research and Graduate Studies.

SummaryBelow is a summary of the key provisions of this Policy.

Faculty must maintain a significant presence on campus throughout each semester that they are actively employed. Faculty must not allow other professional activities to detract from their primary allegiance to the University of the Pacific. For example, a faculty member that is employed full-time should not have significant outside managerial responsibilities nor act as a principal investigator on sponsored projects that could be conducted at the Univesity but instead are submitted and managed through another institution. Faculty should foster an atmosphere of academic freedom by promoting the open and timely exchange of results of scholarly activities, and ensuring that their advising of students is independent of personal commercial interests. They should inform students and colleagues about outside obligations that might influence the free exchange of scholarly information between them and the faculty member. Faculty may not use University resources, including facilities, personnel, equipment or confidential information, except in a purely incidental way, as part of their outside consulting activities or for any other purposes that are unrelated to the education, scholarship, research and public service missions of the University. Faculty must disclose on a timely basis the creation or discovery of all potentially patentable inventions created or discovered in the course of their University activities or with more than incidental use of University resources. Ownership of such inventions must be assigned to the University regardless of source of funding. The inventor will share in royalties earned. Faculty must disclose to the University whether they (or members of their immediate family) have consulting arrangements, significant financial interests, or employment in an outside entity before the University will approve the following proposed arrangements between such entities and the University: a) gifts; b) sponsored projects; c) technology licensing arrangements; d.) procurements; and courses or educational programs.

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In response to requirements of the National Science Foundation (NSF) or Public Health Service (PHS), any faculty member requesting funding from these agencies must report to the University the existence of any significant financial interest that would reasonably appear to be affected by that research activity. Significant financial interest is defined as payments for services, equity interests, or intellectual property rights in the name of the researcher or the researcher’s spouse and dependent children. Faculty members should contact the Office of Sponsored Programs for guidelines on what amounts currently qualify as significant financial interest. Also, other government agencies may institute conflict of interest requirements, and the Office of Sponsored Programs will keep faculty apprised of those. In situations where the objectivity of a faculty member could reasonably be questioned, the dean of a school may establish an independent oversight committee to review the appropriateness of the proposed activity to be conducted at the University. School/college deans shall review and approve exceptions to this policy and establish guidelines to ensure timely review of their faculty’s disclosures of potential or apparent conflicts. Such guidelines shall involve representatives from the school’s faculty as part of the reviewing body. The Dean of Research & Graduate Studies will approve all special cases outlined in #6 above relating to research and scholarly activities, and respond to faculty wishing to appeal school deans’ decisions. Appeals by faculty members of decisions made by the Dean of Research & Graduate Studies or by an school/college dean are made to the Provost in writing.

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Policy on Integrity in Research and Scholarship

Original approval: Faculty Research Committee, 11-15-90;Academic Council, 12-13-90

Revisions approved: Faculty Research Committee, 9-14-98;Academic Council, 10-8-98

Sections in brackets refer to Federal regulation 42 CFR Part 50, Subpart A

Summary: Establishes University policy on integrity in scholarship and research.



PERSONS TO WHOM THIS POLICY APPLIES:Every member of the University community on all three campuses is responsible for maintaining integrity in scholarship and investigative research (specifically, faculty, staff, and students who conduct or are employed in research). Faculty and staff who are identified as principal investigators are held responsible for the integrity of their research results and for supervising the scientific and scholarly conduct of colleagues, staff and students engaged in their projects. Publications which embody research results should list only those authors who have contributed to the research, who have reviewed the findings and manuscripts, and who are prepared to stand behind and defend their contributions.

BACKGROUND:The University of the Pacific is committed to maintaining the integrity of its scholarship and investigative research and to fostering a climate conducive to integrity in its scientific investigations. One feature of this commitment is the establishment of policies and procedures for responding to allegations of scientific and/or scholarly misconduct that will apply to all members of the University community. This policy does not supplant, but does reinforce existing University policies relating to the codes of conduct and discipline for faculty, students and staff of the University. The procedures outlined in this policy relate to the investigation and findings for establishing whether or not scientific and or scholarly misconduct has occurred. Appropriate sanction, discipline, corrective action or other University response following a finding of misconduct shall follow normal faculty, administrative and student personnel procedures.

There are three stages outlined in this policy for determining or precluding a finding of scholarly or scientific misconduct. They are an initial inquiry, an administrative review, and an investigation. The process is designed to be credible, expeditious, based on presumptions of innocence and regularity, and fair to all persons concerned. Because the

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professional and personal reputations of persons in the academic community are affected by allegations of misconduct, these procedures are designed to afford confidential treatment where possible, to provide opportunities to comment on allegations and findings, and to provide protection to persons who report in good faith the perceived misconduct of others. In addition to fair process in handling allegations of scientific or scholarly misconduct, the University acknowledges its responsibility to protect the integrity of its scholarship to the general community and to its funding agencies.

DEFINITIONSAllegation Any written or oral statement or other indication of possible scientific misconduct made to an institutional official.

Misconduct Misconduct refers to scholarly and/or scientific misconduct and means fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scholarly community for proposing, conducting or reporting research. It does not include honest error or honest differences in interpretations or judgements of data.

Initial Inquiry The gathering of information and preliminary facts by a Special Inquiry Officer for the purpose of resolving an allegation of misconduct.

Administrative Review Information gathering to determine whether an allegation of misconduct warrants an investigation.

Investigation A formal investigation, examination, and evaluation to determine whether or not there is probable cause to conclude that misconduct has occurred.

Special Inquiry Officer On each of the three campuses of the University, one tenured member of the full-time faculty will be designated by the Provost, in consultation with the Executive Board of the Academic Council, as the person to whom allegations of misconduct will be referred. The Officer has the following responsibilities:

Resolve allegations of misconduct at the initial inquiry stage if possible. Conduct initial inquiry if, in his/her judgement, good cause exists to warrant one. Refer an initial inquiry for administrative review if in his/her judgement good cause exists to make that referral. Assist the administrative officers and staff of the University in implementing inquiry, review and investigative procedures under this policy. Present allegations to review and investigative panels established under this policy. Maintain records of complaints, and allegations, reports, and University responses to charges of misconduct for a period of three years following the completion of University action. Assure that University policies on integrity on research and scholarship are known to the University community.

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PROCEDURESAllegations of misconduct originating from any source are normally addressed or referred to the Special Inquiry Officer (SIO) for the campus where the alleged misconduct has taken place. Should the SIO perceive an actual or an apparent conflict of interest which could compromise his or her impartiality in fulfilling their responsibilities under this policy, or if the alleged misconduct occurred on more than one campus, the Provost in consultation with the Executive Board of the Academic Council will appoint an alternate to perform this responsibility. The SIO is also responsible for evaluating the individuals and information during the course of the Initial Inquiry and/or the Administrative Review to make appropriate suggestions for changes to the Provost to prevent real or apparent conflicts of interest.

INITIAL INQUIRYThe SIO will review and attempt to resolve allegations of misconduct under this policy. Upon receiving an allegation of scientific misconduct, the SIO will immediately assess the allegation to determine whether there is sufficient evidence to warrant an inquiry, whether PHS funding is involved, and whether the allegation falls under the PHS definition of scientific misconduct. Ordinarily, the SIO will contact the person(s) making allegations and the person(s) who are subject of the allegations in order to establish the precise nature of the charges, to rule out malicious or frivolous referrals, and to explain the provisions and process of this policy.

If the SIO preliminarily finds an allegation falls within the definition of misconduct in science and involves PHS funding, the SIO must ensure that all original research records and materials relevant to the allegation are immediately secured. The SIO may consult with the Dean of Research, Provost, and/or the USPHS Office of Research Integrity (ORI) for advice and assistance. [50.103(d)(11)]

The SIO must also confer the Research Administration official in the finance center to ensure that Federal funds are protected and that the purposes of the Federal financial assistance are being carried out. [50.103(d)(11)]

The SIO will make every effort to discover all relevant facts and to take whatever steps are necessary to assure the remedy of any discovered impropriety. No part of these procedures shall be interpreted to preempt either the right of persons alleging misconduct to withdraw allegations or the right of persons against whom allegations have been made to concede misconduct and to propose appropriate remedies.

If the SIO reaches resolution of the allegations at this stage, then the SIO will prepare a brief written report, stating what facts were reviewed, summarizing both these facts and relevant interviews and stating conclusions reached. If resolution by the SIO determines that no further action is warranted, the complainant and the subject of the complaint will be notified of that fact, in writing, by the SIO. In addition, the SIO will provide the USPHS ORI a report of the termination of the inquiry, which includes description of the reasons for terminating the inquiry. All written materials relevant to the initial inquiry will be confidentially maintained by the SIO in a secure place for a period of three years from the conclusion of the initial inquiry. This

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documentation will be available to authorized personnel of the U.S. Health and Human Services upon request.

The SIO, through the Provost, will promptly notify agencies that provide extramural funding supporting University research when any of the following conditions exist: An immediate health hazard is involved. There is an immediate need to protect federal funds, equipment, resources, or

persons. There is an immediate need to protect the person(s) making the allegations or the

person(s) who is/are the subject of the allegations as well as the co-investigators and associates, if any.

It is probable that the alleged incident is going to be reported publicly. If there is a reasonable indication of possible criminal violation, the University

will notify the agency’s appropriate office within twenty-four (24) hours. The allegations of misconduct have been referred following administrative review

for formal investigation.The SIO shall complete his or her initial inquiry as expeditiously as possible but no later than fifteen calendar days following the receipt of a complaint or allegation.

The SIO shall assure that confidentiality shall be maintained to protect the privacy and professional reputations of persons who allege misconduct and the persons against whom such charges are lodged. At the time that a referral under this policy is made for formal investigation, the identity of complaining witnesses and summarized data supporting those charges will be made available to persons charged with misconduct. Any person charged with misconduct is entitled to have the assistance of a person of his or her choice in responding to these procedures. That advisor may confer with the person during any proceedings under this policy but may not participate in the proceedings and may not act in place of the personal attendance of the person charged. The SIO is responsible for assuring that all procedures under this policy are conducted in accord with generally accepted standards of fairness and procedural due process.

