Contracts & Grants
Proposal Preparation
Proposal Deadline
Ideal Timeline
Useful Links
Post-Award Management
Financial Management and Reporting
Award Closeout
Due Dates for Sponsor Financial Reports
Effort Reporting Systems
Useful Links
Consultants
Who can be a consultant?
Vendor Onboarding & Setup
Creating the Requisition
Required Documents
Invoices
International Consultants
Subawards
What is a subaward?
Vendor Setup
Creating the Requisition
Required Documents
Final Steps
International Recipients
Proposal Deadline to our Office:
Minimum of Seven (7) Business Days Before Sponsor Deadline
The proposal submission process should be a joint effort between you and your Fund Manager. Please notify us with your intent to submit an application as soon as possible. The sooner the better as we often have several applications due on the same day. Your Fund Manager can initiate the administrative tasks and the budget preparation while you focus on the research plan. By collaborating with us early on, we can save valuable time and avoid submission delays. Please be reminded that our office does not have signing authority to submit applications.
Ideal Timeline for Proposal Preparation
- Three (3) weeks prior to a proposal due date, we ask that PIs notify their assigned Fund Manager of an upcoming proposal deadline.
- Fund Manager will prepare an internal preliminary budget and budget justification with input from the PI(s).
- Once the budget and project title are finalized, the fund manager will initiate all internal UCLA forms: EPASS, 700U/740, eDGE, etc.
- PI(s) completes programmatic, scientific and/or technical components of the proposal and sends those documents to the Fund Manager for completion of the proposal to UCLA Office of Contract and Grant Administration (OCGA).
- UCLA OCGA and/or the Fund Manager will notify PI(s) to approve submission of the proposal.
- Once the review is complete and there are no further comments/changes, UCLA OCGA will submit the proposal electronically or email the submission to the sponsor.
Deadlines: All finalized proposal attachments are due to Fund Managers no later than seven (7) business days prior to the Sponsor’s deadline. This effort is to comply with UCLA OCGA’s five (5) business days turnaround time prior to the final submission deadline.
Post-Award Management
The Post-Award administration is a shared responsibility among UCLA Office of Contract and Grant Administration (OCGA), UCLA Extramural Fund Management (EFM), the Principal Investigator (PI), and Ed&IS Business Office. The process shares responsibility for award management and ensures that, as a grant recipient, UCLA is a responsible steward of the Sponsor’s resources.
Financial Management and Reporting
- The Business Office generates regularly scheduled financial reports for Principal Investigators and monitors accounts monthly to assist the PI(s) to ensure that funds are expended in accordance with the approved budget and agency guidelines.
- As you review your bi/monthly financial reports, it is crucial to review the current personnel while relaying any upcoming changes to your Fund Manager. If there are any anticipated personnel changes, please consult with your Fund Manager at your earliest convenience as the Business Office will have to collaborate with respective offices such as Ed&IS Human Resources and/or Academic Personnel.
Award Closeout
- No later than 30 days prior to the end date, the respective Fund Manager and/or Unit Manager/Analyst confirms with the PI(s) that no continuation/supplemental funding and/or no cost time extensions will be requested. If a multi-year award will remain active and continue, but a different fund number is required for each budget period, then the close out process applies to the budget period that ended.
- Fund/Unit Manager or Analyst conducts a review of all financial transactions to prepare the fund for close out.
- Fund/Unit Manager or Analyst completes the Smart Close-out Tool, including PI sign off and any necessary supporting documents for cost transfers.
- Fund/Unit Manager or Analyst submits Smart Close-out Tool via email attachment to their primary contact in the Business Office (if applicable). The Business Office will review the close-out tool for accuracy and completeness and work with the Unit Manager/Analyst to reach agreement on final figures.
- The Business Office is responsible to upload the final version of the Smart Close-out Tool to EFM’s server no later than the due dates specified below to complete the process. The Business Office will send a confirmation email to the Unit Manager/Analyst that the file upload was completed.
