1. Proposal Preparation
2. Award Management
3. Outgoing Subawards
4. Electronic Resources
5. Policies and Procedures
|5.1||What is a policy?|
|5.2||What is a procedure?|
|5.3||Who is responsible for maintaining UCLA polices?|
|6.1||What Internal forms are required for a UCLA submission?|
|6.2||Do I need a 700U or eDGE disclosure?|
|6.3||What is eDGE?|
7. Standard Institutional Information
|7.1||Does my PI need to register for their own DUNS number?|
|7.2||Do I or my department need to register with the Central Contractor Registry (CCR)?|
8. Training Resources
|8.1||Is there any recurring training hosted by OCGA?|
|8.2||Are there any other recurring meetings that address Contract and Grant Administration?|
1. Proposal Preparation
1.1 How do I submit a proposal to OCGA?
All proposals requiring OCGA review and submission should be routed to the OCGA Proposal Intake Team firstname.lastname@example.org and must include the following subject line of the e-mail: "Proposal for Review: Sponsor Name, PI Name". For additional information, you may visit the Proposal Preparation page.
1.2 How close to a deadline may I submit a proposal to OCGA for review and institutional approval?
OCGA requests proposals be submitted for review and institutional approval five (5) business days in advance of the submission deadline. OCGA prioritized proposal for review by the order in which they were received by the Proposal Intake Team, email@example.com. Please keep in mind that your OCGA Officer or Analyst provides sponsored program services to a large number of units on campus, all of which are also submitting proposals. Thus, if a proposal is received after the lead times established for standard and non-standard proposals, OCGA may not be able to provide a complete review in advance of the sponsor's deadline.
1.3 How will I know if my proposal has been received by OCGA?
When proposals are received via OCGA Proposal Intake Team, firstname.lastname@example.org, the PI department/unit administrator will receive an acknowledgement via email within two to four business hours. That is to say, if a proposal is received after 4pm the acknowledgement email may not be issued until the next business day. The acknowledgment email is not automated and is created and sent as part of the OCGA proposal log in process.
1.4 Will the Contract & Grant Officer or Analyst assigned to my unit review my proposals?
In most cases, the Contract & Grant Officer or Analyst assigned to your unit will review your proposals. However, from time to time, OCGA Leadership may change the Officer or Analyst assigned to a proposal. This will typically occur when i) the Officer of Analyst assigned to your unit is out of the office; ii) to balance the proposal workload and to ensure that proposals are submitted prior to sponsor deadlines; iii) to ensure that complex proposals are reviewed by an Officer with the requisite knowledge and experience; or iv) when the reassignment of a proposal will help facilitate OCGA training.
1.5 What is the NIH Salary cap? And when do I use it?
For the latest information on the DHHS salary cap, please see Salary Cap Summary.
1.6 What is the indirect cost (F&A) rate?
An indirect cost rate represents the ratio between the total indirect costs and benefiting direct costs, after excluding and or reclassifying unallowable costs, and extraordinary or distorting expenditures. (i.e., capital expenditures and major contracts and subgrants). For additional information, you may visit the Facilities and Administrative Costs (F&A) page.
1.7 How do I use the off-campus rate?
The off-campus rate should be used only when work is either done at facilities owned or leased by other organizations, or in a building for which rent is being directly charged to the project.
2. Award Management
2.1 Am I the award recipient or is it the University?
Awards made to UCLA are received in the name of The Regents of the University of California. Thus, the University is the recipient of the record.
2.2 What are the risks, liabilities and limitations of Pre-award Spending?
The risks, liabilities and limitations associated with pre-awarded spending must carefully considered prior to requesting authorization to spend funds in advance of receiving an award.
Risks: Whenever the University authorizes pre-award spending, the University is risking monetary loss. The Federal sponsor is under no obligation to reimburse such costs if for any reason the University does not receive an award or if an award is delayed or is less than anticipated and inadequate to cover such costs.
As such, the PI must identify alternate non-federal, unrestricted funding sources that are available to cover the risk of a delayed start date, costs potentially disallowed by the sponsor, or instances where a sponsor cancels the issuance of an award.
