Overview of Proposal and Award Process at UCLA

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Overview of Proposal and Award Process at UCLA

• A short How-to-Do

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Types of Sponsored Projects

• Research
• Training
• Public Service
• Other Sponsored Activities

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Sources of Research Support

• Intramural Funding
• Includes Academic Senate grants and special
  programs sponsored by academic units

• Extramural Funding
• Federal
• State
• Local Govt (County, City)
• Non-profit organizations
• Foundations
• For-profit corporations

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Proposal Types

• Preliminary (white paper)
• Solicited
• Unsolicited
• New

• Renewal
• Continuation
• Revision
• Supplement

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Award Instruments

• Grants
• Contracts
• Subawards
• Cooperative Agreements
• Gifts

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Roles and Responsibilities

• Its a Team Effort

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The Team Players

• Office of Research Administration
• Office of Contract and Grant Administration
• Extramural Fund Management
• Office of Intellectual Property Administration
• Central Data Management Team
• Academic Departments
• Principal Investigator
• Chairs/Deans
• Department administrator/fund manager
• DRAs

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The Team Players, Cont

• Other Central Offices
• Business Financial Services
• Corporate Accounting
• Purchasing
• Equipment Management
• Payroll
• Accounts Payable
• Office for the Protection of Research Subjects
• Environmental Health Safety
• Gift Policy Administration
• Sponsors

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Prepare Proposal Submit Proposal
Identify Funding
Negotiate Award
Set Up Award
Close-out Award
Life Cycle of an Award
Generate Payment Requests
Perform Work
Monitor Project Manage Funds
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Identify Funding Sources

• Purpose To develop additional and alternative
  sources of funding for research, teaching, public
  service

• Identify agency priorities
• Obtain RFPs (when appropriate)
• Subscribe to ORA Funding Opportunities listserv

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Prepare and Submit Proposal
Purpose To obtain funding

• Read RFP/agency guidelines
• Develop scope of work
• Determine resources necessary
• Prepare budget and justification
• Identify key personnel
• Complete agency forms
• Obtain necessary approvals
• Review and submit proposal

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PROPOSAL COMMANDMENTS

• Thou Shalt make sure thou has the MOST RECENT
  Proposal Guidelines 
• Thou Shalt READ thy Proposal Guidelines 
• Thou Shalt FOLLOW thy Proposal Guidelines

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Five Key Areas in Proposal Preparation and
Submission Process

• Prepares proposal in accordance with agency
  guidelines
• Completes a Goldenrod and obtains necessary
  signatures of Chairs, Directors or Deans on the
  Goldenrod
• Obtains any necessary approvals concerning use of
  animals, human subjects or ionizing radiation
• If appropriate, completes a statement of
  financial interest (form 730-U and/or 740)
• Forwards copies of all materials to OCGA
  ideally three working days before the filing
  deadline.

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Standard Grant Proposal Components
Cover Page
Table of Contents
Abstract
Project Description
Budget
Biosketches (CV)
References
Facilities
Current and Pending Support
Appendices
Certifications
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Negotiate Award Terms Conditions
Purpose To confirm/accept agency terms and
conditions on behalf of UCLA

• Review terms and conditions
• Identify problematic provisions
• Propose alternative solutions
• Obtain review and comment from PI for
  acceptability
• Negotiate issues with agency
• Accept award

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Hierarchy of Regulations
Award Terms
Departmental Policies
Policy 910 and Accounting Financial Policies
University Policies Procedures
Sponsor Policies
Award Terms
A-21 A-110 FAR
Federal Policies and Governmental Law
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Set-Up Award
Purpose To establish an award number so
spending can start in accordance with terms and
conditions

• Enter and update basic award data (RNET/COEUS)
• Record terms and conditions
• Determine fund number and establish in financial
  system
• Record budget in financial system
• Dept. requests recharge ID
• ORA communicates information (award synopsis)

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Perform Work
Purpose To meet goals of the award

• Hire project personnel
• Purchase equipment and supplies, subcontractors,
  consultants
• Conduct research, training or public service
  activity
• Incur expenditures

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Monitor Financially Manage the Project
Purpose To safeguard the universitys
reputation and assets and satisfy agency
requirements

• Check budget terms and conditions
• Review ledger
• Contact EFM or OCGA to discuss alternative
  solutions
• Obtain approvals (if necessary)
• Rebudget/TOF

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Generate Payment Requests
Purpose To notify agency of payments due in
accordance with terms and conditions

• Determine expenditures
• Resolve issues, make adjustments
• Move unallowable expenditures
• Prepare invoices
• Submit request

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Close-Out Award
Purpose To notify agency of research completed,
project results and expenditures, equipment,
inventions, etc.

• Generate reports
• technical
• financial
• equipment
• patent/Invention
• Submit reports
• Record submission of reports

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Thank you!