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University
of California Office
of the President
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Chapter
10
Page 1 0f 37
Circular #21 |
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Contract and Grant Manual |
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Table
of Contents
10-100 THE
10-110 OFFICE OF THE PRESIDENT
10-111
Senior Vice President--Business and
Finance
10-112 Provost and Senior
Vice President --Academic Affairs
10-113 Senior Vice President --University Affairs
10-114
Vice President-- Division of Agriculture
and Natural Resources
10-115
Vice President-- Division of Health
Affairs
10-116 Vice President – Budget
Office
10-117 Office of the General Counsel
10-130 DEPARTMENT OF ENERGY MANAGEMENT & OPERATING
LABS
10-140 ORGANIZED RESEARCH UNITS
10-141 Single-Campus Organized Research Unit (ORU)
10-142
Multi-campus/Major Research Unit (MRU)
10-143
Exceptions to ORU Administrative Policies
10-200 SPECIAL UC ORGANIZATIONAL
CONSIDERATIONS IN CONTRACT & GRANT ADMINISTRATION
10-212
Authorization Obtained at Scheduled
Regents' Meetings
10-213
Authorization Obtained on an Urgent
Basis
10-214
Submission of Revised Proposals for
Regents' Items
10-215
Awards Which Vary Significantly from
Approved Regents' Action
10-216
Incrementally Funded Awards
10-217
Regents' Items Procedures and Administration
10-240 MULTIPLE UC CAMPUS PROJECTS
10-241
Authorities and Responsibilities
10-242
Communication with Extramural Sponsors
10-243
Inter-campus Communications
10-244
Coordination of University Multiple
Campus Projects
10-247
Indirect Costs/Facilities &
Administrative Rates
10-248 Time and Effort Reporting
10-250
INTERNAL SPONSOR/RECIPIENT RELATIONSHIPS
10-251
Campus Procurement of Laboratory Services
10-252
Laboratory Procurement of Campus Services
10-253
University Internal Funding Programs
10-300 CONTRACT & GRANT ADMINISTRATION: RESPONSIBILITIES & DUTIES
10-310 CONTRACTS AND GRANTS OFFICERS
10-320 RESEARCH
ADMINISTRATION --OFFICE OF THE PRESIDENT
10-330 PRINCIPAL INVESTIGATORS
10-340 COLLEGE
& SCHOOL DEANS, DEPARTMENT CHAIRS, & ORU DIRECTORS
10-350 ADMINISTRATORS OF CONTRACT AND GRANT RELATED
SERVICES
10-360 PROFESSIONAL CONFERENCES
10-362
External Professional Conferences
10-400 CONTRACT AND GRANT INFORMATION MANAGEMENT SYSTEM
10-410 OP
RESEARCH ADMINISTRATION PUBLICATIONS
10-411
Contract and Grant Policy/Contract and Grant Manual
10-412 Contract and Grant Operational Requirements
and Guidance
10-413 Federal
Register Information
10-420 CORPORATE CONTRACT & GRANT INFORMATION
SYSTEM REQUIREMENTS
10-421
Quarterly Sponsor Code Table Reports
10-422
Quarterly Universitywide
Reports
10-423 Annual
Reports to Campuses and Laboratories
10-424
As Requested
Universitywide Reports
10-500 BASIC INSTITUTIONAL INFORMATION
10-510 LEGAL, TAX, AND FINANCIAL STATUS OF THE UNIVERSITY
10-520 FEDERAL STANDARD INDUSTRIAL CLASSIFICATION
CODE SYSTEM
10-540
INTERNAL REVENUE SERVICE EMPLOYER'S IDENTIFICATION NUMBER
10-550 OTHER INSTITUTIONAL CODES
10-100 THE
The
the Office of
hospitals,
and numerous statewide
University
components and with external
carry out their University contract and grant administration
important that they understand the University's organization, its operations
and the
many organizational components.
Sections 10-110 through 10-150 describe the general organization of the University. Sections 10-200 through
10-254
discuss
obtaining
additional authorities
University
"sponsor-recipient" transactions.
Chapter 1 of this Manual provides coverage on the basic mission of the University. Chapter 13 discusses
the
constitutional and
which is charged with administering the
delegations of authority, from The Regents down, which
must
grant
administration function.