Liabilities: Special care must be exercised in assessing the impact of pre-award spending of the legal obligations of the University prior to requesting or approving advance spending. The University must consider the impact of not having a fully executed grant or cooperative agreement on its legal obligations regarding intellectual property rights, subject injury, indemnification, etc.
Limitations: A sponsor's policies, the terms and conditions of the anticipated award, and campus policies and proactive determine whether or not pre-award spending or pre-award activities are allowable. Restricting differ depending on the funding agency and the type of award anticipated. Additional information can be found in Policy 920.
2.3 What is TIF?
Technology Infrastructure Fee (TIF) is the monthly charge for university technology services based on the number of faculty, staff and student Full Time Equivalent (FTE) employees. Additional Information can be found at Technology Infrastructure Fee FAQs.
2.4 Who do I contact for gifts?
For gifts and gift related questions please contact UCLA Development.
2.5 My proposal has been awarded. When can I get a fund number?
A fund number being assigned is dependent on a multitude of factors including, but not limited to: Completeness of proposal file and compliance documents, complexity of the received award, responsiveness of the sponsor for negotiation of the agreement, volume of proposals to be submitted by OCGA to the sponsor. If all compliance, internal documents and finalized agreement are in place, then it can take up to three (3) business days for a fund number to be established.
2.6 Where can I see a copy of my award?
The ORA Online Resource Center is a web-based portal for UCLA's research community. It is a single point of access to research-related information and resources. It is intended to enhance overall communication between campus and central administration.
2.7 How do I get an extension on my award period?
The fact that funds remain at the expiration of the grant is not, in itself, sufficient justification for a no cost extension. First time requests and additional request have different handling and may be impacted by the terms and conditions of the award. For additional information, you may visit the Prior Approval Request page.
2.8 I have a PI that wants to transfer to another university. What do I do with their grants?
It is important to note that grants are issued out to the Regents of the University of California, and not the individual recipient. Given this, it is important to note that if the Principal Investigator has accepted a position at another University, they must work with their Department, their OCGA contact and the Sponsor in order to receive the approval to transfer the grant to their new institution. The criteria will vary by sponsor, so it is important to work with OCGA in order to understand the Sponsor’s guidance for transferring the award to a new institution.
2.9 I have a PI that will be transferring to UCLA. How do I transfer his grants?
It is important that the Principal Investigator work with their current institution and Sponsor in order to initiate the transfer of the award to UCLA. It is recommended that the initiation of the transfer be started earlier in the process as the transfer of the grants can take time. In some cases, OCGA may have to submit a proposal application for the transfer of the grant to UCLA.
3. Outgoing Subawards
3.1 What is a Subaward?
An Outgoing Subaward is a formal written agreement between UCLA and another party to perform a portion of the statement of work under a UCLA assistance award (i.e. UCLA grant or cooperative agreement). The terms of the relationship are influenced by the prime agreement received by UCLA, and the third parties' statement of work. OCGA prepares and negotiates all outgoing subawards for prime awards accepted by OCGA. All outgoing subawards must be monitored to ensure that the subrecipient complies with these terms. Federal regulations for subrecipient determination and monitoring are found in the Uniform Guidance (2 CFR Chapter I, Chapter II, Part 200, et al. OMB Uniform Administrative Requirements for Federal Awards). A subrecipient works collaboratively with the prime award recipient to carry out the scope of work. Note the distinction between a subaward (under an assistance award) and a subcontract (under a contract): for more information see Subaward Definitions.
3.2 Is a Subrecipient Commitment Form needed when proposing a subaward with another UC campus?
No. When proposing a project that involves another UC campus, the MCA Commitment Form should be used instead. This is because all UC campuses are under the same legal authority as UCLA.