ADMINISTRATIVE REVIEWIf there is no resolution reached at the Initial Inquiry stage, the SIO will refer the matter to the Provost who in consultation with the Chairperson of the Academic Council, will appoint an ad hoc Administrative Review Panel of three tenured members of the full-time University of the Pacific faculty. The SIO will serve as staff to the Administrative Review Panel (ARP) and will present the results of his or her initial inquiry to the panel. At least one of the ARP members should be from the faculty of a school or college other than the academic unit in which the misconduct is alleged to have occurred. One member of the panel is appointed from the Faculty Research Committee. Panel members should be free of conflicts of interest and should have suitable professional backgrounds for examining the issues involved in the alleged misconduct. The ARP will elect its own chairperson.

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The Administrative Review will commence within thirty days after the completion of the Initial Inquiry.

The ARP shall immediately commence its investigations concerning possible misconduct by reviewing the documentation and report of the SIO. The researcher under review will be informed by the SIO of the allegation and of the fact that an administrative review has been initiated. During the administrative review, the ARP may interview any persons having relevant information, including the persons making the allegation, the researcher under review, supervisors, and those assisting in the research. A policy of strict confidentiality is to be maintained throughout the review process, and only persons with a “need to know” are to be informed of the matter. The ARP and SIO are to avail themselves of any necessary and appropriate expertise to evaluate the allegations and to permit them to arrive at conclusions about the substance of the misconduct.

The interim administrative measures put in place during the Initial Inquiry phase are intended to protect Federal funds and to ensure that the purposes of the Federal financial assistance are being carried out. These measures will be continued while the Administrative Review is conducted.

The researcher under review is expected to cooperate fully with the ARP. The person charged with misconduct is entitled to consult with another person of his or her choice who may attend any interviews or sessions with the person charged, but may not participate in or record any proceedings.

If the investigation of the alleged misconduct is discontinued for any reason without completing all of the relevant requirements under 50.103(d), the ARP will submit a written report to the Provost of the terminated investigation that includes a description of the reasons for the termination. The Provost will provide this report to the USPHS Office of Research Integrity.

The ARP will prepare a written report which will review the data which the panel received, will summarize relevant interviews, incorporate relevant documents and set forth the panel’s conclusions and recommendations. The persons against whom allegations have been made will be given a copy of the report and an opportunity to comment on the report. The report will recommend either that:

The complaint and allegations should be dismissed because it has been determined that the allegations were frivolous, malicious or that insufficient evidence was produced to warrant further proceedings. In the case of this finding, diligent efforts shall be undertaken to restore the reputation of the researcher under investigation. All parties and agencies notified of the alleged misconduct will be notified that the allegations are without merit and that the investigation has been terminated.

OR

An investigation should be conducted because sufficient evidence has been discovered during the administrative review to justify a formal investigation.

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The administrative review and report shall be completed within forty-five calendar days. Should the ARP find that it is unable to complete its responsibilities within this time limit, the panel will provide the Provost with written documentation justifying the delay. Records and reports generated by the ARP will be maintained by the SIO in a secure place for a period of three (3) years following the submission of its report, findings and recommendations. This documentation will be available to authorized personnel of the U.S. Health and Human Services upon request [50.103(d)(10)].

INVESTIGATIONIf the Administrative Review Panel recommends that there are sufficient grounds to refer the allegations of misconduct for an investigation, then the Provost shall promptly and formally notify the researcher under investigation that allegations of misconduct have been made and will specify the general nature of the charges. The notification will also include the procedures under which the investigation will be carried out and will include a copy of this policy and any other implementing materials. Copies of this confidential notice will be directed to the Chair of the department and the Dean of the school or college the researcher is affiliated with. Extramural funding agencies will be notified in accordance with the criteria listed in paragraph 4(a) through (f) of the policy detailing Initial Inquiry procedures.

The Provost, in consultation with the Chairperson of the Academic Council, shall appoint an ad hoc Investigation Committee (IC) of not less than 5 tenured members of the full-time University of the Pacific faculty. The SIO will be appointed to serve as staff to the IC and will present the case to the committee. The Committee shall select its own Chairperson.

The SIO and the IC shall be provided with access to legal counsel to assure that its investigation meets appropriate due process standards for academic institutions. Any special procedures that vary from this policy document will be provided in writing to the researcher under investigation at the earliest opportunity. The researcher under investigation shall have access to a person of his or her choosing for advice and council at all stages of the investigation. Such advisory person may not participate in nor record any investigation proceedings in which they are in attendance.

The investigation will include examination of all documentation, including but not necessarily limited to relevant research data, proposals, publications, correspondence, and memoranda of telephone calls. The committee conducting the investigation will make every effort to interview all individuals who have made the allegation, been the subject of the allegation, or possess relevant information concerning the charges of misconduct. Complete summaries of these interviews should be prepared, given to the interviewed party for comment or revision, and included as part of the investigation file. The committee will secure whatever professional expertise it believes is necessary and appropriate to carry out a thorough and authoritative evaluation of the allegations of misconduct.

During the investigation and throughout any proceedings initiated under this policy, the University will protect the rights, the reputation, and professional and institutional

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standing of all persons against whom charges of scientific and or scholarly misconduct has been made by preserving confidences in accord with this policy, by a prompt and thorough investigation and by providing persons charged with the opportunity to comment on the allegations, the proof submitted in support of those allegations, and the findings and conclusions resulting from an investigation. The University will also act to protect the rights, reputation and professional standing of persons who in good faith report suspected scholarly and or scientific misconduct.

The ad hoc Investigation Committee shall confer in executive session to organize its work, to deliberate on its findings and conclusions and to prepare its report. The committee will determine whether under all the facts and circumstances probable cause exists to believe that scientific and or scholarly misconduct has occurred. The research that is the subject of the investigation shall be considered in the context of the researcher’s scholarly work as a whole. The committee will advise all relevant collaborators or supervisors of the existence of the investigation, and will provide them with an opportunity to respond to any allegations affecting them and will receive and evaluate such additional information that they may provide.

The ad hoc committee will complete its investigation within sixty days from their appointment and will submit a final written report to the Provost. Confidentiality shall be maintained during formal hearing sessions. The researcher under review shall have the right to have a consultant present and may request that additional observers be present at formal hearing sessions. The committee shall retain the right to limit or exclude observers and spectators from a hearing session if they deem that procedure necessary to maintain a secure and orderly hearing. If the committee finds that it is unable to complete its work and submit its report within sixty calendar days, then the committee must request an extension of time from the Provost outlining the reasons for the delay, progress to date, and an estimated date for completion. This report will form the basis for a request of extension to the ORI.

The committee’s final report shall include a finding that no misconduct occurred or that there is cause to believe that misconduct has occurred. The report must describe the policies and procedures under which the investigation was conducted, how and from whom information was obtained relevant to the investigation, the findings and conclusions. The report must include the actual text or an accurate summary of the views of any persons found to have engaged in misconduct, as well as a description of any sanctions or disciplinary action taken by the University.

The committee’s final report and all records of the committee shall be retained in a secure place by the Provost for a period of three years and be available to authorized Public Health Service officials upon request.

POST INVESTIGATIVE ACTIONSOn receipt of the committee’s finding that no misconduct has occurred, the Provost will notify all persons who received notice of the investigation, including extramural and funding agencies. Diligent efforts shall be made to protect and or restore the reputation of any person charged with misconduct who has been cleared by the

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committee investigation. No reference to the investigation shall appear as an entry in the personnel file of an accused person who has been cleared. Steps to protect the reputation of a person cleared by the committee might include a public statement about the allegations designed to make certain the researcher’s professional standing is not diminished. In addition, persons whose involvement in making unfounded and bad faith allegations against a researcher should be referred to appropriate agencies for disciplinary action.

Upon a committee finding that there is probable cause to believe that misconduct has occurred, the Provost, the SIO, the researcher’s supervisor, dean and department chair and other affected researchers will confer to determine appropriate administrative, ameliorative, and corrective action. Such actions would include notification to sponsoring and funding agencies and notice to scholarly journals requesting that published abstracts, references, and papers be withdrawn. The Provost shall also initiate appropriate disciplinary procedures for faculty as specified in the Operations Manual and Handbook for Academic Personnel. Staff researchers who are charged with misconduct who are not faculty members will be referred to the Director of Personnel Services for appropriate disciplinary action. Student researchers who are charged with misconduct will be referred to the Vice President of Student Life for appropriate disciplinary action.

REPORTING REQUIREMENTS and RECORD KEEPINGWhen an investigation is initiated, a written report must be provided to the Director of the USPHS Office of Research Integrity (ORI), on or before the date the investigation begins. At a minimum, this notification should include the name of the person(s) against whom the allegations have been made, the general nature of the allegation as it relates to the PHS definition of scientific misconduct, and the PHS application or grant number(s) involved. The ORI must also be notified of the final outcome of the investigation and must be provided with a copy of the investigation report. Any significant variation from the University policies and procedures should be explained in any reports submitted to the ORI.

The SIO is responsible for promptly advising the PHS ORI of any developments during the course of the Initial Inquiry or Investigation that disclose facts that may affect current or potential Department of Health and Human Services funding for the individual(s) under investigation or that the PHS needs to know to ensure appropriate use of Federal funds and otherwise protect the public interest. [50.103(d)(12)]

If an inquiry or investigation is terminated for any reason without completing all relevant requirements of the USPHS regulation, the SIO must submit a report of the termination to the ORI, including a description of the reasons for the proposed termination.

If the SIO, ARP, Provost, or other institutional official determines that the investigation cannot be completed and the final report submitted to the ORI within 120 days from the time of the initial allegation, the SIO must submit a written request for an extension to the ORI. This request must include a summary of the progress to date, an explanation of the

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delay, an estimate of the completion date, and steps yet to be completed. If the request for extension is granted, the SIO must file periodic progress reports as requested by the ORI.

When PHS funding or applications for funding are involved and an admission of scientific misconduct is made, the SIO will contact the ORI for consultation and advice. When the case does involve PHS funds, the University cannot accept an admission of scientific misconduct as a basis for closing a case or not undertaking an investigation without prior approval from the USPHS ORI.

At the completion of an inquiry or investigation, the SIO will prepare a complete file, including copies of all documents and other materials furnished to the SIO or committees. The SIO will keep the file in a secure place for three (3) years after the completion of the case. This written documentation will be made available to the USPH ORI or other authorized Department of Health and Human Services personnel upon request.

COMPLIANCE WITH FEDERAL REGULATIONSThis policy is intended to comply with Title 42, Part 50, Subpart A of the Code of Federal Regulations.

