Suspension of State Contracts - Governor's Executive Order S-09-08
ARRA Award Reporting
Am I the award recipient or is it the University?
Awards made to UCR are received in the name of The Regents of the University of California. Thus, the University is the recipient of record.
Do I or my department need to apply for a DUNS number?
No, the Office of Research established a DUNS number for UCR approximately twenty years ago. This number uniquely identifies UCR to the federal government. It will be used by the federal government to help complete some of the required ARRA data reporting elements.
Do I or my department need to register with the Central Contractor Registry (CCR)?
No, UCR registered with the CCR approximately ten years ago. This registration uniquely identifies UCR and UCR’s key business officials to the federal government. It will be used by the federal government to help complete some of the required ARRA data reporting elements.
How do I submit ARRA reports to the federal government? Do I use FastLane or Grants.gov?
The Office of Research is responsible for submitting all ARRA reports via FederalReporting.gov. Key OR staff have already registered with this system. It is not necessary for PIs or department FAOs to register at FederalReporting.gov.
What is the purpose of these reports and are they really required?
Yes, these reports are required by the enacting legislation for the American Recovery and Reinvestment Act (Section 1512). The purpose of the reports is to provide transparency in how the federal funds awarded under ARRA, as well as documenting the economic impact of the funds, especially as it relates to the creation and retention of jobs.
SPA Organization & Customer Service
How is Sponsored Programs Administration (SPA) organized?
SPA is organized into two teams of Contract and Grant Officers (CGO). Each team has a Team Leader, who is a Principal CGO. Each CGO is assigned a portfolio of departments/units and closely coordinates with other areas in the Office of Research, such as Research Integrity and Technology Commercialization to help facilitate a comprehensive, customer-oriented approach to providing sponsored programs administration services.Information about CGO departmental
assignments, as well as CGO team groupings can be found on the Office of
Research (OR) webpage under the OR
Who do I contact in Sponsored Programs Administration to ask questions?
You should first direct your questions to the Contract & Grant Officer
(CGO) assigned to your department/unit. Please allow your CGO an appropriate
period of time in which to return your phone call, e-mail or other communication
before contacting the Team Leader. Information about CGO departmental
assignments, as well as CGO team groupings can be found on the Office of
Research (OR) webpage under the OR
If your CGO is not immediately available and you are facing an emergent
situation, please contact the Team Leader. Likewise, when your CGO is not
available because they are out of the office and not able to respond to your
inquiry (e.g., on vacation, out ill, out for jury duty, etc.), please contact
the Team Leader.
Proposal Submission, Review and Approval
Do preproposals need to be submitted to Sponsored Programs Administration (SPA) for institutional review?
Preproposals should be submitted to SPA for institutional review if any of the following apply:
• The preproposal must be signed by an authorized institutional official.
• Submission of a cost sharing commitment letter signed by an institutional official is required, or the sponsor will use institutional commitments evidenced by a signed letter (or equivalent) as a selection criteria to determine which applicants will be invited to submit full proposals.
• A detailed budget is required by the sponsor, or the preproposal contains a detailed budget that i) does not include facilities and administrative (F&A) costs or ii) F&A costs are calculated using an F&A rate other than those rates contained in UCR's F&A cost rate agreement or for which there is no currently approved waiver.
• Preproposals submitted in response to a sponsor's solicitation that indicates that the sponsor may fund awards based on preproposals (i.e., the sponsor reserves the option to forego requesting a full proposal).
• Preproposals that must be submitted to the sponsor by SPA via an electronic proposal submission system (e.g., NSF FastLane, Grants.gov, etc.).
Do all proposals to external sponsors have to be submitted to Sponsored Programs Administration (SPA) for review and institutional approval?
Yes. UC Presidential policy requires that employees who receive any part of their salary through the University, or whose activities use any University resources or facilities, must submit their proposals for extramural support to the appropriate local contracts and grants office for review and approval. At UCR, the local contract and grant office is SPA.