3.3 When does the monitoring of subrecipients begin?
The process of monitoring a subrecipient begins at the proposal stage. The UCLA PI and department obtain the proposal from the prospective subrecipient for participation in the project, and incorporates the proposal scope of work, budget and budget justification in the prime proposal to the sponsor. The PI/department also obtains the UCLA Subrecipient Commitment Form (or FDP Expanded Clearinghouse Letter of Intent) from the subrecipient and sends it to OCGA with the prime proposal.
For more information see: Proposal Stage Procedures page.
3.4 Why is a Subrecipient Commitment Form needed before an award is issued?
The federal government requires UCLA to document subrecipient compliance with regulations such as those governing research with human or animal subjects, conflict of interest disclosures, and OMB Uniform Guidance 2 CFR 200. The OCGA is offering the Subrecipient Commitment Form as a tool for campus departments and non-FDP Expanded Clearinghouse subrecipients to understand what is needed to prepare and issue subawards. For FDP Expanded Clearinghouse members, the Commitment Form is replaced by the much shorter FDP Expanded Clearinghouse Letter of Intent, as much of their compliance and data verification is housed on the FDP Expanded Clearinghouse website. For more information see: Required Forms for Outgoing Subawards page.
Having the necessary data at the proposal submission stage puts the institution in compliance with federal regulations and expedites the issuance of subawards. Having material submitted at the proposal stage will allow subawards to be processed and issued more quickly. Having the information at the award stage reduces the time to independently research and verify the information included on the form.
3.5 How is the Subrecipient Commitment Form used?
The Subrecipient Commitment Form, or FDP Expanded Clearinghouse Letter of Intent as applicable, is to be completed and signed by an authorized institutional representative of the subrecipient and provided at proposal stage with other proposal documents. The form also is to be used for awards that did not include the form at proposal stage. When UCLA investigators are requesting subawards at award stage, the Subrecipient Commitment Form, or FDP Expanded Clearinghouse Letter of Intent as applicable, must be completed and signed at the time of award by an authorized institutional representative of the subrecipient.
For more information see: Required Forms for Outgoing Subawards page.
3.6 What other subaward documents are required at the proposal stage?
The University of California, Los Angeles requires that the following documents be included in order for a named subrecipient to be included as part of a principal investigator’s proposal to the sponsor. Proposals will not be endorsed by institutional officials until these elements are on file.
Subrecipient’s Statement of Work (SOW), including a clear description of the work to be performed, the proposed timelines and deliverables, biosketches of subrecipient key personnel, etc.
Subrecipient’s Budget and Budget Justification, including the subrecipient’s direct and indirect costs, calculated using the subrecipient’s approved facilities and administrative (F&A) and fringe benefit rates, and verifying any committed cost sharing.
A Subrecipient Commitment Form, completed and signed by the subrecipient’s institutional official, unless a participant in the FDP Clearinghouse Pilot.
3.7 After an award is made, how is a subaward established?
The UCLA PI determines when a subaward is to be issued. The PI must verify that this is a subaward, not a purchasing action processed by the UCLA Purchasing Department.
A Request for New Subaward Checklist-Attachment C is completed by the PI and any other documentation that applies and forwarded to OCGA: email@example.com. Subrecipients not subject to an A-133 audit will be required to complete a Mini-Audit Questionnaire-(part of Attachment B).
OCGA verifies that this is a subaward as opposed to a purchasing action processed by the UCLA Purchasing Department. Verifies that all required subrecipient documentation is present. Prepares and negotiates subaward. Issues subaward.
3.8 How can a subaward be amended?
The PI determines when a subaward is to be amended. Common reasons for amending a subaward include providing additional funding, extending the period of performance, or modifying the reporting schedule. It is important to keep in mind that some administrative actions, which could be considered internal to UCLA, do not require an amendment. One example of an administration action is the internal deobligation of Subrecipient funding under awards with restricted carryforward. Another example is the approval of a subrecipient’s carryforward under a subaward agreement that granted automatic carryforward. If you have any questions about whether an action requires a subaward amendment, please reach out to the Outgoing Subaward team.
