The Contract and Grant Manual provides guidance on the solicitation, acceptance or execution, and administration of awards from extramural sponsors.
Since contract and grant administration must synthesize the internal functions of an institution and external sponsor requirements, this Manual provides guidance on the University's policies related to the requirements of major external sponsors, such as the federal government and the State of California.
Roles and Responsibilities
The proposal preparation process requires the participation and coordination of multiple parties. A proposal is initiated by a Principal Investigator (PI), but there is an administrative support system that ensures the PI can prepare and submit a high-quality proposal package that meets both sponsor and institutional requirements. The Office of Research and Economic Development (ORED) supports PIs by providing technical proposal development support through the Office of Research Development (ORD); administrative proposal preparation and award negotiation & acceptance through the Sponsored Projects Office (SPO), and non-financial post-award administration through Contract & Grant Administration (CGA).
Proposal Preparation Roles and Responsibilities
| Roles | |
| R |
Responsible for the current and through completion of the work to achieve the task |
| S |
Support for those who are responsible |
| C |
Consulted as needed in order to complete the task (two-way communication) |
| Responsible Party | |
| PI |
Principal Investigator |
| RA |
Preaward Research Administrator |
| CGO |
Contract & Grant Officer |
| Tasks | PI | RA | CGO |
| Completion of the Proposal Submission Request (PSR) | R | S | |
| Disclose conflicts of interest and commitment | R | ||
| Disclose human subjects research | R | ||
| Disclose animal research | R | ||
| Disclose hazardous research materials | R | ||
| Disclose export controls involvement | R | ||
| Identify related intellectual property disclosures | R | ||
| Prepare proposal that meets requirements outlined in the sponsor's application instructions, including applicable rules and regulations | S | R | C |
| Prepare technical proposal | R | ||
| Prepare proposal that meets requirements outlined in the sponsor's application instructions, including applicable rules and regulations | S | R | C |
| Identify the appropriate indirect cost rate | R | C | |
| Request an indirect cost policy exception request, if appropriate | R | C | |
| Develop appropriate budget and budget justification to accomplish the scope of work | S | R | |
| Verify that budget items are in accordance with Uniform Guidance (which also includes cost account standards) | R | C | |
| Request on-or-off-campus space needed in addition to that already assigned to the PI | R | S | |
| Request modifications or renovations to on-campus or off-campus space if necessary | R | S | |
| Request cost share and matching funds according to University policy | R | S | |
| Obtain letters of support of collaborators | R | S | |
| Request and obtain budget, scope of work and relevant documents from subcontractors and consultants | S | R | |
| Complete and route Cayuse proposal record | S | R | |
| Certification of the Cayuse record | R | S | |
| Monitor Cayuse record progress as it routes through the internal review process | R | ||
| Perform review of proposal according to sponsor and institutional requirements | R | ||
| Address issues with proposal identified by Contract and Grant Officers | S | R | |
| Act as institutional authority as to acceptability of sponsor requirements | R | ||
| Maintain database of proposal submissions and awards (Cayuse) | S | R |
The University of California Contract & Grant Manual identifies the following individuals as eligible to serve as Principal Investigators for extramural contracts or grants (Eligibility Matrix):
Members of the Academic Senate, including the following titles, whether in regular or emeritus status:
- Chancellor
- Vice Chancellor
- Dean (Academic)
- Professor
- Associate Professor
- Assistant Professor
- Research Professor
- Director of Academic Program
- University Librarian
- Chief Admissions Officer
- Registrar
- Senior Lecturer with Security of Employment at 100%
- Lecturer with Security of Employment at 100%
- Senior Lecturer with Potential for Security of Employment at 100%
- Lecturer with Potential for Security of Employment at 100%
- Appointees 50% time or greater in the Professional Researcher series.
- Titles include: Assistant Researcher, Associate Researcher, Researcher
- Appointees 50% time or greater in the Adjunct Professor series.
- Titles include: Adjunct Instructor, Assistant Adjunct Professor, Associate Adjunct Professor, Adjunct Professor
Principal Investigator Exceptions
Deans and ORU Directors must approve PI exception requests. However, the authority to approve exceptions to Principal Investigator status's eligibility requirements is vested in Vice Chancellor for Research. The PI exception form must be completed and included in the proposal Cayuse record with Dean/Director signatures before routing to the Contract & Grant Officer.