This policy is applicable to all proposals submitted to extramural sponsors, including UC-wide funding programs (e.g., Division of Agriculture and Natural Resources, UC MEXUS, Pacific Rim Research Program, UC Energy Institute, UC Discovery Program, Tobacco-Related Disease Research Program, etc.), regardless of: i) whether the sponsor requires the signature of an authorized institutional official, or ii) the method used to submit proposals (electronic v. paper).
Some sponsors, such as marketing order boards, don’t require that a proposal be signed by an institutional official. Do these types of proposals need to be submitted to Sponsored Programs Administration for review?
Yes, UC Presidential policy requires that all extramural proposals be reviewed and approved by the local contract and grant office prior to submitting the proposal to the sponsor, regardless of whether a sponsor requires an institutional signature.
When should proposals be submitted to Sponsored Programs Administration (SPA)?
Standard proposals should be submitted to SPA no later than three (3) full business days and non-standard should be submitted to SPA no later than seven (7) business days prior to the date that the proposal must leave UCR to ensure that it is received by the sponsor's submission deadline.
What is the difference between a standard and non-standard proposal?
A standard proposal is a new, supplement, continuing or renewal proposal to:
• U.S. federal government departments, agencies and entities; State of California departments and agencies; University of California entities, including UC-managed DOE labs; U.S. institutions of higher education, or U.S. non-profit sponsors (e.g., foundations, charitable trusts, etc.); and
• Where the resulting award will be a grant, cooperative agreement or subaward; and
• Do not involve any of the elements of a non-standard proposal.
A non-standard proposal is a new, supplement, continuing or renewal proposal that involves any of the following:
• The PI or a Co-PI has an appointment that requires approval of the VCR to submit proposals as PI and/or does not hold a UCR appointment for the full period of the proposed work.
• A Request for Proposals, Request for Quotes or any other solicitation stating that the resulting award may be, or will be, a contract and where the submission of a proposal indicates acceptance of the award terms and conditions contained in the solicitation.
• A sponsor’s requirement to submit an intellectual property management plan; laboratory safety plan; or any other set of plans that would require coordination with other UCR administrative offices;
• One or more subawards to entities outside of UCR;
• Construction, alterations/renovations of existing space, special space requirements (e.g., renting or leasing space off-campus, approval to access non-UCR facilities);
• Institutional cost sharing requests of $250,000 or more.
• Any institutional commitment that requires or necessitates the approval of the Dean, Vice Chancellor for Research, Executive Vice Chancellor and Provost, or the Chancellor.
• Use of non-standard Facilities and Administrative (F&A) cost rate not previously approved by the Office of the President or where a request for F&A rate waiver must be coordinated with the Office of the President;
• Total direct costs of more than $5 million per year requested from the sponsor.
• Proposals to establish a new center or institute on the campus.
• Programs/projects involving a consortium of participants (e.g., other universities and/or for-profit entities)
How close to a deadline may I submit a proposal to Sponsored Programs Administration (SPA) for review and institutional approval?
SPA prioritizes proposals for review by the order in which they were received by the Contract and Grant Officer (CGO) assigned to your unit. Please keep in mind that your CGO provides sponsored programs 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, SPA may not be able to complete its review and provide institutional approval in time to meet the sponsor’s deadline.
Do I submit my proposal to my Contract & Grant Officer or the Team Leader?Neither. Proposals may be submitted to SPA in one of
three ways: i) hand delivered/campus mail to the Office of Research front office
(200 University Office Building); ii) via email@example.com, and iii) via eCAF
(currently limited to eCAF pilot departments). Information about how to submit
proposals to SPA may be found on the OR website on the Obtaining
Institutional Review and Endorsement page (click on How may
proposals be submitted to SPA?).
How will I know if my proposal has been received by Sponsored Programs Administration (SPA)?
