Memo Operating Guidance No March 15, 2002

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1 ( University of California Offie of the President Senior Vie President Business and Finane Researh Administration Offie Memo Operating Guidane No CONTRACT AND GRANT OFFICERS Subjet: UC Campus Subaward and Inter-Campus Award Administration INTRODUCTION: This Operating Guidane Memo provides revised guidane on the proedures for the administration of subawards and inter-ampus awards among University of California ampuses, Division of Agriulture and Natural Resoures (DANR), and the Offie of the President (OP). This memo inludes as Attahment I, a revised "Notifiation of Campus Subaward (Extramural Funds)" as well as a new model, ''Notifiation of Inter-Campus Award (University-Funded)" form (Attahment III). The Notifiation of Campus Subaward (Extramural Funds) replaes the form, last revised in 1999, distributed with an update to Operating Guidane Memo No , Supplement 1. Campuses, DANR or OP use this subaward form when extramural funds from an external prime award to one ampus, DANR or OP need to be transferred via a subaward to another University ampus, DANR, or OP. Attahment III, the Notifiation oflnter-campus Award (UC-Funded) is new. It an be used as a model for awards to ampuses from University-funded programs. It is in response to the growing need to provide standardized information in suh fund transfers in order to administer awards among ampuses from the inreasing number of University-funded programs. NOTIFICATION OF CAMPUS SUBA WARD (EXTRAMURAL FUNDS): The Notifiation of Campus Subaward (Extramural Funds), Attahment I, should be used within the University of California system, exluding the three Department of Energy (DOE) Management and Operating (M&O) Laboratories. It applies to all University ampuses, DANR, and OP when providing a subaward to any other University ampus, DANR, or OP under an award from an external prime sponsor. Awards and subawards from ampuses to UC DOE Laboratories use the Memorandum Agreement provided in Operating Guidane Memo No ( This Notifiation provides the reipient ampus with the administrative information needed to properly set up the subaward. The sponsor odes for the Corporate Finanial System (CFS) and the Corporate Contrat and Grant System (CGX) are different. The CFS sponsor ode should be that of the soure of the prime award funding. The CGX sponsor ode is that of the awarding University ampus, OP, DANR or the *Note: The addressees above represent the standard distribution of Contrat and Grant Memos. Additional addressees, if any, may be added based on the subjet of the Memo. See 's.

2 Page 2 speifi University program, if it has been assigned its own sponsor ode. When federal grant funds are involved, the Catalogue of Federal Domesti Assistane (CFDA) number must be provided. The paragraph indiating the date of the aepted Sope of Work and Budget an be modified as indiated if those items are attahed rather than referened by date. In addition to the information provided on the Notifiation itself, the Notifiation an inlude any of the following as appliable: A opy of the prime award doument or a distillation from the prime award of all the appropriate flow-down requirements for the subaward; Copy of the approved Sope of Work and Budget unless the proposal versions of these items, referened by date on the Notifiation, are the final approved versions; and Any speial terms and onditions or responsibilities required as noted in the Notifiation. The Notifiation and these proedures annot be used when providing subawards to or reeiving subawards from the University's DOE Laboratories. Subawards to or from the University's DOE Laboratories must use the Inter-University Transation Agreement and the Memorandum Agreement distributed with Contrat and Grant Operating Guidane Memos Nos , Deember 18, 1998 and 99-06, November 18, This Notifiation also annot be used for subawards to non-university entities. Updated guidane on subawards to entities outside the University of California system will be provided in a separate memo in the near future. Campuses urrently all have internal proedures whih implement Business and Finane Bulletin 43, Materiel Management, Exhibit E, Cost-Reimbursement Type Subagreements for Researh, an Informal Guide [ for preparing subawards to entities outside the University of California system. Individual Contrat and Grant Offies are the primary soure of information for issuing subawards outside the University system. Billing Proedures: Attahment II, Billing Proedures, updates and replaes Operating Guidane Memo 93-18, dated November 24, 1993, on billing proedures for multiple ampus awards. These proedures simplify the proess of managing ampus subawards, but are not meant to prelude ampuses from agreeing, in advane, on other, more effiient proedures as appliable under a prime award. For example, even though advane payments to partiipating ampuses are not mentioned, this is ertainly an option if the prime ampus has reeived advane payments from the sponsor and an, therefore, make advanes in its subawards. These proedures inlude a model for the Interampus Request for Reimbursement form for Extramural Funds Aounting Offies to use when billing the ampus whih has the prime agreement. This form is only used for extramurally funded awards and not for University-funded awards. For University-funded awards, follow the proedures outlined below in the setion overing that subjet. (_