10-110
OFFICE OF THE PRESIDENT
The Regents have adopted Bylaws and Standing Orders in which are listed the duties of the President as the
executive
head of
http://www.universityofcalifornia.edu/regents/bylaws/so1004.html.)
Various functional units within the Office of the President (OP) support the President's responsibilities
to
The Regents for the conduct
areas
are headed by the Senior Vice President--Business
President--Academic
Affairs, the Senior Vice President--University Affairs, the
and
Natural Resources, the Vice President--Health Affairs, the Vice President
– Laboratory
the
Vice President – Budget.
Organization charts for the Office of the President are available at:
http://www.ucop.edu/ucophome/coordrev/orgchart.html. In
provide
further information about OP units that most directly work with the University's
administration
function.
10-111
Senior Vice President--Business and Finance
As the chief administrative officer for the University, the Senior Vice President--Business and Finance provides
support
to the
DOE
Laboratories in the conduct
chief
administrative officer for the internal administration of
management
of the following broad areas: [http://www.ucop.edu/ucophome/busfin/]
Business and Finance Bulletin G-8 describes the organizational structure and corresponding areas of
responsibility which the Senior
The organization chart at: http://www.ucop.edu/ucophome/busfin/divisionalorgchart.pdf provides a guide to the
organization
and functions of the various
President—Business
and Finance. The departments within
this Division
include: Clinical Services; Coordination and Review; Facilities Administration; Financial Management;
Human
Resources/Benefits; Information
Transfer; and Treasurer’s Office.
This section 10-111 provides additional information about offices which are most directly involved with the University's
contract
and grant
(1) Office of Technology Transfer [http://www.ucop.edu/ott/]
The Executive Director, Technology Transfer, reports directly to the Senior Vice President--Business and Finance.
The Director's
research, training, and public service
intellectual
property policies; training and advising campuses
copyrighting
of inventions or other creative works; licensing of inventions; and the disbursement
of the
University Patent Fund.
a.
Research
Administration Office [http://www.ucop.edu/raohome/]
The Director, Research Administration, reports to the Executive Director Technology Transfer.
The Research
University
research administration
Office
of the President. This Office is further
(2) Vice President-- Financial Management
Offices with responsibilities related to contract and grant administration, as discussed below report to the
Vice
President--Financial
financial
policies, strategies, plans and
The
areas within this department include: financial
analysis,
and
payroll. Financial Management is charged
with University financial and
and
with developing corporate reports and other information. The department reviews,
Federal,
State, and private sponsor audits and audits conducted by The Regents' external
auditors.
The department administers the University's risk management program, and reviews and monitors campus and
hospital
operations
reporting
to the Vice President or the Assistant Vice
a.
Strategic Sourcing [http://www.ucop.edu/matmgt/]
The Director, Strategic Sourcing, is responsible for developing and recommending policies, monitoring
compliance,
and
storehouse
operations, small business
and
equipment management. The Office administers
the
CALCODE classification and coding system for equipment and
represents
the University with external suppliers, independent contractors and consultants.
Strategic Sourcing has administrative responsibility to provide for appropriate implementation
of
the policies and
and grants, and other extramural
subaward
and purchase order terms and
grants,
as well as any special conditions required for
and consultant agreements. (See Business and Finance Bulletin BUS at:
http://www.ucop.edu/ucophome/policies/bfb/bfbbus.html
, including BUS 43, Materiel Management:
http://www.ucop.edu/ucophome/policies/bfb/bus43.html
and BUS 34, Securing
the Services of Independent Consultants:
http://www.ucop.edu/ucophome/policies/bfb/bus34.html.)
b. Risk
Management Office [http://www.ucop.edu/riskmgt/welcome.html]
The Director--Risk Management is responsible for developing and recommending policies and practices
to manage
programs,
to adjust
coordinator
within the University for
c. General Accounting Office [http://www.ucop.edu/dirbf/genacct/resp.html]
The General Accounting Office is primarily responsible for establishing uniform policies and
procedures
for recording
as the
campuses
for application and interpretation of accounting
endowment
funds and University investment.