When proposals are hand delivered to SPA or received via firstname.lastname@example.org
, the PI and department/unit administrator will receive an acknowledgment via e-mail within two to four business hours. That is to say, if a proposal is received at 4pm, the acknowledgment e-mail may not be issued until the next business morning. The acknowledgment e-mail is not automated and is created and sent as part of the SPA proposal log in process.
Those departments who are using eCAF receive an e-mail notification that is automatically generated as soon as the proposal is made available in eCAF for SPA review.
How are proposals prioritized for institutional review?
Once a proposal is received and logged in, it is reviewed in the order received by the Contract and Grant Officer assigned to your unit. In those instances when the above prioritization methodology would jeopardize the timely submission of a proposal to meet a sponsor’s deadline, and where circumstances outside of the control of the PI and department/unit prevent the submission of a proposal in accordance with SPA’s established lead times, exceptions may be coordinated through the Team Leader assigned to the unit/department. All exceptions should be approved in advance by the Assistant Vice Chancellor for Research or the Vice Chancellor for Research.
Will the Contract & Grant Officer assigned to my unit review my proposals?In most cases, the Contract & Grant Officer (CGO)
assigned to your unit will review your proposals. However, from time-to-time,
the Team Leaders may change the CGO assigned to a proposal. This will typically
occur when: i) the CGO 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 a
CGO with the requisite knowledge and experience; or iv) when the reassignment of
a proposal will help facilitate CGO training.
How will I know if my proposal has been assigned to someone other than my Contract & Grant Officer?All proposals received by SPA are logged in to our
database and then routed to the appropriate Contract & Grant Officer (CGO)
based on unit assignments. At this time, SPA sends an e-mail to the PI,
department administrator, CGO, and both Team Leaders to notify them that the
proposal has been received and to whom it has been assigned. If the Team Leader
changes the assignment at any time during the SPA proposal review and approval
process, an e-mail notice will be promptly sent to the PI, department
administrator, the new CGO and both Team Leaders.
How long does it take Sponsored Programs Administration (SPA) to review a proposal?
SPA will complete its review of a standard proposal within three full business days of proposal receipt. For non-standard proposals, SPA will complete its review within seven full business days of proposal receipt.
Award Negotiation, Acceptance and Set-Up
What is a Preaward?
A Preaward is an institutional approval to incur expenditures related to a specific contract or grant in advance of receiving an award and where such a delay would adversely affect the project. In most cases, a Preaward is approved when an official award has not been received due to administrative delays. In such cases, the sponsor provides Sponsored Programs Administration with a firm commitment to fund the project, including the anticipated project start date and anticipated amount to be awarded.
When should a Preaward be requested?
A Preaward should be requested if an urgent need to expend funds in advance of receiving an award exists and where the delay in funding would be detrimental to the project. For new projects, a Preaward might be used to procure equipment essential to conducting a project or to conduct field research to coincide with a particular season or natural event. For renewal, continuation and supplement awards, a Preaward might be used to ensure to ensure the continuity of the project by providing authorization to incur project personnel costs, thus avoiding an interruption in the conduct of the project.
For Federal grants under the Federal Demonstration Partnership terms and conditions, a Preaward should be requested in those circumstances when the award funding the next budget period is administratively delayed. Since campus policy prohibits overdrafts, PIs and departments/units should not incur and allocate project costs for the next budget period to the fund number for the prior year’s budget without first securing a Preaward.
How are Preaward requests processed?
The Preaward process begins in the department/unit and may be handled in many different ways. Generally, this process begins with a PI notifying the unit administrator of an urgent need to expend funds in advance of receiving an award. The unit administrator then completes the Preaward request form
, and routes the request to the unit business officer, PI, department chair/unit head and dean/vice chancellor (when the department chair indicates that there are no unit resources available to cover any losses) for approval.