It is important to note that some changes, such as scope of work changes, change in the subaward recipients’ principal investigator or transferring the subaward from one recipient to another, may require the prior approval of the prime sponsor. Request to amend an existing Subaward using the OCGA Subaward Checklist, and then forward to OCGA along with any other documentation (per the OCGA Subaward Checklist). OCGA then amends the subaward.
For detailed information see sections F-G of the Subaward Process Matrix.
3.9 How is a subaward closed out?
The UCLA PI is responsible for submitting any required technical, property, and invention reports and/or any other required deliverables specified in the subaward to the awarding agency. Failure to provide such reports and deliverables according to stated timelines can have a negative impact on future funding from the sponsor. The UCLA PI also is responsible for ensuring that each subrecipient has submitted all required reports and deliverables to UCLA prior to making a final payment to the subrecipient. When the UCLA PI has received all the final reports they will fill out the Subaward Close-out Checklist-Attachment D and submit it to OCGA Subaward team.
For detailed information see sections H of the Subaward Process Matrix.
3.10 Federal Demonstration Partnership (FDP) Expanded Clearinghouse Pilot, What is it?
The FDP Expanded Clearinghouse is an initiative that has been authorized by the Federal Demonstration Partnership for participants to use on-line entity profiles in lieu of subrecipient commitment forms to obtain information needed by pass-through entities when they are issuing subawards or monitoring their subrecipient entities.
- For Subrecipients that are part of system, if one site is listed as participant it does NOT automatically mean all the system-sites are participants (ex. UT Austin = Participant; UT El Paso = NON Participant). Check and make sure the specific entity is named on the list.
- The FDP Expanded Clearinghouse applies to all incoming and outgoing Subawards handled by OCGA (for outgoing Subawards the FDP Expanded Clearinghouse applies even if the Prime Sponsor is not federal).
- If we have an upcoming proposal with a participant Subrecipient that has already filled out the Subrecipient Commitment Form, we will accept it instead of the LOI. DO NOT have them also fill out a LOI.
- If we have an existing project with a participant Subrecipient that has filled out the Subrecipient Commitment Form for the entire project period (ex. 5 years) and nothing has changed, we will continue to use it. DO NOT have them also fill out the LOI.
- If we have an existing project with a participant Subrecipient that has filled out the Subrecipient Commitment Form for only part of the entire project period (ex. 1 of 5 years), have them fill out the LOI to add any out year(s) [or for any additional/supplemental funds].
3.11 Has FDP released any sample pushback language for institutions that are not fully aware of pilot participation?
Yes, FDP has provided suggested push-back language for Expanded Clearinghouse members.
4. Electronic Resources
4.1 Does my PI need to register for an account in Grants.gov?
No, applications are submitted through the University, and the institution already has an account with Grants.gov.
4.2 I can't find my PI in S2SGrants (Cayuse). What should I do?
If no Professional Profile exists for a UCLA PI or administrator, an administrator from the home department with existing access to S2S Grants (Cayuse) would create a Professional Profile in S2S Grants for the new user then request access. In order to ensure the most effective use of the system, a complete the Profile per the guidelines in the S2S Grants Business Processes and Procedures is necessary. When the Professional Profile is complete the administrator would then send an e-mail to firstname.lastname@example.org confirming email address and UID number of the new user(s), OCGA eRA Help will then grant new user access.
4.3 I am signed into S2SGrants (Cayuse), but I do not see a specific proposal under the "Proposals" tab. What should I do?
If you are able to log in to the system and cannot see proposal you are looking for please click the “Show All” link. This will reveal any proposals you have permissions to as well as those you have not yet viewed. Alternatively, you can use the search function just under the tabs.
4.4 How do I get an NIH eRA Commons User ID?
To obtain an NIH eRA Commons User ID this is the basic information required to create an account:
- Full name
- UCLA email address preferred
- Commons ID role
- Does the individual have an existing Commons ID with another institution? If yes, then please give the existing Commons ID (if known) and/or the previous institution’s name. The account will then be affiliated with UCLA instead of a new account being created.
Once you have this information please send it in an email to OCGA eRA Help, email@example.com for account creation.