Page3 For some prime award requirements, the Interampus Request for Reimbursement form does not provide the expenditure information whih the prime award ampus may need.

3 Page3 For some prime award requirements, the Interampus Request for Reimbursement form does not provide the expenditure information whih the prime award ampus may need. In suh ases, a standard line-item invoie may be submitted to the prime award ampus instead of the Interampus Request for Reimbursement form. The Notifiation of Campus Subaward doument provides for that option as well as the option that the invoie may need to be sent to the prime award ampus department first for payment approval when suh review and approval is required by the prime award. Finanial Closin2: For extramurally funded subawards, the reipient ampus must submit its final laim no later than 60 days after the award period ends. Unless the prime ampus provides a speial format for the final finanial report, the Interampus Request for Reimbursement (or an invoie) may be used as long as it is learly marked "Final". The reipient ampus shall not automatially arry forward any unobligated balane beyond the end date of the period of performane unless there is a prior approval to do so by the prime award ontat and the prime award Contrat and Grant Offier. Federal grants awarded under the Federal Demonstration Partnership may be exempted as long as the prime ampus also has a no-ost time extension. The reipient ampus must provide the prime ampus Prinipal Investigator and Extramural Funds Aounting Offie a written notie of its intention to arry forward an unobligated balane on its final laim after onfirming with the prime ampus that it is also obtaining a no-ost time extension. NOTIFICATION OF INTER-CAMPUS AW ARD (UNIVERSITY FUNDED): There are several options for award administration for University-funded programs among UC ampuses and divisions. One option is that the Contrat and Grant Offie of the ampus or division where the program is loated an write a Memorandum of Understanding (MOU) for a speifi University program, if the program and the Contrat and Grant Offie determine that an MOU ontaining program requirements would be appropriate. A seond option is that either the Contrat and Grant Offie or the program administration itself an omplete and sign the Notifiation of Inter-Campus Award (University-funded) (Attahment III) or write an award letter as the award doument to a reipient ampus Contrat and Grant Offie or diretly to the Prinipal Investigator. If the program sends out award noties or letters diretly to the reipient Prinipal Investigator, the reipient ampus Contrat and Grant Offie must be opied. In either proedure, the speifi information items set forth in the Notifiation oflnter-campus Award must be inluded in an award letter in order to failitate the award administration. This Notifiation and the proedures desribed below annot be used when providing awards to the University's DOE Laboratories. Awards to the University's DOE Laboratories must use the Memorandum Agreement distributed with Contrat and Grant Operating Guidane Memo No , November 18, They also annot be used for awards to non-university entities. Awards from University-funded programs to non-university entities must first be allowable for eah speifi University-funded program. Some University-funded programs are restrited to only making awards within the University system. Generally, all University-funded programs are restrited to making awards only within the State of California. The OP Budget Offie an be onsulted to help make this determination. Seondly, any awards to non-