The Preaward request is then forwarded to Sponsored Programs Administration (SPA). Within SPA, the Contract and Grant Officer (CGO) assigned to the unit that submitted the request:
• reviews the request;
• confirms that preaward expenditures are allowed under sponsor policy;
• contacts the sponsor to secure a firm commitment and information about the pending award; and
• determines if the project involves research using humans, animals, rDNA, biohazards, human stem cells or if the PI, Co-PI(s) or any other project personnel have filed a positive statement of financial interests and communicates with Research Integrity (in the Office of Research) to confirm that such issues have been reviewed and approved by the responsible committee.
Once the CGO has completed the above, the request is forwarded to the Team Leader for review to ensure that there are no outstanding issues that would prevent the request from being approved. The Team Leader then presents the request to the Assistant Vice Chancellor for Research for approval. Once approved, the Preaward approval is communicated to Extramural Funds Management, the PI and department/unit via PAMIS and the Preaward is recorded in the UCR Financial System.
How long does it take Sponsored Programs Administration (SPA) to review and approve a Preaward request?
Preaward requests have a high priority within SPA and we strive to complete our review and approval as quickly as possible. Under optimal circumstances, our review and approval is generally completed within five business days of receiving a request. Unfortunately, circumstances are not always optimal. Following are the three most common reasons why the review and approval of a Preaward request may take additional time:
• The sponsor is not able or willing to provide a firm commitment.
• The PI, Co-PI(s) and/or project staff have not completed and filed financial interest disclosure forms as required by state law and federal regulations or the review and approval of positive financial disclosures has not been completed.
• Research protocols involving the use of humans, animals, rDNA, biohazards or human stem cells have not been approved.
Will the Contract & Grant Officer assigned to my unit handle my awards?
In most cases, the Contract & Grant Officer (CGO) assigned to your unit will
review, negotiate and set-up your awards. However, from time-to-time, the Team
Leaders may change the CGO assigned to an award. This will typically occur when:
i) the CGO assigned to your unit is out of the office; ii) to balance the award
workload; iii) to ensure that complex awards are reviewed by a CGO with the
requisite knowledge and experience; or iv) when the reassignment of an award
will help facilitate CGO training.
What are subawards?
Subawards, also know as subcontracts, subagreements and subgrants are legally binding agreements issued by Sponsored Programs Administration that transfer a substantive portion of the scope of work under a UCR prime award (grant, cooperative agreement, contract) to another institution or entity (subrecipient/subcontractor).
How are subawards processed?
When a project will involve work performed by a subrecipient, Sponsored Programs Administration (SPA) begins the process of issuing a subaward after the prime award is accepted and set up in the UCR Financial System. Generally, the process flow includes the following:
• SPA issues a subaward verification notice to the PI and department/unit to verify the PI's authorization to issue a subaward
• SPA performs a risk assessment of the subrecipient
• A subaward is drafted and sent to the subrecipient
• SPA negotiates the terms of the subaward, as appropriate and then executes the subaward.
• SPA disseminates the executed subaward to the PI, unit administrator and other central administration offices via PAMIS
It is important to note that many factors are considered in drafting and negotiating a subaward. The terms and conditions of the prime award, the prime award sponsor type, the amount of funding being provided to the subrecipient, the type of subrecipient organization are just a few of these factors. These factors ultimately determine the type of subaward instrument (e.g., FDP Subagreement v. Non-FDP Subagreement v. Subcontract), the terms and conditions of the subaward and usually are central discussion points during subaward negotiations.
How long does it take Sponsored Programs Administration (SPA) to issue a subaward?
SPA recognizes the importance of subawards in the creation and continuance of research collaborations with other institutions. Consequently, we place a high priority on the timely negotiation and execution of subawards. However, given the vast number of factors that need to be considered in the drafting, negotiation, execution and monitoring of subawards, it is not possible to guarantee that subawards will be executed within a specific time frame. Also, it is important to note that the negotiation of a subaward necessarily involves two parties. While SPA strives to negotiate terms in a timely manner, it is not uncommon for us to be working with a subrecipient organization that is experiencing staffing shortages or other administrative challenges that may adversely impact the timeliness of the negotiation.