University of the PacificIndirect Reimbursement Allocations

Effective: July 1, 1999The formula for the distribution of indirect cost reimbursements received from grants and contracts is as follows: 50%, General Fund; 30%, Academic Unit; 20%, Grants Office (Research and Graduate Studies).

Exhibit 1. (Amounts are the historical average from 1994-1999)

Use from General Fund Use Intended Function

$130KCurrentBudget

Allocation

Grants/ContractsAdministrator Pre-award administration

Grants/ContractsAuditor Post-award administration

Benefits for administrator & auditor positions

Operations

office expenses, dues, staff training campus workshops, inservice programs computer software/hardware grant resources/publications

$20K--SRE earnings

Indirect Distribution

$130KIndirect

Recoveries

50% General Fund($65K)

University overhead costs

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30% Academic Unit($39K)

UG & GR research faculty seed/bridge grants research equipment Research Assistantship

20% Grants Office($26K)

student/faculty research campus programs special projects--staff training/travel--

NotesSpecial University-wide grants or contracts or large magnitude may require special allocation arrangements, which would supercede the disbursement formula. For example, a multimillion-dollar award may require that all indirect income be used to support the grant in offices campus-wide.

In cases where two or more units are participating in a grant or contract and the apportionment of indirect costs for each unit may not be quantified, the Dean of Research and Graduate studies will, upon consultation with the appropriate unit heads and the Provost, decide how to apportion indirect reimbursements.

This formula is approved for a three-year trial period and is due for re-evaluation during the 2001-2002 academic year.

Procedures Operating expenses and salaries/benefits are budgeted annually in the current fund budget.

Restrictions for the "Academic Unit" and "Research Office" portions: Funds cannot go directly to the investigators who generated the indirects, but must be used to enhanced research/scholarly activities as a whole, including (but not limited to): Undergraduate and graduate student research and scholarly activity. General support of faculty research and other scholarly activity (i.e., cannot

be used to support individual projects supported by external funds). Support for the applied mission of the academic unit (e.g. training programs). Seed & bridge grants for faculty projects not otherwise funded. Unexpected expenses to complete projects. Unit-shared equipment. Ad hoc training opportunities, seminars, inservice programs, etc. Research assistantships for graduate and undergraduate students. Expenses related to establishing off-campus connections for research and

other scholarly activity. Special research-related projects/activities. To receive the "Academic Unit" portion, a restricted fund account will be established for each unit (e.g., the Pharmacy Scholarly Activity Account, etc.) Expenses may be subject to review for propriety.

Some Goals of the Indirect Reimbursement Program Reduce dependency of research/scholarly activity support from current fund budgets

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Invigorate the scholarly activity environment; improve support of research/scholarly activity campus-wide. Improve research/scholarly activity resources to positively impact graduate student support & recruitment. Reduce dependency of utilizing only teaching assistantships to provide aid to graduate students.

Foster new projects and collaborations among faculty and students, as well as encourage collaborative efforts with other academic and industrial institutions.

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Chapter 5 Financial Management of Grants and Contracts

General Overview………………………………………………………………… 5-2

Fiscal Responsibilities…………………………………………………………….. 5-3 Principal Investigator…………………………………………………………. 5-3 Office of Sponsored Programs………………………………………………... 5-4

Cost Policy……………………………………………………………………….. 5-4

Indirect Costs…………………………………………………………………….. 5-5

Fringe Benefit Rate……………………………………………………………….. 5-6

Cost Sharing………………………………………………………………………. 5-6

Grant and Contract Expenses……………………………………………………... 5-6

Time and Effort Reporting……………………………………………………….. 5-7

Grant Closeout & Year-End Requirements………………………………………. 5-9

Record Retention Schedule……………………………………………………….. 5-10

Sponsored Programs Management

The following is an excerpt from CHAPTER 11 of the University of the Pacific Business Policiesand Procedures Manual. Additional financial guidelines can be found in that Manual.

General OverviewSponsored programs are established when funds are awarded to the University by external sources in support of research, instruction, training, or service under an agreement. Proposals for grants and contracts are processed through the Office of Sponsored Programs. The Office of Sponsored Programs sets out criteria for determining if external support for a project should be handled as a sponsored program. See Section II below. Note: External support that does not meet these criteria is handled as a gifts.

Account Creation - When a grant or contract has been awarded, the Office of Sponsored Programs assigns a fund number for the project, establishes the related expenditure accounts based on the budget provided, and handles any subsequent accounting system maintenance during the life of the award.

Reporting - The Office of Sponsored Programs prepares financial reports for submission to funding agencies, submits invoices, and processes payments. In addition, this office reviews charges to sponsored accounts to determine compliance with both the University and agency regulations. Furthermore, this office is responsible for reporting on sponsored activity at the University and for the coordination of audit activity on sponsored accounts.

Closeout - Accounting records for grant and contract accounts are closed for reporting purposes at fiscal year end. The entire budget and expenditures are carried forward to the new fiscal year expenditure statements and can be seen on the Grant Inception to Date Report. However, the fund statement for the award will show only the net funding carried forward from the prior fiscal year, and any new funds received in the current year.

Sub-allocations - A sub-allocation of a grant or contract may be set up to handle accounting for:

A subcontract Separate portions of the work Fabrication of capital equipment A conference associated with the project

Sponsor Approval - The terms of the award and governing cost principles may require approval from the agency for such actions as amending budgets, travel or purchasing capital equipment. The Office of Sponsored Programs processes these approval requests. No-cost extensions (an extension of the grant ending date, with no additional funding) and carry-forward of funds (to the next project year) are processed by the Office of Sponsored Programs as well. Generally, line item transfers that are more than 10% are to be approved by the funding agency. The grant document and the Office of Sponsored Programs can assist in making a determination when permission to transfer funds between budget line items is to be approved by the funding agency.

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Individual Responsibility - Ethics and integrity are the responsibility of each individual. Therefore, every member of the faculty and staff, and any other person acting on behalf of the University, is responsible for ethical conduct consistent with the University’s policies. University administration, principal investigators, department heads and others in supervisory positions must assume responsibility for ensuring that their conduct and the conduct of those they supervise complies with this code.

Business Activities - Business activities undertaken on behalf of the University with the public, the government, suppliers, students and one another must reflect the highest standards of honesty, integrity and fairness. Each individual must be especially careful to avoid even the appearance of misconduct or impropriety.

Fiscal Responsibilities on Grant and Contract Accounts – Principal InvestigatorsGeneral - Faculty and staff members who direct sponsored programs under University auspices have an important public, as well as professional, responsibility to manage these programs carefully. Although the legal agreement funding a sponsored program is between the sponsor and the University, the overall responsibility for management of a sponsored program within funding limitations rests with the Principal Investigator (PI). Funds must be expended within the restrictions of the contract or grant, and if any overdraft should occur, it is the responsibility of the PI to clear the overdraft by transferring charges to an appropriate account.

Responsibilities – Principal Investigators serve as the primary individuals responsible for the scientific integrity and fiscal and administrative management of the program. The PI should be cognizant of, and adhere to, all sponsor-imposed terms and conditions, as well as University policies and procedures related to administering sponsored agreements. This includes all relevant government and University regulations regarding the use of human and animal subjects, biohazards and bio-safety, occupational health and safety, conflicts of interest, and purchasing and equipment management policies.

The Principal Investigator must obtain prior approvals from the Office of Sponsored Programs or work with the Office of Sponsored Programs to request prior approval from the sponsor for post-award changes related to the conduct or scope of the work and/or expenditure of funds awarded.

Principal Investigators must observe University and campus policy and procedures to protect intellectual property rights and academic freedom.

Principal Investigators must supervise program personnel including co-PIs, post-doctoral associates and students (both graduate and undergraduate).

Principal Investigators must submit technical/programmatic progress reports in a timely fashion to the sponsor as required by the terms and conditions of the award.

Principal Investigators must manage and control project funds in a prudent manner and expend funds in accordance with the restrictions imposed by the award terms and conditions and University policy. Funds should only be expended to directly support

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the project effort and expenditures should not exceed the total amount of funds awarded. Deficits and disallowances incurred against the sponsored program account are the responsibility of the PI.

The Principal Investigator (PI) is accountable for the accuracy, allowability, allocability, appropriateness and timely review of charges to a grant or contract account (or a related cost sharing account) and for ensuring that expenditures do not exceed the level authorized by the award. The PI should review each monthly Budget Status Report for the program.

Fiscal Responsibilities on Grant and Contract Accounts–Office of Sponsored ProgramsThe Office of Sponsored Programs will:

Serve as the office of record for all awards made on behalf of the University. Serve as a liaison between the PI/project staff and the sponsor. Monitor and coordinate the submission of reports required by the terms of the award and the administrative closeout of the project when the award expires. Assist in the completion of all closeout procedures. Establish a separate fund number for each sponsored program and maintain the official ledger of expenditures for sponsored agreements. Monitor payroll and nonpayroll expenditures for compliance with University policies and the terms of the agreement. Prepare and submit expenditure reports to sponsors and coordinate the financial closeout of contracts and grants. Coordinate responses to financial audit reports and/or recommendations of expenditure disallowances under sponsored program agreements. Invoice sponsors for interim and final payments under grants and contracts as appropriate or required.

Cost PolicyGeneral - The University receives funding from the granting agency, most of which comes in the form of direct support for sponsored programs. A portion of this funding, however, may also come in the form of reimbursement for indirect costs of federally sponsored programs.

Definitions - Direct costs – Direct costs are expenses that are specifically associated with a particular sponsored program or other direct cost objective, such as Auxiliary Activities or Instruction, or expenses that can be directly assigned to such activities relatively easily with a high degree of accuracy. Examples include salaries and wages, supplies, travel and communication costs.

Indirect costs – Indirect costs are expenses that cannot be identified specifically with a particular project or activity. These costs benefit more than one activity. Examples include general administration expense, research administration, plant operation and maintenance, library expenses and depreciation.

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Both types of costs represent real costs to the University and must be satisfied by the terms of the contract or grant. Otherwise, the program becomes a liability rather than an asset to the University.

Allowability - Rules for allowability are covered in the OMB Circular A-21 Cost Principles for Educational Institutions and other federal regulations. In many cases the issue of whether a particular cost is allowable is a complex one. When in doubt, contact the Office of Sponsored Programs. In general, expenses may be charged to the federal government only if they are:

Reasonable - A prudent person would have purchased this item and paid this price.

Allocable – Expenses can be allocated to the government activity based on benefit derived, cause and effect, or other equitable relationship.

