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Compliance Program

Compliance Program

Research

General Resources

HIPAA

Information on HIPAA and research is available at the HIPAA main page.

Anatomical Specimens

Stem Cells

Private Support of Research

Recently, the UC Davis policy on privately supported research was revised. The new policy is at http://manuals.ucdavis.edu/PPM/230/230-01.pdf. Of note, there have been several changes in the management of residual funds:

  • Residual funds remaining at the close of the account after all costs, including F&A costs, have been recovered will be transferred to a departmental, unit, or dean's account designated to record and receive residual funds. These funds shall be expended in support of the teaching, research, and public service mission of the university, in accordance with established department or school practices.
  • Residual funds in excess of 20 percent of each privately sponsored research activity budget will require a written explanation by the PI attesting to the nature and reason for the excess funds. Explanations shall be submitted to the unit head, dean, or Vice Chancellor, Research, as the next higher level of authority with confirmation that the residual funds have been deposited in the designated account.
  • All residual funds in excess of 20 percent of project budget are subject to monitoring and potential audit review.

Effort Reporting

The Personnel Activity Report (PAR) form must account for all effort for which UC Davis compensates the individual. This includes all effort expended on university-compensated sponsored research, administration, instruction and unsponsored scholarly activity, clinical activity, and other activity.

Each employee's total percent effort will be 100 percent, whether that employee works part time or 100 hours a week. The allocation to an individual project will be based upon its relation to the individual's total effort as a university employee, not upon a percent of a hypothetical 40 hour work week. There are many activities in a work week — precise effort reporting is rarely feasible and is not expected.

In no circumstances may the effort percentages reported on the PAR form be based on any consideration other than a reasonable estimate of the actual effort expended by the individual during the report period.

Salary Cap

According to the Consolidated Appropriations Resolution 2003, "None of the funds appropriated in this Act for the National Institutes of Health, the Agency for Healthcare Research and Quality, and the Substance Abuse and Mental Health Services Administration shall be used to pay the salary of an individual, through a grant or other extramural mechanism, at a rate in excess of Executive Level I" of the Federal Executive Pay Scale.

The cap rate changes from year to year (see table for details).

This rule affects any investigator who is paid above the cap rate. The shortfall may not be shifted to other grants. It may be funded from departmental funds, clinical activities or other sources. It is the department's responsibility to fund the shortfall.

 

For example:

Salary for full-time appointment $175,000
Benefits for full-time appointment (17%) $29,750
Research effort requested in application 50%
 
Salary without cap (50% of full salary) $87,500
Benefits without cap (17% of salary X 50%) $14,875
Total $102,375
 
If a grant is funded, the amount included for the above individual is calculated as follows:
 
Allowable salary - restricted to a rate of $166,700
Multiplied by effort (50%) devoted to project $83,350
Benefits (17% of allowable salary X 50%) $14,170
Total $97,520
 
Reduction due to salary cap $4,855

It does not affect an investigator whose salary is below the cap rate.

Salary for full-time appointment $150,000
Benefits for full-time appointment (17%) $25,500
Research effort requested in application 50%
 
Salary requested (50% of full salary) $75,000
Benefits requested (17% of salary X 50%) $12,750
Total $87,750
 
If a grant is funded, the amount included for the above individual is calculated as follows:
 
Salary - below cap, at full rate $150,000
Multiplied by effort (50%) devoted to project $75,000
Benefits (17% of full salary X 50%) $12,750
Total $87,750
 
Reduction due to salary cap $0

More details on the salary cap may be found in the NIH: Salary Limitation on Grants, Cooperative Agreements and Contracts, 2005 version.