4.5 Do undergraduates, graduate students and postdoctoral researchers need an eRA account for RPPRs?
For guidance on whether or not an eRA Commons ID is necessary we would review the RFA or program solicitation and the NIH Grants Policy Statement. See the Specific guidance for the use of eRA Commons ID across roles.
Here is the important bit: “Progress Reports: On/after October 18, 2013, all graduate and undergraduate students reported on the All Personnel Form in the PHS2590 or the Participants Section (D.1) in the RPPR should have eRA Commons IDs in addition to the current requirement for postdoctoral researchers. A warning will be issued for all graduate and undergraduate students listed on the Participant List of the RPPR who do not have an eRA Commons ID. Beginning October 2014, RPPRs lacking an eRA Commons ID for graduate and undergraduate students will receive an error and the RPPR will not be accepted by the NIH without this information. eRA Commons IDs will be encouraged for all other individuals listed on the All Personnel Form or the Participants sections of those reports.”
4.6 My PI is using NSF Fastlane to prepare the proposal, am I able to log in an assist?
Yes, an Other Authorized User (OAU) account can be created for you by OCGA eRA Help. Using the Fastlane Proposal ID (system generated) and Proposal PIN (created by PI), administrators and assistants can log into NSF Fastlane to help prepare proposals.
5. Policies and Procedures
5.1 What is a policy?
A policy is a governing principle that mandates or constrains actions.
5.2 What is a procedure?
A Procedure defines the implementation of a policy. Procedures are a step-by-step description of the tasks required to implement organizational policies. Procedures are freestanding documents often located on departmental or sponsor websites. A quick comparison between a policy and procedure can be found in the UCOP Policy Development Toolkit.
5.3 Who is responsible for maintaining UCLA polices?
The UCLA Administrative Policies & Compliance Office is responsible for maintaining UCLA Policies. More information can be found at the Policies and Delegations website.
6.1 What Internal forms are required for a UCLA submission?
In addition to the federal and state required financial interest disclosures, UCLA OCGA maintains and operates using the Extramural Proposal Approval and Submission Summary (EPASS) form, the form and its instructions can be found on the Forms page.
6.2 Do I need a 700U or eDGE disclosure?
Correctly disclosing any financial interests or conflicts of interest is a very important aspect of compliance. Research Policy Compliance office maintains a decisions matrix and the forms for UCLA use.
6.3 What is eDGE?
In accordance with revised PHS financial disclosure regulations, the Office of Research Policy and Compliance (RPC) developed the Electronic Disclosure Gateway (eDGE). Effective August 24, 2012, eDGE replaced the 740 form as the method for disclosing financial interests for projects submitted to PHS or to sponsors that have adopted PHS policy. (Please note: The 740 form is still required for NSF and other federal sponsors.) As before, those required to submit through eDGE are the PI and all others who share responsibility for design, conduct, or reporting of the results of a sponsored project. For more information regarding PHS conflict of interest regulations, please see Frequently Asked Questions on the PHS COI Regulations.
7. Standard Institutional Information
7.1 Does my PI need to register for their own DUNS number?
No, applications are submitted through the University, and the institution already has its own DUNS number. UCLA's DUNS number is 092530369.
7.2 Do I or my department need to register with the Central Contractor Registry (CCR)?
No, UCLA is registered with the CCR. This registration uniquely identifies UCLA and UCLA's key business officials to the federal government. It will be used by the federal government to help complete some data reporting elements and to disseminate information about these reports. For additional information, you may visit the UCLA Standard Information page.
8. Training Resources
8.1 Is there any recurring training hosted by OCGA?
Yes, OCGA Master Training Calendar. Presented by subject matter experts, this training opportunity offers monthly, 90 minute sessions on focused topics of interest to the UCLA research administration community. For additional information, you may visit the OCGA Master Training Calendar page.
8.2 Are there any other recurring meetings that address Contract and Grant Administration?
Yes, the Research Administration Forum (RAF) hosted by Associate Vice Chancellor Marcia Smith. More information on the RAF can be found on the RAF web page.
Page Last Updated: September 3, 2020