Pre-approval process for hiring outside consultants and independent contractors

As directed by President Napolitano in her January 22 email communication and subsequent directives, all hirings of outside consultants and independent contractors, regardless of any prearrangement via a blanket agreement, must be approved by the appropropriate approval authority prior to contract negotiation.

This process applies to all OP departments and divisions, including the Officers of the Regents and OP employees in the Division of Agriculture and Natural Resources.

Process for Non-Construction/Maintenance Project

  1. Department consults with subject matter expert unit(s) (see Operations Units table below) to ensure the work does not overlap with existing operations and staff, and to see if the need can be addressed using existing internal resources.
  2. Requestor completes the Request for Approval of Contractors and Consultants (AC&C form, pdf) and, if the amount is > $20K, drafts the Decision Memo (Word) for Department Head to review.
  3. Following Department Head's approval, requestor sends packet to Purchasing/Procurement for review via ucopcontractor@ucop.edu.
  4. Purchasing/Procurement team provides comments/recommendation. If request appears to overlap with work done by expert units, Purchasing/Procurement may convene a cross-functional Advisory Board to assist in the review.
  5. Purchasing/Procurement routes the request to the appropriate approval authority in accordance with the approval matrix below. If the amount is > $20K, Division Head completes the Decision Memo if he or she supports it, stipulating that the resources being requested are not available in his or her division.
  6. If approved, Purchasing/Procurement logs request and negotiates contract with vendor.

Process for Construction/Maintenance Project

  1. Department consults with subject matter expert unit(s) (see Operations Units table below) to ensure the work does not overlap with existing operations and staff, and to see if the need can be addressed using existing internal resources.
  2. Requestor completes the Request for Approval of Contractors and Consultants for Construction/Maintenance Project (AC&C for Construction/Maintenance Project, pdf) and, if the amount is > $20K, also drafts the Decision Memo for Construction/Maintenance Project (Word) for Department Head to review.
  3. Following Department Head's approval, requestor sends packet to appropriate approval authority based on the approval matrix below.
  4. If approved, requestor logs request and negotiates contract with vendor.  Requestor also must send a copy of the approved package to Purchasing/Procurement for their records.
Approval Authority
AMOUNT APPROVAL AUTHORITY DOCUMENTATION REQUIRED
> $20K President AC&C Form + Decision Memo
<= $20K Division Heads (see list below) AC&C Form
<= $10K Vice Presidents or Vice Provosts who are not Division Heads AC&C Form

Operations Units

OPERATIONS UNIT POINT OF CONTACT
OP Budget Kristen Neal, Interim Director
Business Resource Center (BRC) Amal Smith, Director
Building and Administrative Service Center (BASC) Steve Murray, Director
Pamela Madison, Space and Relocation Manager
Communications Yem Ling Fong, Production/Business Operations Manager
Local Human Resources John Fox, Executive Director
Information Technology Services (ITS) Shirley Bittlingmeier, Client Services Manager
Purchasing/Procurement Billy McV, UCOP Senior Buyer
Institutional Research Charles Masten, Deputy

Division Heads

Aimee Dorr: Office of the Provost
Nathan Brostrom: Business Operations
Nathan Brostrom: Finance
Dan Dooley: External Relations
Barbara Allen Diaz: Agriculture and Natural Resources
Jagdeep Singh Bachher: Chief Investment Officer
Sheryl Vacca: Ethics, Compliance and Audit Services
Charlie Robinson: General Counsel
Jack Stobo: Health Sciences and Services
Kimberly Budil: Lab Management
Anne Shaw:  Secretary and Chief of Staff to the Regents
Hilary Baxter: Academic Senate

Requirements for additional approval

If the negotiated contract amount exceeds the pre-approved estimate by 10% or more, then additional approvals are required as follows:

  • Between 10 and 20%:  Executive Vice President for Business Operations (EVP-BO) is authorized to approve.
    • When submitting the PSA/ICA contract to EVP-BO for signature, department must indicate that the amount is 10-20% higher than the pre-approved estimate.
  • More than 20%: The President will have to re-approve the request.
    • Department must re-submit the request and the decision memo with the new contract amount.