The Office is further responsible for monitoring various cash advance programs administered
by the campuses and for
d. Costing
Policy & Analysis
[http://www.ucop.edu/costingpolicy/]
The
Manager of the Costing Policy & Analysis unit is responsible for:
• Federal
indirect cost rate proposals and negotiations;
• Federal costing regulation analysis;
• Primary liaisons with federal audit agencies;
• Federal costing systems development and maintenance;
• Extramural costing and audit policy development;
• Federal Audit Resolution; and
• Special Costing Studies and Analysis
(3) Office of the University Auditor [http://www.ucop.edu/audit/]
The University Auditor reports jointly to the Senior Vice President--Business and Finance and The Regents.
The University
Auditor
planning.
The Auditor assists the Board of Regents and
oversight,
management, and operating responsibilities using independent audits
and
consultations designed to evaluate and promote the internal controls system.
(4)
Associate Vice
President--Information Resources and Communications [http://www.ucop.edu/irc/]
The Associate Vice President--Information Resources and Communications (IR&C) reports to the
Senior
Vice President--Business
administrative
and business processes, as well as
IR&C
provides leadership towards enhancement of a secure IT
reliability,
timeliness, security, and efficiency of UC business systems.
Among the
functions
of IR&C is development and maintenance of the Corporate Contract and Grant
Information System
(see 10-420), policies and procedures for procurement of
computer hardware, software, and services, and
records
management policies.
10-112 Provost and Senior Vice President--Academic
Affairs [http://www.ucop.edu/acadaff/welcome.html
]
The
Office of the Provost and Senior Vice President--Academic Affairs is
responsible for: academic personnel
and
planning, including faculty development, faculty and graduate student
affirmative action, academic
program
review and Organized Research Units (see 10-140); research policy, including
research policy
and terms
and conditions applicable to protection of human and animal subjects in
research and conflict
of
interest; relations with the California Postsecondary Education Commission and
with other segments
of
education in
student
affairs, financial aid and loan collection, and student preparation; research
relations with the Department
of Energy
(DOE) Laboratories (see 10-130), library plans and policies, including the
California Digital
Library;
University Extension; Continuing Education of the Bar; and University
Press. Many Universitywide
research grant programs are administered under this Office. This office is
also the
principal liaison between the University administration and the Academic
Senate.
a.
Office of Research [http://www.ucop.edu/research/]
Under
the Vice Provost for Research, the Office of Research is most directly involved
with the University's
contract and grant administration function. It establishes and oversees the University policies in certain areas
relating to
subjects
and conflict
research
projects and legislative
of multi-campus
research units and programs
of Universitywide
research programs and units including
b.
Academic Advancement [http://www.ucop.edu/acadadv/welcome.html]
Academic Advancement is responsible for developing and implementing policies on compensation, benefits,
and employee
populations
to meet federal
evaluation
efforts; and for developing and
efforts
to enhance the diversity of the University's graduate
c.
Academic
Initiatives http://www.ucop.edu/acadinit/
The Department of Academic Initiatives develops major systemwide academic initiatives, extends the
reach
of the University
and informational
technologies to provide
planning
for the
libraries
and academic computing to enable faculty development of new applications
for
teaching and reach, and coordinates intersegmental relations
and master plan reviews.
10-113 Senior Vice President—University Affairs [http://www.ucop.edu/uer/welcome.html
]
a. General Responsibility
The Senior Vice President--University Affairs is responsible for communications and public
affairs,
federal and
major
issues within these areas
b.
Institutional
Advancement [http://www.ucop.edu/uer/instadv/welcome.html]
Institutional Advancement is responsible for articulating, facilitating, and encouraging financial and
other
support to
Institutional
Advancement, the Office
of private
support-related services for the University
administration
and allocation of gifts and bequests, reports
development
and compliance review related to gifts and endowments,
information
for potential donors.
c.
Office of
State Governmental Relations [http://www.ucop.edu/state/welcome.html]
The State
Governmental Relations Office provides a liaison between the University and
governmental
is responsible
for reviewing
President all measures of concern to the University. This includes those matters of concern to the
University's
contract and grant administration function.
The Office serves to promote understanding of the University's purposes, achievements, and public
service
capacity as
executive branches of government and State