Do some subawards take longer to issue than others?
Subawards to Federal Demonstration Partnership member institutions are low-risk. When issuing a subaward to an FDP member, Sponsored Programs Administration (SPA) uses the FDP Subagreement, a subaward with terms that have already been agreed upon by all FDP institutions. Thus, this type of subaward is usually completed in a short period of time.
Subawards to Non-FDP institutions that are subject to Office of Management and Budget Circulars A-110 or A-102 (i.e., institutions of higher education, non-profits and state or local governments) are generally low-risk. Most of these entities accept the Non-FDP Subagreement; however, negotiations of certain terms, such as indemnification, insurance and governing law are common and may take additional time.
Subawards to for-profit entities under federal prime awards may be low to moderate risk. In addition, they are complex as UCR is required to flow down commercial contract terms in accordance with the Federal Acquisition Regulations. Including the proper commercial terms generally requires additional time during the drafting of a subaward, but usually does not result in extended negotiations.
Subawards to foreign entities are generally moderate to high risk and require highly specialized terms and conditions to address a number of issues that are not present when working with a domestic subrecipient. It is sometimes necessary to involve the prime sponsor to address and resolve these issues or rely on a third party to act as an agent of UCR to assist with assessing the subrecipient’s ability to perform under the subaward.
Suspension of State Contracts - Governor's Executive Order S-09-08
Does the Governor's Executive Order suspend all of UCR's State contracts?
No, the Governor's Executive Order does not automatically suspend all State contracts. Each State agency must issue a suspension letter to effect a contract suspension. The only State contracts that have been suspended are those for which we have received a suspension letter.
Which State contracts have been suspended?
The Office of Research is maintaining an updated list of suspended contracts, which is available from the Sponsored Programs home page
How is the Office of Research notifying Principal Investigators and departments about contract suspensions?
Immediately upon the receipt of a suspension letter, the Office of Research is forwarding the letter via e-mail to Principal Investigators and department administrators. We are also processing a Notice of Award through PAMIS for each suspension letter that is received.
What should I do if I receive a suspension letter from a State agency?
If you receive a suspension letter from a State agency, please immediately forward the letter to Contract and Grant Officer
assigned to your unit
. It is imperative that the Office of Research
record the date and time that a letter is officially received, as we serve as the
campus office of record for all sponsored awards and related award
documents. The accurate recording of this information may aid UCR in
recovering costs from the State for the period of July 31 through the date that
each letter is received.
How do I find out if my contract will be suspended?
Please contact the Contract and Grant Officer assigned to your unit
to discuss the status of your contact. The Office of Research has learned that some State awards, such as awards made by the California Institute for Regenerative Medicine are exempt and will not be suspended. Your Contract and Grant Officer will contact the Contracting Officer at the sponsoring agency to find out if your contract is subject to suspension.
What should I do if my contract is suspended?
Once UCR receives a suspension letter for a contract, it is obligated to honor the suspension. This means suspending project work and not incurring expenses related to the project until the suspension is lifted.
Expenses incurred prior to receipt of the suspension letter should be reimbursed by the State. However, it is unclear if the State will reimburse UCR for unavoidable costs incurred after a contract is suspended. Principal Investigators should consult with their department Contract and Grant Analysts, MSOs, FAOs, Dean's Office and the Office of Research regarding how best to comply with the suspension. Each research project is unique; thus, the circumstances and issues related to each suspended contract will be unique and should be considered on a case-by-case basis.
May I charge the personnel who were to be paid from my State contract to my other sponsored awards or unrestricted funds?