Due Dates for Sponsor Financial Reports
- Reports due 90 days after the end date (mostly federal)
Due to Business Office: 45 calendar days after the budget period end date
Due to EFM: 60 calendar days after the budget period end date - All other reports (non-federal) as specified in the Award Synopsis/Agreements
Due to Business Office: As agreed upon by Business Office and Unit Manager/Analyst, but no later than 15 days prior to the agency due date
Due to EFM: As agreed upon by the Business Office and EFM, but no later than 10 days prior to the agency due date
Effort Reporting System (ERS)
The Effort Reporting System (ERS) is the method of certifying to the granting agencies that the effort required as a condition of the award has actually been completed. Federal regulations require that any individual committing effort on a federal or federal flow-through contract or grant certify that the salary charged or cost shared by the institution is reasonable in relation to the effort expended on that project. Uniform Guidance 2 CFR 200 (formerly 2 CFR Part 220 and OMB Circular A-21) sets the criteria for acceptable methods of charging salaries and wages to federally sponsored projects, and requires that institutions follow acceptable methods for documenting the distribution of effort for all project personnel.
- What is Effort?
Effort is the proportion of time spent on any single professional activity and is reflected as a percentage of the total professional activity for which an individual is employed by an institution. Total professional activity at UCLA includes teaching, clinical practice, research, preparing proposals, administrative responsibilities or any other duties performed for UCLA. - What is the Effort Reporting System (ERS)?
ERS automates, streamlines and simplifies the effort reporting and certification process and provides comprehensive information on all effort expended on federally sponsored projects. Since salary expense represents the largest direct cost component on sponsored projects and effort reporting processes are currently under scrutiny by the Office of Inspector General, this system reduces the compliance risks inherent in the current process and protects the campuses from sizeable audit disallowances and the loss of federal funding, which could be consequences of having an ineffective effort reporting system. It displays effort report detail that is clear and understandable to the user; captures certification electronically so that the system can monitor completion and provide an audit trail; provides a simple method of correcting and re-certifying reports, and notifies individuals and departments of reporting deadline requirements. Effort reports must be certified within 120 days from the end of the Service Period. Certifiers will be notified well in advance of time for certification. - PI Role/Responsibility
Principal Investigators are automatically authorized to view, edit and certify Effort Reports and view the payroll details for employees paid on any of their projects. - Effort Reports are available electronically on a quarterly basis and should be certified by the Principal Investigator. Please refer to the ERS System Access for detailed access instructions.
Post-Award Management Useful Link
Who can be paid as Independent contractor/consultant?
Non-University person or organization providing a specific service. It is important to distinguish between a subaward vs an independent contractor/consultant from the initial stages.
- A Subaward is for work that is directly affecting the grant’s research.
- An Independent Contractor/Consultant provides a service that does NOT directly affect the research.
A purchase request form for services must be completed to establish a binding contract (purchase order) before any work begins. Any requests for work that has already started or is completed must be submitted as an “After-the-Fact” request.
Vendor Onboarding and Setup
Vendor onboarding/setup is initiated in Bruinbuy Plus by completing a purchase request form.
- Initial information needed from consultant: vendor name, address, and email.
- The UC Small Business First Program is a system-wide initiative to provide more accessible business opportunities for certified Small Businesses (SB) and Disabled Veteran Business Enterprises (DVBE). UCLA is committed to working with Small and Diverse businesses so we should be reviewing the database when working with vendors. UCLA Purchasing requires SBF certification from vendors for any contracts between $10-250K. If you follow the prompts, it should lead you to the thresholds, exemption, and waiver requirements.
Creating the Requisition
- In BruinBuy Plus, use the “Purchase Request” to begin creating the requisition
- Under the “Vendor” tab, search and select the consultant.
- If the consultant isn’t a registered vendor for UCLA, then select “Request Onboarding Request” to have Vendor Management initiate the onboarding process through PaymentWorks.
- Indicate total amount consultant will be paid. Select “undefined unit of measure” and enter amount in “line amount”
- In the description include:
- Name of consultant
- Summarize scope of work
- Timeframe of consultant services (start and end date).
- The daily rate for consultant x number of days
- Indicate if a signed agreement has been created between faculty and consultant
- Indicate where work will take place.
- Under “Accounting Codes” on the checkout page, Use sub 07, object code 3455.
Purchasing Requires these documents:
- Scope of Work/Budget Proposal
- CV/Resume, only if an individual (not a company or organization)
- Independent Contractor Pre-Hire Worksheet to be completed by the department
- Independent Contract/Consultant Form
- Sole Source Request Form (For Federally‐funded purchases ≥$10,000 and non‐Federally‐funded purchases ≥$100,000)
- Certificate of Insurance or an Insurance Waiver
- Review Liability Insurance Requirements.
