Deans, Directors, Department Chairs, and Administrative Officers
This memo provides direction about how UCLA is implementing UC Guidance Memo 19-02, Pilot Approach when Considering Funding from the Marijuana Industry. Per Guidance Memo 19-02, campuses are expected to implement plans to engage in due diligence if they are aware of — or reasonably suspect — potential support may be related to the marijuana industry1 through a gift, grant, contract or other mechanism. Campuses are also expected to designate an office or officer(s) to take responsibility for ensuring reviews are conducted in accordance with the three-tiered approach outlined in the guidance memo.
At UCLA, offices responsible for accepting gifts, grants, contracts, and material transfer agreements will conduct the initial assessment to determine if support is coming from a Tier 1, 2 or 3 individual or entity as defined within Guidance Memo 19-02. These units will be assisted by the Research Policy and Compliance (RPC) unit of the Office of the Vice Chancellor for Research, which was designated in May 2019 by Scott Waugh, then-executive vice chancellor and provost, as a centralized campus resource for questions related to cannabis research and related activities. RPC staff will confer as appropriate with the Cannabis Advisory Board, campus counsel, and the UC Office of General Counsel and Research Policy Analysis and Coordination, as well as other UC and campus administrative units involved in cannabis research and educational policy oversight.
Concerns about potential risks will be managed as follows:
Tier 1: Support derived directly from illegal cannabis-related activities. Tier 1 support will not be accepted. Entities or individuals who fall into this category include those whose primary source of funds is related to the growth, manufacturing, distribution and sales of cannabis and cannabis products, which remain illegal under federal law.
Campus units involved in accepting support through gifts, grants, contracts, or material transfer agreements, must decline support from individuals or organizations that derive all or most of their revenue from cannabis-related activities that are illegal under federal law. There is no requirement for further review. Documentation of the determination should be retained by the unit making the determination.
Tier 2: Support from entities or individuals who have separately identifiable streams of revenue, some of which are directly tied to illegal cannabis-related activities and some of which are from other activities. Tier 2 support may be accepted with due diligence to confirm the presence of independent streams of revenue, and with a written declaration under oath from donors based on their personal knowledge that the funds were not derived from an illegal source.
Before accepting support from a Tier 2 individual or entity through gifts, grants, contracts, or material transfer agreements, campus units should submit a request for consultation to: CannabisQuestions@research.ucla.edu. In those instances where RPC concurs with the assessment, the donor/sponsor will be asked to sign a written declaration attesting to the fact that the funding is derived from a separate and lawful source.
Tier 3: Support from entities or individuals whose activities are only indirectly tied to the cannabis industry. Tier 3 support may be accepted, if reviewed at the campus level, and it is determined by RPC that the potential risks are acceptable and can be appropriately managed. Due diligence is required for each case. Depending on the circumstances, the campus may also require a written declaration attesting to the fact that the proposed support for UCLA activities was not derived from an illegal source.
Before accepting support from a Tier 3 individual or entity through gifts, grants, contracts, or material transfer agreements,, campus units should submit a request for consultation to: CannabisQuestions@research.ucla.edu.
Please contact RPC through CannabisQuestions@research.ucla.edu if you have questions about these policies and procedures, or about funding for specific cannabis-related research or other activities. Questions about hemp may be submitted in the same way.
Roger M. Wakimoto
Vice Chancellor for Research & Creative Activities