It may be appropriate to shift personnel effort from a suspend State contract to other sponsored awards or to unrestricted funds under the control of the Principal Investigator, department, or college. If personnel effort is shifted to other sponsored awards, it is important to ensure that the costs associated with such effort
are allowable on the sponsored awards that will be charged. For such
costs to be allowable, the personnel effort must have directly benefited the
sponsored award(s). Other factors that may affect allowability include, but are not limited to: award terms and conditions, UC/UCR policies, 2 CFR 220 (Cost Principles for
Educational Institutions), and the skills/experience of research personnel.
Once the suspension of my contract has ended, will I be able to transfer to the contract expenses that were incurred during the suspension period?
No. Charging project expenses to another fund source and then transferring those costs to a State contract after a suspension has been lifted is not appropriate, and is inconsistent with the State's expectation that no work be performed and that no costs be incurred
during the suspension period.
Will awards funded by UCOP research programs (e.g., UC Discovery, TRDRP, CIEE, etc.) be suspended?
UCOP research programs that are not funded by State contracts will not
be suspended (e.g., UC Discovery, UC MICRO, TRDRP, BCRP, MESA, etc.). For those programs that are funded by State contracts, it is possible that awards made under those programs may be suspended.
It is important to note that UCOP has learned that the California Energy Commission considers its funding of the California Institute for Energy and the Environment (CIEE) to be a "special project," and therefore exempt from the executive order. In addition, recent information from UCOP and our sister campus seems to indicate that State agencies are carefully considering which of their contracts are subject to the executive order. It appears that State contracts for which the State received funding from another entity (e.g., Federal block grants), may not be subject to suspension.
If you have questions regarding whether your sponsored award may be impacted by Executive Order S-09-08, please contact the Contract and Grant Officer assigned to your unit.
Will the State reimburse UCR for unavoidable expenses incurred during the suspension of my contract?
It is not known at this time whether the State will reimburse UCR for unavoidable expenses incurred during the suspension period of a contract. State agencies may address this issue in different ways.
In many cases, it is impossible to avoid incurring certain expenses during the early part of a suspension period, and in some unique cases it may not be possible to avoid expenses throughout a suspension period. Consequently, it is extremely important that such expenses be tracked and documented (e.g., explanation of why expenses were avoidable, etc.) so that UCR may present reimbursement claims to our State sponsors after contract suspensions are lifted.
Examples of unavoidable costs may include:
- Cancellation penalties for goods and/or services orders
- Costs related to noncancelable goods/services
- Expenses associated with the return of personnel to UCR (e.g., on travel status at the time of contract suspension)
- Expenses associated with personnel actions required to comply with a suspension notice
Departments and Principal Investigators should carefully evaluate the facts and circumstances surrounding each suspended contract. If the PI and department determine that it is absolutely essential and consequently impossible to avoid incurring expenses on a suspended contract, such determination should be communicated to their respective dean's office and the Assistant Vice Chancellor for Research
. In such cases, it will be extremely important to develop a strategy unique to each contract to ensure that UCR is in the best position for submitting reimbursement claims. Open and frequent communication may be key to the success of such efforts.
What does the letters EO mean in the fund title for my State contract and why were they added?
The Extramural Funds Unit in Accounting adds the letters "EO" to the beginning of each fund title for State contracts that have been suspended. These letters stand for "Executive Order", a reference to the Governor's Executive Order S-09-08 (July 31, 2008) that required State agencies to suspend all contracts other than those deemed critical or otherwise exempt. These letters will remain in the fund title even after the contract suspensions are lifted as a reminder of the restrictions associated with each fund during the suspension period. It is anticipated that this will minimize future fund management errors.
My contract has been suspended, when will the suspension be lifted?
UCR's suspended contracts will remain suspended until a letter or other written notice is received by the Office of Research that lifts the suspension. Please note that it is very important to ensure that any letter or other written notice lifting a contract suspension that is received by a Prncipal Investigator or department should be immediately forwarded to the Contract and Grant Officer
assigned to your unit