Contracts and Grants
Contracts & Grants Documents
- Department Head Authority & Responsibilities
- Expenditure Adjustments (Cost Transfers)
- Form 700-U Instructions
- Form 700-U Statement of Economic Interests for Principal Invesitgators (replaces 730-U)
- Principal Investigator Authority and Responsibilities
Contracts: A contract is an agreement to provide tangible results, reports, or other "deliverable" items or to carry out a prescribed service for the direct benefit or use of the funding agency.
Grants: A grant is an agreement to provide financial and other assistance for a public purpose and when no substantial involvement of the funding agency is anticipated during performance of the project.
Direct Costs: Appropriate expenses charged directly to the contract or grant to which they pertain.
Indirect Costs: Indirect Costs (overhead) are a percentage charged to each applicable grant for actual expenses incurred by the University for associated administrative and facilities activities and costs.
SPAF: Sponsored Project Approval Form (SPAF)
SUMMARY OF POLICY
- All proposals for contracts and grants to outside agencies must be submitted in the name of The Regents of the University of California.
- University policy requires that all proposals for funding of research, training, and public service projects submitted to the funding agency only by specifically authorized individuals and that contracts be executed and grants be accepted only by specifically authorized individuals. For DANR, only the Associate Vice President and the Contracts & Grants Officer have this delegated authority.
- Proposals are considered potential legal and financial commitments made by the University of California to a funding agency.
- Proposals must be reviewed and approved by the Regional Office and DANR Contracts & Grants OfficePRIOR to being submitted on behalf of the University.
- Cooperative Extension Advisors have been granted UC "principal investigator" status through the Division of Agricultural & Natural Resources. (Note: Staff employees do not have "PI" status).
- Principal investigator status applies to proposals submitted through the University of California only; Advisors may not serve as principal investigators on proposals submitted by other agencies.
- Principal investigators are responsible for:
- Conducting the specified research activities and maintaining scientific integrity.
- Ensuring the proper use of project funds in accordance with University guideline and the sponsoring agency's terms and conditions.
- Submitting the agency's required technical report.
- Advising the DANR Contracts Office and Regional Office when there are any changes in the agreements.
Disclosure of Financial Interests:
Form 700U, Principal Investigators Statement of Economic Interests (http://www.ucop.edu/research/policies/fppc700u.pdf) is to be completed by principal investigators for all research projects which have been or will be funded, in whole or in part:
- Through a contract or grant of $250 or more from a non-governmental entity; or
- By a gift from a non-governmental entity which is earmarked by the donor for a specific research project or a specific principal investigator, provided the amount of the gift, or the aggregate over a 12-month period from the same donor, is $250 or more.
In addition, the Economic Interests Addendum must be filed for all positive disclosures.
It should be understood that the $250 figure and use of form 700-U has been mandated by the State of California Fair Political Practices Commission; that the information disclosed will be available to public scrutiny under the law; and that principal investigators must declare the statement to be true under penalty of perjury. A list of sponsors that are exempt (http://www.ucop.edu/research/exempt.html) from this requirement has been approved by the State of California Fair Political Practices Commission.
Within this context, the form must be filed whenever:
- The Principal Investigator applies for or requests renewal of a contract or grant from a private sponsor;Whenever a gift is specified by a donor for a particular investigator or for a specific research project for which he or she is responsible; and
Within 90 days after the research project is completed or the gift funds are exhausted. To file the form (submit original):
- Attach it to the ANR Sponsored Projects Approval Form when application is made to a private sponsor for support of a research project; Attach it to the Gift Acceptance Form when a gift is restricted to a particular investigator or specific research project for which the investigator is responsible.
If no proposal is required for renewal of contract or grant, the disclosure form must be filed prior to acceptance of the renewal award.
- Advisors complete the proposal, budget, and DANR Sponsored Projects Approval Form (SPAF).
- Proposal and SPAF are reviewed and approved (signed) by the County Director.
- Forward original SPAF and copy of proposal to the Regional Director for review and approval.
- Forward original proposal and copy of SPAF to DANR Contracts & Grants Office.
- DANR Contracts & Grants Office reviews and approves the proposal on behalf of the University and forwards proposal to the funding agency.
- When the fully executed agreement has been received, the DANR Contracts & Grants Office notifies the Principal Investigator (in writing) with copies to the County Director, Regional Office, and UCD Extramural Accounting Office.
- The Regional Office coordinates with the UCD Extramural Accounting Office to establish a new UCD DaFIS account for the project.
- The Regional Office notifies the Principal Investigator of the new account number.
Send proposals to the Regional Office 2 weeks prior to the agency's deadline to provide adequate time for Regional Office and DANR Contracts & Grants Office Review.
- When submitting proposals to outside agencies, please provide a copy of the agency's Request For Proposal (RFP) guidelines.
- Proposals to the State marketing boards and commissions may be submitted directly to the DANR Liaison Officer or to the respective board after approval by the County Director and Regional Director.
- DANR has a master agreement with the State marketing boards/commissions which provides an exemption from the University indirect cost charges.
- If the budget includes requests for funding for hiring UC employees, contact the Regional Office to obtain current salary and benefits rate information and to project pertinent merit and COLA salary increases for the project period. See the Benefits section for benefits cost factor.
- To obtain the current applicable University indirect cost rate, contact the DANR Contracts & Grants Office or refer to the indirect cost rate website below. (UCCE county-based projects fall under the category of "Other Sponsored Activities - Off Campus".)
The University's standard classifications of expenditures to be used in budget proposals are:
Salary expenses for UC employees
Supplies or expenses
Equipment (an item costing $5,000 or more)
Subcontract or Consultants
- If other Advisors, Specialists or faculty will also be receiving funds for the same project, please include specific budget information in your proposal. This way, the funds will be set up in accounts for each cooperator at the beginning of the project.
DANR Contracts and Grants Office Website (includes indirect cost rate information):
University Policy on Disclosure of Financial Interest in Private Sponsors of Research (APM-028), dated April 26, 1984 and University Guidelines for Disclosure and Review of Principal Investigators Financial Interest in Private Sponsors of Research, dated April 27, 1984: http://www.ucop.edu/acadadv/acadpers/apm/apm-028.pdf
Sponsors of Research Exempted from University Non-Governmental Entity Financial Disclosure Requirement: http://www.ucop.edu/research/exempt.html
Contracts & Grants Documents