4 Page4 University entities must be done in onsultation with the University-funded program's ampus or division Contrat and Grant Offie. A sponsor ode is not needed for the Corporate Finanial System (CFS) in an inter-ampus sine the funding is from the University budget. The CGX sponsor ode is that of the University ampus/division where the program is loated or the sponsor ode for the program itself, as many large University programs have their own sponsor ode. The deision to reate a new sponsor ode for a University-funded program is made by the OP Researh Administration Offie (RAO). If the program's funding to other ampuses is signifiant, a new sponsor ode for that program may be appropriate. Any request for a new sponsor ode should be sent to RAO. With University-funded programs, the authority to draw down funds is transferred to the reipient ampus, using the program fund number with a department aount number provided by the reipient ampus department or, for some systemwide programs, the ampus General Aounting Offie. Where several awards from the same fund number are made to the same ampus department, a separate aount number, ost enter, or program ode is required for eah award so that the funds are separately aounted for. Some systemwide programs provide Speial State Appropriation fund draw downs to a single ampus General Aounting holding aount number for all ampus awards from that Speial State Appropriation fund number. In suh ases, the ampus General Aounting Offie then redistributes the funds to the appropriate ampus department aount numbers. ( The funding program must partially omplete and inlude the Interloation Transfer of Funds (UFIN 1520) Information Sheet, provided as Attahment IV to this Memo, with any award notifiation, MOU, or letter. Programs an modify this form as needed to ensure that all the neessary information for a smooth transfer of funds authority is provided. The reipient ampus department must omplete this form and return it to the awarding program in order for the program to provide the orret information on its Interloation Transfer of Funds (UFIN 1520), in aordane with its ampus proedures. The awarding program initiates the fund transfer to the reipient ampus based this information. Further guidane on initiating interloation transfers with the UFIN 1520 an be obtained from the ampus Budget Offie of the ampus initiating the transfer. (

5 Page 5 In addition to the information provided on the Notifiation Award or in an MOU, the program may inlude any of the following attahments as appliable: A opy of any administrative or reporting requirements; A opy of the approved Sope of Work and Budget, unless the proposal versions of these items, referene by date on the Notifiation, are the final approved versions; and Any speial terms and onditions or responsibilities required as noted in the Notifiation. Refer: Samuela A. Evans (510) Samuela.Evans@uop.edu Subjet: 02, 06, Organization: U-115 Canel: C&G Memos No: 84-34, 84-34, Sup. 1; 93-18; and Sup. 1. David F. Mears Diretor Researh Administration Offie Attahments C: Extramural Funds Managers General Aounting Managers Barbara Lester, OP Corp. At. Bonnie MKellar, OP Budget Off. Carol MClain, OP Offie of Researh

6 Page 6 ATTACHMENT I University of California, [Prime Campus/Division] Notifiation of Campus Subaward No. [Extramural Funds] To: (partiipating ampus C&G Offier) ~ Campus/Division: Subjet: (Prime Sponsor Name) [] Grant []Contrat No. Projet Title: Campus/Division Prime Pl Name: Dept.: Partiipating Campus PI: Dept.: Performane Period: from to The amount of$ is alloated from the above-ited award for the partiipation of your ampus. Copies of all award doumentation are enlosed. As a ampus subaward, this projet is to be administered pursuant to University Contrat and Grant Manual Setion through , as supplemented by relevant Contrat and Grant Memos. The fund number for this award that we have assigned for purposes of reporting in the Corporate Finanial System (CFS) is, whih is in the fund blok: [hek one as appliable] [ ]federal; [ ]State ageny; [ ]other govt; [ ]private]. The sponsor ode we have assigned for CFS purposes is and the sponsor ategory is. The ultimate soures of the funds for this award (hek one): [ ]are not []are partially []are entirely federal; CFDA No For Contrat and Grant Reporting System (CGX) purposes, the sponsor ode for reporting this award should be the ode for [ampus/division name and sponsor ode]. The diretion and monitoring of the researh effort will be arried out as desribed in the projet [proposal dated OR Sope of Work attahed]. Please advise your Extramural Funds Offie of this award. Funds should be appropriated in aordane with the budget (inluding diret osts, indiret osts, and ost-sharing elements) [approved for this projet on OR attahed]. Please note that any ations whih require prior approval must be oordinated with this offie. [Any speial terms and onditions or responsibilities are listed on an attahed sheet.] Please arrange for your Extramural Funds Aounting Offie to submit to our Extramural Funds Aounting Offie [OR prime ampus department with ontat name and address] opies of the Interampus Request for Reimbursement (See Attahment II) [OR a standard ampus invoie] for billing purposes. The final request should be marked "Final" and submitted to our Extramural Funds Aounting Offie [OR prime ampus department] on or before Funds to over expenditures will be transferred to your ampus aording to proedures outlined in Aounting Manual Se. F-351. Tehnial progress reports shall be provided to at [ampus/division] on or before. Equipment inventory reports are due to this offie by. A final patent report is due to this offie by