Consistently Treated – Like expenses must be treated the same in like circumstances.

Allowable – Allowable or not unallowable as specified by government regulations.

If an expense does not meet the above criteria, it is not eligible to be charged to a federal grant or contract regardless of its purpose.

Note: Agencies that sponsor grants and contracts use the term allowable to mean permitted as a direct cost under the terms of a specific grant or contract. Expenses that are generally allowable for federal reimbursement may not necessarily be permitted under the terms of a specific grant or contract.

Expenses that are unallowable for federal reimbursement may still be reasonable and necessary business expenses permitted by the University, as outlined in the University Business Policies and Procedures Manual. Departments may incur these expenses, but they must be coded as unallowable so that they can be readily identified and excluded from the indirect cost calculation. Please contact the Office of Sponsored Programs for more information regarding specifically unallowable activities and costs.

Indirect CostsSponsored programs are charged indirect costs, whether identified in the award or not, unless the funding agency has a written policy that precludes such recovery and the University has accepted the award with this restriction. The rates to be applied will be consistent with University policy. University Policy provides for an allocation of indirect costs on a monthly basis at the rates of 50% to the University’s current unrestricted fund, 30% to the academic unit, and 20% to support the Office of Sponsored Programs.

The University negotiates an indirect cost rate with the U.S. Department of Health and Human Services for use on all grants. The current rate can be obtained by contacting the Office of Sponsored Programs. Proposals should include indirect cost recovery to the maximum allowed by the sponsor. The Office of Sponsored Programs, after consideration of the proposed award, may choose to accept an alternative indirect cost arrangement. No

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agreement is binding upon the University unless endorsed by the Office of Sponsored Programs.

A project, or part of a project, is considered to be performed off-campus if the activity is conducted at a location other than on University's property and the majority of indirect costs (e.g., operation and maintenance, depreciation or lease of buildings, equipment and improvements) associated with the University's facilities, both owned and leased, is not applicable. If a project is located in leased space and the lease is a direct charge to the project, then the project is considered off-campus. If the project is not charged directly for the lease cost and the lease is a part of the University's indirect cost rate, then the project is considered on-campus. Essentially, the classification of on- or off-campus is solely for the purpose of applying the correct indirect cost rate.

Fringe Benefit RateThe University negotiates a benefit rate with the U.S. Department of Health and Human Services for use on all grants. The current rate can be obtained by contacting the Office of Sponsored Programs. This rate is applied to all non-student salaries, for both full- and part-time employees. The negotiated rate is charged to all grants on a monthly basis. The staff benefit charge is recorded in the month immediately following the salary expense, except for the month of June. In June, the benefits are accrued before the end of the fiscal year.

Cost SharingCost sharing, sometimes referred to as “matching,” represents that portion of the total program costs of a sponsored agreement borne by the University, rather than the sponsor. Separate activities/accounts may be established to track committed cost sharing.

The PI must identify and provide resources to fund the cost-sharing account. Funds from other federal awards may not be used as the source of cost sharing except as authorized by statute. Funds generally come from unrestricted, gift, endowment income, or designated funds.

The signed award document indicates whether the program involves cost sharing. The Office of Sponsored Programs will not open the sponsored activity/account until the related cost sharing activity/account is opened. When a cost sharing activity/account is required, a person with signature authority over the fund from which the cost-sharing activity/account funds will be drawn must approve the application of funds to the cost-sharing purpose.

Cost-sharing activities/accounts are subject to the same activity/account management procedures as described above for grant and contract accounts.

Cost-sharing activities/accounts must be fully funded at the end of the University’s fiscal year. Cost-sharing budgets and expenditures carry over to the new fiscal year, as described above for grant and contract accounts.

The cost-sharing activity/account is closed at the same time as the related grant or contract account, as described above.

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Grant and Contract ExpensesGrant and contract expenses should be carefully reviewed for allowability, proper supporting documentation and correct coding. The same procedures that are used for other types of University expenses should be followed subject to any additional specific restrictions imposed by the sponsor.

Payroll Expense - See Manual, Chapter 8 for detailed information on the University’s Payroll Policy.

Calculation of Base Pay - Base pay for purposes of sponsored programs is considered to be all compensation for personal services paid to the currently or accrued by the University for employee services rendered to the grant-supported project. Forms such as the Approval to Recruit and Employment Authorizations must be routed through the Office of Sponsored Programs for verification/review. Contact the Office of Sponsored Programs for additional information.

Scholarships and Graduate Assistantships - The project director should work with the Financial Aid Office regarding scholarships and graduate assistantships to ensure that all eligibility requirements are met.

Purchase Orders - See Manual, Chapter 4 for detailed information on the University’s Procurement Policy.

A copy of the purchase requisition must be provided to the Office of Sponsored Programs for verification/review. Contact the Office of Sponsored Programs for additional information.

Services - Requests for payment for a service is to be made on an Authorization for Payment. In addition, an independent contractor form must be completed. See Manual Chapter 5 for detailed information on the authorizing expenditures.

The Authorization for Payment and original invoice must be routed to the Office of Sponsored Programs for verification/review before payment is made. Contact the Office of Sponsored Programs for additional information.

Miscellaneous Expenses - Certain miscellaneous expenses may be processed on an invoice basis rather than through the procurement process. Payment for these expenses may be requested on an Authorization for Payment form. See Manual Chapters 4 and 5 for additional information on the University’s policies with regards to procurement and authorizing expenditures.

The Authorization for Payment and original invoice must be routed to the Office of Sponsored Programs for verification/review before payment is made. Contact the Office of Sponsored Programs for additional information.

Travel – Manual Chapter 9 may be consulted for detailed information on the University’s Travel and Entertainment Policy.

Please note that entertainment expenses and alcohol expenses are specifically prohibited in Section J of the Circular OMB A-21 Cost Principles for Educational

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Institutions. Therefore, expenditures for these types of expenses will not be reimbursed from program funds.

Time and Effort ReportingGeneral - all individuals whose salary is charged, in whole or in part, to a grant or is used to meet cost sharing or matching requirements on a grant must complete Time and Effort Reports. The University is required by the Federal government to document effort that is charged to sponsored programs. It is the responsibility of each department chair and dean to see that a system is in place to ensure that the PIs in their areas fulfill the requirements for review and certification of salaries, and to assure that salaries charged to sponsored programs correspond to effort expended on those programs, within the appropriate limitation for the school.

Reporting Period and Submission - These reports must be completed on a monthly basis and should be signed by the employee and the program director. His/her supervisory official should sign the program director’s report.

These reports must be forwarded to the Office of Sponsored Programs on a quarterly basis. The Office of Sponsored Programs will review these reports for timely submission. In addition, the office will make any necessary adjustments for the actual expenses charged to the grant.

Key Points - Important points to keep in mind are:

Pay is considered to be remuneration for all work that benefits the University. For full-time employees, this is 100% FTE. This applies to regular exempt employees, including faculty, who are paid through the payroll system.

Note: 100% FTE does not equate to any set number of hours, e.g., 40 or 50 hours per week; it equates to the totality of University-compensated effort. The University does not pay faculty for personal time devoted to external consulting.

Each month, the University's payroll system permits the charging of salary earned by employees to the proper accounts, based on the nature of the work performed. For example, if the work of a full-time exempt employee (100% FTE) is devoted entirely to teaching, 100% of the earned salary should be charged to accounts associated with instruction.

The key assumptions underlying this process are: The basic function of instruction has benefited 100% from the employee’s work; and The basic function of instruction is allocated 100% of the employee's salary charges.

Similarly, if the employee's effort is devoted half time (50% FTE) to teaching, and half time (50% FTE) to work on sponsored research programs, one-half of the salary should be allocated to instruction and one-half to the sponsored program(s).

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Allocating Salary via the Employment Authorization Form - The Employee Authorization form controls the percentage of salary allocated to each major function, and within each function, to specific project accounts. For example, authorization of a faculty member who devotes one-half time to teaching and one-half time to three sponsored programs might distribute salary charges as follows:

50% to instruction20% to sponsored program #120% to sponsored program #210% to sponsored program #3

This distribution is normally set up at the beginning of an academic period, based on a presumption about how the employee's effort is going to be allocated. If the actual distribution of effort differs significantly from this presumed distribution, University policy requires that the Employment Authorization be changed to reflect the actual distribution.

Responsibility for Verification and Review - Government sponsors expect to pay only for those portions of employee effort that are actually devoted to their programs. Periodically, auditors review payroll charges to verify that the percentage of an employee's salary charged to a sponsored program account reasonably approximates the actual proportion of the employee's FTE effort that was devoted to that program.

As a general rule, exempt employees should understand how their salary charges are being distributed, and should verify for themselves that there is a reasonably close relationship between the allocation and the actual proportion of their effort devoted to the functions and programs being charged. For research assistants and support staff, the PI, who is assumed to be most knowledgeable about the relationship between effort devoted and benefit received, often makes these allocation decisions.

Grant Closeout and Year End RequirementsGrant Closeout - Closeout is the administrative process whereby sponsors determine whether all technical and administrative requirements of the grant or contract have been completed. Programs are considered completed or “closed out” only after the sponsor receives and approves all technical, financial, invention and property reports as required by the terms and conditions of the award and notifies the University of its acceptance and signoff. PIs are responsible for overseeing the proper closeout of sponsored programs, including the timely submission of all required reports (including final technical reports). PIs must assure that such documentation is adequate and readily available. In addition, some financial reports may require the PI's signature. Reporting requirements vary among agencies as to type, content, and timing. Consult the award document, agency policies, and/or the Office of Sponsored Programs for instructions.

At the close of a grant or contract, the PI is accountable for ensuring that all expenses recorded are complete, allowable, allocable, and without overdrafts. Care must be taken to ensure that charges are not made to a grant or contract beyond the close date.

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The Office of Sponsored Programs prepares the final financial reports and performs a review.

Year-End - For sponsored programs that end with the University’s fiscal year end and that have been awarded additional funding, new accounts must be established. Award letters and budgets must be submitted to the Office of Sponsored Programs in order to create new accounts prior to year-end. Additionally, new payroll authorizations must be completed to ensure that employee time is not charged to a closed grant after June 30.