Individuals/companies need liability insurance to conduct business with the University. More specifically, those who have a primary profession or means of making a living in consulting should have general liability insurance as part of their normal business practice, especially when a company name is used. UCLA Ed&IS tries to keep to a minimum the hiring of consultants who do not have general liability insurance. When exceptions are made, we expect they are minimal risk and the hiring unit/supervisor understands the need to avoid undue exposure for the school. In exceptional cases, when services are essential to the program/project, a proposal to waive or reduce insurance requirements may be recommended by the Chief Financial Officer based on a risk assessment by the Office of Insurance and Risk Management. In those instances, the Dean may accept financial liability on a one-time basis with the understanding that the consultant for any future work (including continuation of the same Purchase Order) will obtain the necessary insurance at their own expense.
Invoices
Independent Contractors/Consultants typically invoice after work has been completed, which can be monthly or quarterly depending on the terms between consultant and faculty. Invoices associated with UCLA POs must be emailed to noreply@invoices.ucla.edu and attached as an electronic image file (PDF preferred). The invoice must contain the following information:
- Must state “Invoice” and invoice number
- Reference associated PO number
- Date of invoice, as well as dates of service for payment requested payment
- Brief description of service
- Name and address of consultant that matches vendor profile
International Consultants
International Consultants who complete the work in the US:
- In addition to all of the above steps above, the consultant must also complete the Glacier process online. To establish this you must fill out the initial Glacier form.
- When creating the requisition, add Mike Sattin to the email notification.
For International Consultants who complete the work outside the US, no additional steps are necessary.
What is a subaward?
A subaward is issued under a grant or cooperative agreement to a for-profit entity, a University, or a non-profit entity for non-commercial or non-standard research related services.
It is important to distinguish between a subaward and a consultant from the initial stages. A subaward is for work that directly affects the grant’s research outcome. A Consultant provides a service that does NOT directly affect the research outcome.
Set up the subaward vendor
Set up the vendor in BruinBuy (If vendor is not already in BruinBuy): You will need the address, exact name of vendor (who check will be made out to), Tax ID number, and contact information. Once vendor is set up you will receive a queue message.
Subaward Requisition
Create Requisition in BruinBuy as “R” class.
- Use Sub 07
- If subaward is less than 25k, use object code 7310
- More than 25k, use object code 7300
- Indicate total amount of subaward, select “undefined unit of measure,” and enter amount in “line amount”
- Under description, indicate name of subawardee, name of faculty requesting subaward, timeframe of subaward (start and end date), and brief description of the project
Requisition will go to Purchasing. Purchasing will request documents listed below and then send them to Office of Contract and Grant Administration.
Required Documents
Proposal Stage:
- Detailed Budget & Budget Justification (provided by subawardee)
- Detailed Scope of Work (provided by subawardee)
- Subrecipient Letter of Intent (LOI) or MCA Commitment Form (UCLA)
- Fair & Reasonable Cost-Analysis for Subawards to For-Profits (completed by UCLA Principal Investigator and provided by UCLA department)
Award Stage:
- OCGA Subaward Checklist or MCA Checklist
- Subrecipient Institutional Information Form (SIIF) if the subrecipient is a non-FDP Expanded Clearinghouse member
- Financial Audit Management Questionnaire (FAMQ) if indicated required by SIIF
Subaward Management Monitoring:
Close-Out Stage:
Subaward Final Steps
- OCGA’s Subaward or MCA team will create an agreement and will send it to the subawardee for signature.
- PO will be issued by Purchasing.
- Subawardee may issue invoice for payment. Invoice must contain the following information:
- Must state “invoice”
- Invoice must be dated after creation of the PO.
- Invoice must be itemized and list the dates of service they are requesting payment for.
- Invoice must contain brief description of services
- PI/Faculty and fund manager will approve via email notification or within BruinBuy Plus.
For more information on Proposal submission please refer to the following FAQ: https://ocga.research.ucla.edu/faq/#outgoing-subawards
For International Subaward Recipients
Follow the steps above. In addition , the subawardee must complete the following form: Foreign Source Income Statement
Refer to Payments to Foreign Nationals for guidance on payment.
Note: This is a lengthy process that should be initiated three (3) months prior to when payment should actually be made.