7 Page 7 ( Please diret any questions regarding administration of this projet to at Contrat and Grant Offier [Prime Campus/Division] Date Attahments : (prime ampus PI) (prime ampus Extramural Funds Aounting Offier)

8 Page 8 ATTACHMENT II UC CAMPUS SUBA WARD (EXTRAMURAL FUNDS) BILLING PROCEDURES A WARDS CONTRACT AND GRANT OFFICE: I. When the prime ampus Contrat and Grant Offie sends the partiipating ampus Contrat and Grant Offie the subaward with the Notifiation of Campus Subaward doument (Attahment I), with all pertinent attahments, it also sends the prime ampus Extramural Funds Aounting Offie a opy of this doument. 2. Then partiipating ampus Contrat and Grant Offie sends its ampus Extramural Funds Aounting Offie as part of its award set up a opy of the Campus Subaward douments, with all pertinent attahments. EXTRAMURAL FUNDS ACCOUNTING OFFICE: Billing- 1. On a monthly basis, but not less frequently than every quarter, the partiipating ampus should send an Interampus Request for Reimbursement [see form below] to the prime ampus Extramural Funds ontat person or an invoie to the prime ampus department ontat if the Campus Subaward states that the prime ampus department must reeive an invoie. If the Campus Award doument states that an invoie is required, then a standard line-item invoie may used in plae of the Interampus Request for Reimbursement. The request form or invoie an be faxed or sent via from an address in the reipient ampus Extramural Funds Offie. 2. The partiipating ampus should initiate an Interampus Request for Reimbursement to the prime ampus Extramural Funds Aounting Offie no later than the last Friday of the month in order for the finanial journal to be inluded in that month's ativity. If the Interampus Request for Reimbursement is reeived by the prime ampus EMF Aounting Offie after that date, the prime ampus has the option of proessing the transfer as that month's business or holding the request until the following month. Transfer of Funds The prime ampus transfers the funds as requested on the Interampus Request for Reimbursement via a finanial journal. 2. Whenever possible, transfer of funds should be done and responded to in the same month requested. 3. Without undue delay, a opy of the transfer of funds should be sent to the partiipating ampus Extramural Funds Offie for an immediate response to avoid any unreoniled transfer of funds appearing on the Finanial Control aounts. 4. For a omplete disussion of the interampus finanial transfer, refer to Aounting Manual Se. F- 351.

9 Page 9 ( Closing The partiipating ampus should submit its final laim, marking the Interampus Request for Reimbursement or invoie as "Final" no later than sixty days after the award period has ended. 2. The partiipating ampus shall not automatially arry forward any unobligated balane to the next year unless there is prior agreement in writing between the Prinipal Investigators and the Contrat and Grant Offies of both ampuses. However, grants awarded under the Federal Demonstration Projet shall be exempted. The partiipating ampus may arry forward any unobligated balane without prior approval as long as suh arry forward is allowed by the prime grant and the intention is learly onveyed to the prime ampus Extramural Funds Offie on the final laim. INTERCAMPUS REQUEST FOR REIMBURSEMENT (REQUEST NO. ) Date: To: (Extramural Fund Manager) (at UC Campus) Subjet: Awarding Ageny Alloation $ Award Number Aw a rd Balane Carry forward Yes No Period of_performane Our Campus Fund Number Prinipal Investigator Department Your Campus Below is the summary of expenditures and payments for the period from_/_/_ through_/_/_: Total Expenditures $ Less: Payments Reeived $ ~ ~ Reimbursement Now Requested $ Please prepare the neessary finanial journal rediting our Finanial Control Aount 1195 referening our Fund Number (stated above). 0 and This finanial report is a _Final _Not Final. If you have any questions, please all at (Signature of Authorized Offiial) (Position Title)