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Record Retention Schedule

Grant RecordsFinancial and program records, supporting documents, statistical records and all other records of the Principal Investigator, department, and institutional office that are required by the terms of an award or may reasonably be considered pertinent to an award, must be retained in accordance with University policy. Generally, the University’s policy with regards to grant and contract documents stipulate a retention period of three years following the date of submission of the final expenditure report for the grant or contract, except when there is an audit or litigation in process.

Schedule for Specific DocumentsBelow is the recommended retention period that a PI or their department should follow. The University will maintain many of these records for a longer period of time within the files in Accounting, Purchasing, Sponsored Programs, etc.

Type of RecordRetention Period

For Dept/PI RemarksCheck Requests 1-2 yearsTravel Records 1-2 yearsPayroll Records 3 yearsCashiers Office Records (receipts)

1-2 years

Effort Reports 3 yearsPurchase Orders 1-2 yearsJournal Vouchers 1-2 yearsHuman and Animal Subject records

3years From end of project

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Chapter 6 Internal Funding Programs

Overview………………………………………………………………………….. 6-2

Awards Administered by the Office of the Provost………………………………. 6-2 CAPD Awards…………………………………………………………….. 6-2 Travel & Small project Grants……………………………………… 6-2 Eberhardt University Priorities Awards……………………………. 6-2 Rupley Church Grants for Intl. Relations…………………………... 6-3 Hoefer Prize for Leadership………………………………………… 6-3 Eberhardt Teacher/Scholar Awards………………………………… 6-3 Faculty Research Committee Awards…………………………………….. 6-3 Scholarly/Artistic Activity Grants………………………………….. 6-3 Eberhardt Research Fellowship …………………………………….. 6-3 Faculty Research Lecturer Award…………………………………... 6-4 Dreyfus Foundation Awards for Student Research…………………. 6-4 Holmok Cancer Research Grants…………………………………… 6-4 Hoefer Prize for Student Faculty Research/Creative Projects……… 6-4

Awards Administered by the Office of Sponsored Programs…………………….. 6-6 Faculty Seed and Bridge Grants…………………………………………... 6-6 Faculty Seed Grant Program………………………………………... 6-6 Faculty Bridge Grant Program……………………………………… 6-7 Application Submission Process……………………..…………. 6-7 Review Criteria……………………………………..…………... 6-8 Administration………………………………………………..… 6-8 Deans Research Award for Undergraduate Students……………………... 6-9 Management………………………………………………………… 6-9 Limitations………………………………………………………….. 6-9 Application Process…………………………………………………. 6-10 Award process………………………………………………………. 6-10 Reporting……………………………………………………………. 6-10

Overview of Internal Award Mechanisms

There are a number of internal award mechanisms at the University of the Pacific available to faculty and students. These come from two sources: the Office of the Provost, and the Office of Sponsored Programs.

Awards Administered by the Office of the Provost

Committee on Academic Planning and Development (CAPD)The purpose of the Committee on Academic Planning and Development is to strengthen teaching on the Pacific campus through professional development of the faculty. In addition to the financial support that CAPD can give through the grants described below, it sponsors workshops, guest speakers, and training geared at enhancing teaching in a variety of ways.

Deadlines for CAPD-sponsored awards

The proper application form must be completed with the appropriate signatures and received by the Provost's Office by 5pm on the following dates

Fall - First Monday in November Spring - Third Monday in March

Notification of awards will take place approximately 4 weeks after the submission date.

Travel and Small Project Grants (Fall & Spring) - $1,000/individual, $3,000/groupTravel Grants- University faculty can submit proposals for full or partial reimbursement for travel to conferences or workshops which focus on improving teaching and student learning. CAPD will fund part or all of costs including registration, travel, and lodging. Preference will be to requests showing additional funding from other sources.

Project Grants - University faculty can request support for the development or acquisition of innovative materials for teaching in disciplines-specific or interdisciplinary courses. This includes classroom or protocol based research on learning , assessment of learning, using new or innovative techniques or materials to introduce class concepts, or training of faculty on new techniques or class material.

Eberhardt University Priorities Awards (Fall & Spring) - $3,500The committee will award these grants for projects that address the University Planning Priorities. Examples include but are not limited to projects linking liberal arts and sciences with professional programs, improving the quality and delivery of services to students, increase alumni involvement, extending learning experiences beyond the classroom, and promoting teaching, scholarship and learning excellence.

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Rupley-Church Grants for International Relations (Fall & Spring) - $3,000The committee will award multiple grants to encourage greater understanding of the international community by both faculty and students. Award money can be used for but is not limited to international travel and conferences that are designed to further a faculty member's cultural understanding, with the emphasis on the integration of this understanding into his/her courses at the University of the Pacific.

Hoefer Prize for Leadership in Experiential Learning (Spring) - $2,500This award is brought to us by The Hoefer Family Foundation. As its title says, the prize is to encourage, recognize and reward faculty members who have achieved a record of outstanding contributions to an academic program through the development and supervision of internships or other experiential learning tools.

Eberhardt Teacher/Scholar Award (Spring)- $2,000Through the generosity of the Eberhardt family, the Eberhardt Teacher/Scholar Awards have been established to reward exemplary teaching and scholarship. Since 1989, nominations are solicited annually for five faculty members. Each award provides a stipend to be placed in a special account and used for professional expenses at the discretion of the awardees

Faculty Research CommitteeThe Faculty Research Committee reviews policies and practices affecting sponsored research. The committee is composed of 12 members--nine faculty and three ex-officio voting members. Support is also offered from the committee for scholarly activities through the following awards:Scholarly/Artistic Activity Grants - $2,000

These grants are intended to assist faculty members in their pursuit of professional goals related to scholarship and research. Support is provided for both ongoing projects and initiation of research in new areas. Some examples of the types of activities funded are: 1.) Salary for research assistants, performers, technical specialists to assist in the collection of data or completion of the scholarly/artistic activity; 2.) Funds for specialized equipment, materials or supplies required for the proposed activity; 3.) Access to facilities not available on campus; 4.) Per diem (at current university reimbursement rates) and copying costs for a faculty member who has traveled to a site for some other reason; and, 5.) in general the cost of transportation (e.g.: mileage, airfares) is paid only in cases where it is absolutely required to obtain resources related to research. The deadlines are the fourth Friday in October and March.

Eberhardt Research Fellowship (ERF) - $3,500

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This fellowship is designed to provide financial support for UOP faculty members on the Stockton campus to conduct a research project for at least a five-week period over the summer. Recipients are not allowed to simultaneously teach while conducting the research project. The award is designed to support a broad range of projects in all fields of study. The goal is to help faculty supplement their summer income while conducting research. The application deadline for the Eberhardt Research Fellowship is the fourth Friday in January each year

Faculty Research Lecturer Award - $1,000 This annual award recognizes faculty members with a history of research or artistic contributions during their service at the University. Nominations for Faculty Research Lecturer are open to all tenured faculty with a minimum of 7 years service at the Stockton campus. Self-nominations are accepted. Nominations with supporting materials should be sent to the Dean of the Research and Gradate Studies. The deadline for receiving the nomination packages is mid-November. The Faculty Research Committee will nominate a recipient in early December, and will forward the name to the President, who will officially notify the faculty member. The recipient will give the Faculty Research Lecture -- an evening event open to the campus and community and followed by a reception -- in the Spring semester.

Dreyfus Foundation Awards for Student Research - $2,500 (and $500 for advisor)This award is designed to provide financial support for undergraduate students to spend the summer working with a faculty member on a scholarly/artistic project. The award is designed to support a broad range of projects in all fields of study. The goal is to give students a valuable educational experience collaborating with faculty on professional research. The award includes compensation to the student provided by the Dreyfus endowment and a stipend to the faculty advisor provided by the University. The deadline is the fourth Friday in February. The awards are intended for research that may be part of an ongoing project by the faculty member, a new project developed by both the faculty member and the student, or a project the student has developed on his/her own that has the approval of the supervising faculty member. Proposals that have the potential for continued collaboration between the student and faculty member are strongly encouraged.

Holmok Cancer Research Grants - $5,000The Holmok Grants support any aspect of cancer research, ranging from the study of origins to the diagnosis to the methods of treating cancer patients. It is open to all researchers from all disciplines. A proposal may be submitted by an individual or by a team of researchers who are faculty members on the Stockton campus. Proposals related to interdisciplinary cancer research projects are encouraged. Such proposals will involve two or more faculty member co-researchers from different disciplines and must make clear how the contributions of each discipline are necessary for the completion of the project. The deadline is the second Friday in April.

Hoefer Prize for Student-Faculty Research/Creative Projects - $2,500/$2,500

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This prize is to encourage, recognize and reward the teacher-scholar model for faculty which supports teaching and student learning as primary activities, while recognizing scholarship and research as vital to that enterprise. The prize recognizes outstanding performance in a single joint student-faculty research/creative project. A proposal may be submitted by one or more faculty members and one or more students, all of whom participated in the project. The faculty member(s) must be full-time members of the Stockton campus, and the student(s) must have been enrolled at the University within the academic year that the prize is given. Furthermore, the student(s) must have played a significant role in during all stages of the project, and must have completed at least 40% of the total project work effort. The deadline is the second Friday of April.

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Awards Administered by the Office of Sponsored Programs

Seed and Bridge Grants for Faculty Scholarship, Research, and CreativityThe Office of Sponsored Programs administers two internal funding opportunities for faculty at the University of the Pacific. These awards utilize the Office of Sponsored Programs’ portion of recovered indirect costs from external funding sources. The goal of these awards is to encourage, develop and support faculty research and creative endeavors. These awards are intended to supplement and strengthen the support that comes from both department and college resources, and other university programs. Awards are granted through a competitive application process, with final decisions made by the Dean of Research and Graduate Studies.

The duration of the awards is one year, with all unexpended funds reverting back to the general internal funding pool at the end of the award period.

An award carries with it the responsibility to disseminate the results of any funded internal project either through publication in refereed outlets, or in a medium appropriate to the endeavor. Faculty are encouraged to display their work at the annual Celebrate Research and Creativity Poster Session. A final report should also be filed with the Office of Sponsored Programs within thirty (30) days of completion of the project.

All full-time tenured or tenure-track faulty from the Stockton, Sacramento, and San Francisco campuses are eligible to apply. Applications from junior faculty (i.e., pre-tenure) will be given preference.

Faculty Seed Grant ProgramMany funding agencies view preliminary work as a demonstration of planning and commitment to a project, and as an indicator of the project’s potential for success. Towards that end, the University of the Pacific Faculty Seed Grant Program has been established to assist faculty with projects involving new creative or research ideas. Seed grants are designed to help researchers do the preliminary work needed to apply for larger external funding. This program does not provide bridge funding for ongoing research programs, or to supplement research programs funded elsewhere.

Projects that emphasize new methods, theoretical approaches, curriculum or laboratory improvements are encouraged. Teams of two or more eligible faculty may submit proposals for interdisciplinary projects.

Funds can be used for research and scholarly efforts, instructional impact projects, or other worthwhile professional development activities. Funding is available for salaries and benefits of students, technicians and other non-faculty project personnel. Other permitted expenses include supplies, equipment and miscellaneous expenses such as project-related photocopying and postage.

Funds cannot be used for faculty salaries (summer or academic year); travel that is not directly related to project research; conferences; consultants, or office equipment (including computers, unless specifically justified).

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Investigators in traditionally less research-intensive areas are encouraged to apply.

Applications may request amounts up to $5,000 and are subject to the availability of funds. An individual faculty member is limited to receiving only one Seed Grant per project. Projects that are already supported by other sources will not be approved for funding. If the PI receives funding for the project from an external source during the award period, all unused seed funds will be returned to the general pool.

Proposals will be evaluated by the respective department head and college dean for relevance to the faculty member’s responsibilities to the department and contribution to the academic discipline. These evaluative comments will accompany the proposal through a competitive review by the Dean of Research and Graduate Studies.

Faculty Bridge Grant ProgramBridge funding is intended to provide for interim funding to an investigator who has applied for, but failed to receive, renewal funding for ongoing research. Thus, bridge funding is intended to provide University of the Pacific faculty members with temporary, reduced support in order to keep key personnel and continue scholarly research operations while full support is being sought from outside agencies.

Any faculty member who is a principal investigator on a grant funded for at least two consecutive previous years (on the same grant or project) and whose application for continued support from that or another funding agency has not been funded, shall be eligible to apply for bridge funding. Training programs and postdoctoral fellowships do not qualify for bridge funding. Bridge funding is intended to provide limited support for individual grants, not for large grants or cooperative agreements.

Applications may request amounts up to $5,000 and are subject to fund availability.

Bridge funding is also not intended to replace the salary support of any regular faculty member, cover graduate student stipends, or provide travel funds. Allowable costs include the following: 1.) salary and fringe benefits for individuals whose salaries are supported by the interrupted grant (e.g., non-faculty project non-exempt staff and part-time faculty); 2.) society memberships, journal subscriptions and costs of publications; 3.) equipment costs, such as service contracts and maintenance (but not equipment purchases); and 4.) research supplies.

Application for additional funding is one of the major requirements for receiving bridge funding. If funding has run out without an application and subsequent rejection for continued funding, then the principal investigator is not eligible for bridge funding. An application that is rejected for failure to comply with submission requirements will also not be considered a valid reapplication.

The faculty member should continue, during the period of bridge funding, to reapply for extramural funding.

Application Submission Process for Bridge or Seed GrantsThe completed Request for Faculty Internal Grant Award (found in the Forms section of this manual) is due into the Office of Sponsored Programs by January

7

31 or July 31 of each year for Seed Grant Funding. For Bridge Grant funding, the application may be submitted at any time. All four pages of the application, including the two Comment/Signature pages, as well as the Budget Page with justification and listing of all current research support, should be typed. Please submit one original and one copy of the proposal.

When applying for bridge funding, the application should include the index number and name of the interrupted grant. Also attach the budget pages for the final year of the previously funded, but lapsed, grant; a copy of the cover sheet and abstract of the unfunded grant, and a copy of the agency denial letter.

Awards for Seed Grants will be announced at the spring Faculty Awards program. Bridge Grant funding notifications will be sent to the faculty members on a case-by-case basis.

Review Criteria for Bridge or Seed GrantsProposals will be evaluated using the following non-exclusive criteria:

Does the PI clearly explain the significance of the project to the discipline? For Seed Grants--Does the PI provide information necessary to determine if this is a new direction for the research or creative effort? Is the budget reasonable for the stated objectives and goals? Are the goals and objectives and results stated clearly and are they reasonable, given the funds and time provided? Are they reflected in the methods outlined? What is the probability of this research leading to external support? Have potential barriers or technical difficulties been identified? Are key references provided? Has the PI obtained any assurances required (animal, human, etc.)? Does the PI have the experience needed to carry out the project?

Administration of Bridge and Seed GrantsThe PI is responsible for the administration of funds. The Sponsored Programs Accountant will have oversight responsibility. All expenditure receipts, invoices, etc. should be forward to the Accountant for approval.

Equipment purchased with Seed or Bridge funding will be considered property of the University of the Pacific, and may not be transferred to another institution should the investigator leave their University employment.

The duration of the awards is one year, with all unexpended funds reverting back to a general internal funding pool at the end of the award period. If the work cannot be completed in the initial year, the PI may request one six-month extension by sending a letter to the Dean of Research and Graduate Studies at least one month prior to the end of the initial year.

For Bridge Grants, if funding for the project is received from an external agency before all bridge funding monies are expended, the balance of the bridge monies

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will return to the general internal funding pool. A final report should also be filed with the Office of Sponsored Programs within thirty (30) days of completion of the project.

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Deans’ Research Award for Undergraduate StudentsScholarly activity has traditionally been an important enrichment in the educational experience for undergraduate students at the University of the Pacific, and the University has reaffirmed its support of research and scholarly/creative activity as complements to the teaching mission of its undergraduate programs.1 Accordingly, a funding program to support undergraduate student research is managed by the Office of Sponsored Programs.

All undergraduate academic units are eligible, and any full-time faculty member is eligible to serve as research supervisor. To participate, students develop a research proposal in consultation with a faculty member, who agrees to serve as the research supervisor for the project. The proposal should not be more than 3 pages in length.

Up to $10,000 will be earmarked annually for these awards, which will be administered by the Office of Sponsored Programs. These awards can be used to support data gathering and analysis, costs associated with surveys or opinion polls, supplies and reagents, and travel to conduct research. These monies are not available for travel, registration or other costs associated with attending conferences or meetings.

ManagementFunds will be made available to students by providing the approved award to the project advisor. Students must be enrolled in a research course, offered as 197, Section R through each department, which is an independent study course offered for 1 to 4 credits (depending upon the project). The courses are supervised by a faculty advisor, who leads the research project and manages the funds awarded.

The faculty advisor is responsible for obtaining any research-related approvals (e.g., human subjects, animal care/welfare, hazardous materials, etc.) in writing prior to the beginning of the research project.

A grade for the 197R course is awarded after the student submits a final report, which includes an abstract of the project and its findings. A copy of the final report must also be filed, by the faculty advisor, with the Office of Sponsored Programs within 30 days of the end of the semester. (Awards will not be given to students whose research advisors are delinquent in submitting reports from previous semesters). Abstracts will be published in an annual report and intended to be included in the University-wide research celebration held each Spring semester.

Limitations193. Awards will be made as long as funds remain. Unused funds will become part of the larger pool to support scholarly activity for students and faculty.194. Maximum awards are $500 or 1 award per student per semester; $1000 or 2 awards per individual student; and $1500 or 3 awards per faculty member per academic year.195. Funding is contingent upon the availability of sufficient funds.

1 University of the Pacific Mission Statement, adopted by the Board of Regents, May 17, 1996

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Application ProcessEligible students should submit to the Office of Sponsored Programs an Undergraduate Research Funding Application on the proposed project, including budget justification, and faculty signature. The deadlines for submission are approximately as follows; however, specific semester deadlines will be announced several weeks in advance.

Fall Semester September 15

Spring Semester January 15

Summer Session June 15

Relevant compliance approvals (human subjects, animals, hazardous materials, etc.) will be the responsibility of the faculty supervisor.

Award ProcessAwards are granted through a competitive application process and selection will be made by a panel composed of 3 members of the Council of Deans, based on criteria developed by the Dean of Research and Graduate Studies. The Dean of Research and Graduate Studies makes final award decisions.

Funds will be awarded to, and managed by, the faculty member supervising the undergraduate project.

ReportingThe Office of Sponsored Programs publishes an annual summary report containing information on all Undergraduate projects, taken from the research reports filed by students in the program each semester. Whenever possible, students supported by the Research Dean’s Award will present a poster summary at the annual research celebration put on by the Office of Sponsored Programs

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Chapter 7 Information for Proposal Development

Commonly Requested Information………………………………………………... 7-2

Notification of Award Address…………………………………………………….. 7-4

Helpful Internet Links……………………………………………………………... 7-5

Who to Call on Campus……………………………………………………………. 7-6

Commonly Requested Information

Legal name and address University of the Pacific3601 Pacific Ave.Stockton, CA 95211

Date of Incorporation July 10, 1851

Authorizing institutional official and contracting officer

Dr. Philip N. Gilbertson, ProvostTelephone: 209-946-2551Fax: [email protected]

Administrative official to be notified of an award

Carol A. BrodieSponsored Programs AdministratorTelephone: 209-946-7356Fax: [email protected]

Employer Identification Number (Tax ID) 941156266

Proof of Non-Profit StatusThe IRS Federal 501(C)(3) Tax Exemption Status letter is available from the Office of Sponsored Programs.

DUNS# Stockton: 071863260, San Fran: 625948831NSF Awardee Organization Code 0013292000Budget Information

Negotiated Indirect Cost Rate for Federal Proposals(effective 6/7/01, through 6/30/05)

50.0% (on campus, salaries and wages)17.0% (off campus, salaries and wages)

Fringe Benefit Rate for Federal Proposals

22.5%

Projected Annual Salary Budget Increases

3.0%

Financial Statements, Audits and Budgets are available from the Office of Sponsored Programs

Assurances

Animal Assurance USDA Certificate No. 93-R-0050, expires August 12, 2004

Public Health Service

Stockton: Assurance #A3755-01, expires August 31, 2004San Francisco: Assurance #A3212-01, expires February 28, 2003

Misconduct in Science Latest Annual Report: January 22, 2002 (updated annually)

IRB, Stockton Campus FWA00004103

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United States CongressRepresentative Richard PomboUnited States Congressional District 11

Washington Office2411 Rayburn HOBWashington, DC 20515202-225-1947 (voice)202-226-0861 (fax)

Stockton Office2495 W. March Lane, Ste. 104Stockton, CA 95207209-951-3091 (voice)209-951-1910 (fax)

United States SenateSenator Barbara Boxer

112 Hart Senate Office BuildingWashington, DC 20510202-224-3553 (voice)email: [email protected]

United States SenateSenator Dianne Feinstein

331 Hart Office BuildingWashington DC 20510202-224-3841 (voice)e-mail: [email protected]

California State AssemblyRepresentative Barbara MatthewsCalifornia Assembly District 17

Sacramento OfficeState CapitolRoom 5135Sacramento, CA 95817916-319-2017 (voice)

District Office31 E. Channel Street, Suite 306Stockton, CA 95202

California State SenateSenator Mike MachadoCalifornia Senate District 5

Sacramento OfficeState CapitolRoom 3086Sacramento, CA 95814916-445-2407 (voice)

District Office31 E. Channel Street, Room 440Stockton, CA 95202

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Who to Notify of Proposal Status or Award

Proposals should indicate that all notices of proposal status, including formal notice of the award of funding should be made to the Sponsored Programs Administrator.