10 Page 10 University of California [ Program Name] Notifiation of Inter-Campus Award No. [University-Funded] [Modifiation No. (if appliable)] ATTACHMENT III To: (partiipating ampus C&G Offier OR Prinipal Investigator) Campus/Division: Projet Title: Reipient Campus PI: Dept.: Performane Period: from to The amount of$ is alloated from the above-ited University program for your ampus. Copies of all award doumentation [are enlosed/referened/website loation]. As an award from a University-wide program, this projet is to be administered pursuant to University Contrat and Grant Manual Setionl For Contrat and Grant Reporting System (CGX) purposes, the sponsor ode for reporting this award is whih is the sponsor ode for [ampus/division OR program]. The diretion and monitoring of the researh effort will be arried out as desribed in the projet [proposal dated OR Sope of Work attahed]. Please omplete and return the attahed Interloation Transfer of Funds Information Sheet to [Program Admin.] with the information requested inluding aount number to whih the awarded funds should be transferred. Funds should be appropriated in aordane with the budget [approved for this projet on OR attahed]. Funds will be transferred to the aount number you provide from the fund number stated above via an Interloation Transfer of Funds (UFIN 1520) initiated by the granting program. Tehnial and final finanial reports shall be provided to on or before Please diret any questions regarding administration of this projet to at [Contrat and Grant Offier OR University Program Diretor] [Campus/Division] Date Attahments ( : (Campus Contrat and Grant Offie) (Program) (General Aounting Offier)

11 C&GMemoNo. Page UC [CAMPUS/DIVISION AND PROGRAM NAME! INTERLOCATION TRANSFER OF FUNDS (UFIN 1520) INFORMATION SHEET ATTACHMENT IV Reipient Campus: Agreement No.: Projet Title: Prinipal Investigator Projet Diretor: Dept. I Administering Unit: Dept. Administrative ontat: ACCOUNT INFORMATION Alloation by Fisal Year Budget FY $ Alloation by Fisal Year Budget FY $ (Please provide a "legay" aount number, i.e., x-xxxxxx , et.* 1 LEDGER LOC ACCOUNT No. FUND No. SUB Cost Ctr.; Prog AMOUNT Code; DAFIS ACCOUNT NAME *If you are unsure about this proess, ontat the Budget or Aounting Offie, ask for the person who handles Interloation Transfers for your ampus. Note: Berkeley Campus Interloation Transfers annot be proessed without the Berkeley Chart String Number: Example X RECIPIENT CAMPUS FUND MANAGER [Copy of Transfer of Funds From will be faxed to this number.]: Name: Address: Telephone No.: ~ Fax No.: If you would like the Dept Fund Manager to reeive a opy of the approved transfer form please provide name and fax number: SPECIAL INSTRUCTIONS or additional routing information: Cost Centers, Chart strings, DAFIS #s; Dept. odes; Program odes] Please fax the ompleted form to Please diret your questions to: [Program Contat] Name: ~ Telephone No at ( ) - Form issued as part of Contrat and Grant Operating Guidane Memo 02-02,

ASSESSMENT OF PSYCHOLOGY QUALIFICATIONS UNIVERSITY ENTRY OR EMPLOYMENT

APPLICATION FORM ASSESSMENT OF PSYCHOLOGY QUALIFICATIONS UNIVERSITY ENTRY OR EMPLOYMENT This form is for the assessment of psyhology qualifiations for the purpose of employment or applying for entry into