Any transfer of funds (checks or otherwise) should be made to the “University of the Pacific” and forwarded to the Sponsored Programs Accountant.

Both individuals are at the following address:Office of Sponsored ProgramsUniversity of the Pacific3601 Pacific AvenueStockton, CA 95211(209) 946-7356 Fax: (209) 946-2858

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Helpful Internet Links

University of the Pacific http://www.uop.edu Sponsored Programs Website http://www.uop.edu/osp/ Records & Research Institutional Data mypacific.uop.edu/cp/home/loginf

Log in, go to Institutional Research, Detailed Data ReportsFederal Agencies and DatabasesEnvironmental Protection Agency www.epa.govNational Science Foundation www.nsf.gov NSF FastLane www.fastlane.nsf.govNational Institutes of Health www.nih.govDepartment of Health & Human Services www.dhhs.govU.S. Department of Education www.ed.gov/index.jspState of California www.ca.gov/state/portal/myca_homepage.jsp CA Dept. of Education www.cde.ca.gov/ CA Health & Human Svcs. Agency www.chhs.ca.gov/ CA Council for the Humanities www.calhum.org/ CA Dept. of Water Resources wwwdwr.water.ca.gov/ CA Trade and Commerce Agency's Economic Development Division

www.commerce.ca.gov/state/ttca/ttca_htmldisplay.jsp?sFilePath=/ttca/department/ed_home.html

CA Environmental Protection Agency www.calepa.ca.gov/Funding SearchesFederal Register www.access.gpo.gov/su_docs/aces/aces140.htmlInfoEd – SPIN www.infoed.org/new_spin/spin.aspFoundation Center fdncenter.orgChronicle of Higher Ed. New Grant Competitions chronicle.com/free/grants/Catalog of Federal Domestic Assistance www.cfda.gov

FedBizOpps – federal contract opportunities www.eps.gov/Office of Postsecondary Education’s Directory of Federal Postsecondary Education Programs

www.ed.gov/offices/OPE/directory/

GrantsNet (good for biomedical) www.grantsnet.org/SRA List of Grant Resources www.srainternational.org/newweb/grantsweb/index.cfmTRAM (search engine for funding opportunities from different agencies; also contains a set of grant application forms from various sources)

tram.east.asu.edu/

Early Career Development GrantsEarly Career Development Awards for Scientists, Offered by Various Agencies

www.nsf.gov/pubs/1999/pecase99/pecase99.htm

American Councils for International Education, Junior Faculty Development Program -- exchange programs for teachers and researchers.

www.actr.org/

Compliance InformationOffice of Research Integrity www.ori.dhhs.govOffice for Human Research Protections ohrp.osophs.dhhs.gov/Office of Lab Animal Welfare grants.nih.gov/grants/olaw/olaw.htmProposal Writing TipsFoundation Center Proposal Writing Shortcourse fdncenter.org/learn/shortcourse/prop1.htmlCenter for NonProfit Management’s“Elements of a Grant Proposal”

www.silcom.com/~paladin/promaster.html

GrantProposal.com www.grantproposal.com/

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http://www.grantproposal.com/

http://www.silcom.com/~paladin/promaster.html

http://fdncenter.org/learn/shortcourse/prop1.html

http://grants.nih.gov/grants/olaw/olaw.htm

http://ohrp.osophs.dhhs.gov/

http://www.ori.dhhs.gov/

http://www.actr.org/

http://www.nsf.gov/pubs/1999/pecase99/pecase99.htm

http://tram.east.asu.edu/

http://www.srainternational.org/newweb/grantsweb/index.cfm

http://www.grantsnet.org/

http://www.ed.gov/offices/OPE/directory/

http://www.eps.gov/

http://www.cfda.gov/

http://chronicle.com/free/grants/

http://fdncenter.org/

http://www.infoed.org/new_spin/spin.asp

http://www.access.gpo.gov/su_docs/aces/aces140.html

http://www.calepa.ca.gov/

http://www.commerce.ca.gov/state/ttca/ttca_htmldisplay.jsp?sFilePath=/ttca/department/ed_home.html

http://www.commerce.ca.gov/state/ttca/ttca_htmldisplay.jsp?sFilePath=/ttca/department/ed_home.html

http://wwwdwr.water.ca.gov/

http://www.calhum.org/

http://www.chhs.ca.gov/

http://www.cde.ca.gov/

http://www.ca.gov/state/portal/myca_homepage.jsp

http://www.ed.gov/index.jsp

http://www.dhhs.gov/

http://www.nih.gov/

http://www.fastlane.nsf.gov/

http://www.nsf.gov/

http://www.epa.gov/

http://www.uop.edu/osp/

http://www.uop.edu/

NSF Grant Proposal Guide

www.nsf.gov/nsf/nsfpubs/gpg/start.htm

Who to Call on Campus

Animal Subjects (IACUC) Carol Brodie 6-7356

Audits Valerie Phillips 6-7356

Biohazardous Material Larry Sydnor 6-2783

Budget Issues Valerie Phillips 6-7356

Computer/Technical Issues OISR 6-2251

Conflicts of Interest Carol Brodie 6-7356

Contract Negotiation Carol Brodie 6-7356

Contract/Subcontract Signatures Carol Brodie 6-7356

Corporate & Foundation Relations Paul Lanning 6-2502

Cost Sharing Valerie Phillips 6-7356

Deposit of Funds Valerie Phillips 6-7356

DNA/Genetic Research Carol Brodie 6-7356

Diversity StatisticsOr, go to http://mypacific.uop.edu/cp/home/loginf, click on Institutional Research, Detailed Data Reports

Carol Brodie 6-7356

Faculty Pay Rates Valerie Phillips 6-7356

Fringe Benefits Valerie Phillips 6-7356

Graduate Student Pay Valerie Phillips 6-7356

Grant Signatures Carol Brodie 6-7356

Grant Negotiation Carol Brodie 6-7356

Hazardous Materials Larry Sydnor or Ash Chaudhry

6-2783

Human Subjects (IRB) Carol Brodie 6-7356

or IRB Co-Chairs 6-2686/6-2948

Indirect Costs Carol Brodie 6-7356

NSF FastLane Carol Brodie 6-7356

Patents Carol Brodie 6-7356

or Dr. Meerdink 6-2261

Proposal Routing Sheet Carol Brodie 6-7356

Purchasing Valerie Phillips 6-7356

Radiation Safety Ash Chaudhry 6-2296

Security Public Safety 6-3034

Sponsor Information (General) Carol Brodie 6-7356

Subcontracts Carol Brodie 6-7356

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http://mypacific.uop.edu/cp/home/loginf

http://www.nsf.gov/nsf/nsfpubs/gpg/start.htm

Supplemental Compensation Valerie Phillips

6-7356

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Chapter 8 Forms for Sponsored Programs and Internal Awards

Routing Sheet for Grant and Contract Proposals…………………………………. 8-2

Internal Funding Application Form for Faculty Seed and Bridge Grants………… 8-4

Internal Funding Application Form for Undergraduate Deans Research Award… 8-10

Investigators Statement of Financial Interest……………………………………... 8-12

Invention Disclosure Form………………………………………………………... 8-14

Budget Planner Template…………………………………………………………. 8-16

Office of Sponsored ProgramsUniversity of the Pacific

Routing Sheet for Grant and Contract ProposalsThis form should be completed for grants or contracts of any type solicited or accepted by an employee of the University. See instructions for additional information. Please submit this routing sheet with the proposal, and a copy of the funding announcement to the Office of Sponsored Programs, five working days prior to the deadline.

Title of Project:

Name Campus Address & Phone

Principal Investigator: Address:

Phone:

Co-Principal Investigator: Address:

Phone:

Co-Principal Investigator: Address:

Phone: Principal Investigator’s

Dept. & Dept. Chair:

(Attach additional sheet if necessary for additional investigators/collaborators)

FUNDING INFORMATION

Name of Funding Agency: Type of Project: Grant Contract Other:

Funding Source:

Government: Federal State County City

Private:Corporation Foundation Association

Individual Other:

Deadline: Start Date: End Date:

Total Project Cost: $

Amount Requested: $

Indirect Costs Requested:$ (see instructions)

Are University funds required for this project?

Yes No

If yes, who gave the assurance funds are available?Name: Phone: Date of Assurance: __

Office of Sponsored Programs Use Only

SRA#____________________

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Compliance InformationYes No

Are human subjects to be used in any capacity (including surveys or interviews)?If YES, attach a copy of the Institutional Review Board approvalAre animals to be used in any capacity? If YES, attach a copy of the Institutional Animal Care and Use Committee approval

Are radioactive materials to be used in any capacity?If YES, attach a copy of the Radiation Safety approval.

Are hazardous or toxic materials to be used or generated by this project?If YES, attach a copy of the Occupational and Environmental Safety Officer (6-2783) approval. If YES, are all appropriate Material Safety Data Sheets on file?____

Does this project involve the use of recombinant DNA?If YES, attach a copy of the Institutional Hazardous Waste Director approval.

Are there any existing Conflicts of Interest (financial, commitment) in this project? If yes, please contact the Office of Sponsored Programs.

OISR Approval N

oY

esN

/A If specialized computer equipment or software is to be purchased or provided, is the equipment or software within the University’s recommended guidelines?

If NO, approval of the Office of Information Services and Resources (for Stockton PIs) or the campus Director of Technology (for McGeorge School of Law and the School of Dentistry) is required.

OISR/Tech Director Approval: _____________________________ Date: ___/___/_____

Assurances and Approval Signatures

Principal Investigator

Agrees to accept responsibility for the scientific conduct of the project and all related expenditures. Assures observance of all sponsor and UOP policies, and inform compliance committees (IRB, IACUC, etc.) of changes in the project that require approval.

Date: ___/___/_____

Dean,School or College

Approves proposal in regard to budget request, commitments of time and effort, compensation rates and/or stipend levels, requests for equipment, direct costs, matching fund availability, and adequate space and facilities. Also assures the appropriate supervisors (e.g., department chair or director) have approved the project.

Date: ___/___/_____

Sponsored Programs

AdministratorAssures adherence to institutional policies.

Date: ___/___/_____

Advancement Services and

Research

Assures an absence of funding request conflicts(non-government proposals only). Date: ___/___/_____

Sponsored Programs

Accountant

Assures financial information, budget, indirect requests, etc. are in order Date: ___/___/_____

3

Provost Assumes responsibility for the project on behalf of the institution.

Date: ___/___/_____

Internal Funding Application Form for Faculty

Date: _________________

Investigator Information:Name:_____________________________________________Title:______________________________________________Department:________________________________________School:____________________________________________Phone:___________________________Fax:_____________________________E-mail:___________________________

Proposal Information:Title:____________________________________________________________________

Amount Requested:__________________________Duration (months) of Project:__________________(limit 12 months)

If human subjects, live vertebrate animals, rDNA, radiation or hazardous materials are involved, check here and attach approval(s)________

Investigator Signature:_____________________________________ Date:____________

Type of Support Requested:______Faculty Seed Grant _____Faculty Bridge Grant*

*Index number of lapsed grant:___________

If applying for bridge funding, please attach the budget pages, cover sheet and abstract for the final year of the lapsed grant, and a copy of the denial letter from the funding agency.

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ABSTRACT (attach up to one additional page, if needed):

Internal Funding Application for Faculty Seed and Bridge Grants, page 2

6

Budget*Salaries and Wages (list personnel & salary/wage) $________________________

Name Salary/Wage Fringe Benefits1.)________________________ _____________________ ___________________2.)________________________ _____________________ ___________________3.)________________________ _____________________ ___________________4.)________________________ _____________________ ___________________

Supplies/Materials (itemize briefly) $________________________Item Amount

1.)________________________ _____________________2.)________________________ _____________________3.)________________________ _____________________4.)________________________ _____________________5.)________________________ _____________________6.)________________________ _____________________

Equipment (itemize briefly) $________________________Item Amount

1.)________________________ _____________________2.)________________________ _____________________3.)________________________ _____________________4.)________________________ _____________________

Photocopying $________________________

Subject Payments #___at $_____ per _______ $________________________

Travel $________________________

Other (describe) $________________________

Total Requested ($5,000 maximum) $


Current Research Support:

7

Budget Justification Page

Justification of Salaries/Wages:

Description of Items in “Other” Category:

Please give any other justifications that you feel may clarify your proposed expenses:


8

Department and School Support Page

Investigator Name:______________________________________________________

Project Title:___________________________________________________________

______________________________________________________________________

To be completed by Dean and Department Head:

Dean Comments:

Dean Signature:_____________________________________ Date:_____________

Department Chair Comments:

Department Chair Signature:_________________________________________ Date:_____________

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10

Faculty Internal Grant AwardFinal Report

(to be filed within thirty days of completion of project)Investigator Name:______________________________________________________

Project Title:_________________________________________________________________________________________________________________________________

Dates of Project: _____________________through _______________________

Project Accomplishments:

Problems Confronted, If Any:

Future Directions and Implications of Project:

Investigator Signature:_________________________________Date:_________________


Please return final report to:Office of Sponsored Programs, 214 Knoles Hall

Thank you!!

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Internal Funding Application Form for UndergraduatesDeans Research Award Application

Student Last Name:_____________________ Student First Name:__________________Student ID#____________________

Local/Campus Address: Local/Campus Phone:_____________________________________________ ______________________________________________________________________

E-Mail Address:________________________________

Project Faculty Advisor:_____________________________________________________Faculty Campus Phone:__________________________Faculty E-Mail Address:________________________________

Title of Research Project:____________________________________________________________________________________________________________________________

If human subjects, live vertebrate animals, or hazardous materials are involved, check here and attach approval(s) obtained by Faculty Advisor_________

Attached a research proposal (maximum 3 pages).

Student Signature:_____________________________________ Date:_______________

Faculty Advisor Signature:______________________________ Date:_______________

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Budget (to be completed with faculty advisor supervision)

Supplies/Materials (itemize briefly) $_______________________

Equipment (itemize briefly) $_______________________

Photocopying $_______________________

Human Subject payments#______ @ $______ per _________ $_______________________

Travel $_______________________

Other (describe) $_______________________

Total Requested($500 maximum) $

Internal Funding Application for Undergraduate Deans Research Award, page 2

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Investigator’s Statement of Financial Interest

This form is to be completed by any Investigator who has a financial interest related to the work to be conducted under either (a) a new proposal submitted to the National Science Foundation or the Public Health Service, or (b) a project funded by either of these agencies. All of the information in this form will be available to any member of the public upon request. This information is to be used to reveal to public scrutiny certain financial interests of Investigators in order to disclose potential conflicts of interest and to aid in the prevention of actual conflicts of interests.

Persons who do not have a conflict of financial interest associated with the grant proposal are not required to file this form.

Name of Investigator Making Disclosure:

Name of Principal Investigator (if different):

Title of Proposal or Award:

Agency: ______ NSF ______ PHS Proposal or Award Number, if available:________

A. Provide the following information about the entity in which you have a financial interest:Name of Entity:Address:

Principal Business:

B. Are you (or spouse) a director, officer, partner, trustee or employee of, or do you hold any position of management in the Entity listed in A? ____ No ____ Yes If yes, specify position:

C. Have you, your spouse, or dependent children received income in the past 12 months, or anticipate receipt of income within the next 12 months from the Entity listed in A? (“Income” includes any anticipated payment such as salary or consulting fees, but does not include any salary or summery salary paid by the University with funds provided by the Entity listed in A.) _____ No ______ Yes, value exceeds $10,000, but does not exceed $50,000

______ Yes, value exceeds $50,000 _____ Past ______ Anticipated _____Combined

D. Have you, your spouse, or dependent children have any interest or hold equity (stock, stock options, or other ownership interest) in the Entity listed in A? _____ No ______ Yes, value exceeds $10,000

______ Yes, amount of equity is 5% or more of total assets; Percent owned is: ______________

E. Does the Entity listed in A hold rights to a pending patent application, issued patent, or license to an invention on which you or your spouse are listed as Inventor(s)? _____ No ______ Yes, but the license is from the University

_______ Yes, and the application, patent or license is NOT from the University

15

F. Does the Entity listed in A manufacture, sell, or distribute any drug, vaccine, device or any other product involved in the proposed project? ____ No ____ Yes If yes, specify:

_____________________________________________________________________________________________________________

G. Is the Entity listed in A proposed as a subcontractor or consortium member, lessor or otherwise involved in the proposed project? ____ No ____ Yes If yes, specify:

_________________________________________________________________________________________________

H. Do you anticipate that any financial interest disclosed above, or the Entity listed above, could reasonably appear to be affected by the design, conduct or reporting of the research (or educational activity) proposed? ____ No ____ Yes Please explain your response to H (attach additional pages if necessary): ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Verification

I declare that I have used all reasonable diligence in preparing this Statement and to the best of my knowledge it is true and complete.Signature ___________________________________ Executed on ____________ 20__

Reviewing Official’s Action

_________ Sponsored project is NOT reasonably expected to have a “direct and significant” impact on the disclosed financial interest. No further action required._________ Sponsored project MAY reasonably have a “direct and significant” impact on the disclosed financial interest. Further review required by an independent review committee.

_____________________________ ________ ____________________________ _______Signature of Reviewing Official Date Signature of Reviewing Official Date

Disposition schedule: Three (3) years after termination of sponsored project

16

Investigators Statement of Financial Interest, page 2

17

University of the PacificInvention Disclosure Form

DescriptionPlease provide a title for your invention and a brief description. Inventions include new processes, products, apparatus, compositions of matter, living organisms – OR improvements to (or new uses for) things that already exist. Please use additional sheets and attach descriptive materials to expand answers to questions. (Sketches, drawings, photos, reports and manuscripts will be helpful.)

Invention Title: _________________________________________________________________

Description of Invention:

What are the immediate and/or future applications of the invention?

Why is the invention better – more advantageous – than present technology? What are its novel and unusual features? What problems does it solve?

Is work on the invention continuing? Are there limitations to be overcome or other tasks to be done prior to practical application? Are there any test or preliminary data?

Have products, apparatus or compositions, etc. actually been made and tested?

Publications, Public Use and Sale (Use the back for continuation for any section, if needed)

Note: valid patent protection depends on accurate answers to the following items.A.) Has invention been disclosed in an abstract, paper, talk, news story or a thesis?Type of disclosure: ________________________Disclosure Date: _________________________

(Please enclose a copy)B.) Is a publication or other disclosure planned in the next six months?

18

Type of disclosure: ________________________Disclosure Date: _________________________

(Please enclose a copy of drafts, abstracts, preprints)C.) Has there been any public use or sale of products embodying the invention?Describe, giving dates:

D.) Are you aware of related developments by others? If “yes,” please give citations. Copies of any relevant patents or publications would be appreciated.

SponsorshipIf the research that led to the invention was sponsored, please fill in the details and attach a copy of the contract or agreement if possible.

A.) Government agency: __________________________contract/grant number: ___________________________

B.) Name of industry, university, foundation or other sponsor: ___________________________________________________________________

C.) Has the invention been disclosed to industry representatives? ____Yes ____NoIf “yes,” please provide details, including the names of companies and their representatives.

For Our RecordsA.) Names and titles of inventors (please print; sign where indicated)1.__________________________________Signature_____________________Date_____________2.__________________________________Signature_____________________Date_____________3.__________________________________Signature_____________________Date_____________

B.) Contact for more data:__________________________________Tel: _________________

C.) Mailing address for inventor(s)__________________________________________________________________________________________________________________________________________________________________________________________________________________

D.) Name and title of institutional representative (please print; sign where indicated)

____________________________________Signature_____________________Date_____________

Department: _________________________________Telephone: _________________________________Fax number: _________________________________


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Invention Disclosure Form, page 2

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