UCOP MAJOR PROJECTS AND INITIATIVES (MPI) PROPOSAL PROCESS

UCOP MAJOR PROJECTS AND INITIATIVES (MPI) PROPOSAL PROCESS This document outlines scope, deadlines, processes and FAQs for the UCOP Major Projects and Initiatives (MPI) Proposal process. This process went into effect on July 1, 2017 and is managed by the UCOP Strategy and Program Management Office (SPMO) and coordinated with OP Operations and the President s Correspondence Team. Scope of MPI Proposal Process Proposals for one-time funding decisions over $100,000 from any fund source even if there is an approved line item in department budget allocation that fall into any of these areas should follow the MPI Proposal process: One-time bridge funding for ongoing commitments Presidential initiatives, major projects or programs Matching commitments to campus initiatives Contractors/consultants/vendors to work on projects new, extensions, change orders, or renewals Computer hardware/systems/databases new, upgrades, enhancements, or replacements Software license agreements Marketing, research or communication campaigns OP or campus procurements and investments One-time expenditures associated with wide-scale upgrades or physical moves (NOT construction projects) See FAQs below for additional clarification. This working list of criteria may not capture every type of proposal that falls within the scope of the MPI process. If you have a proposal that exceeds $100,000 and need assistance in determining whether it follows the MPI or Decision Memo process, please contact Deanna.Geddie@ucop.edu. Quarterly Submission Deadlines MPI Proposals are reviewed quarterly by both a Submission Review Team and a Review Committee, and approved at the discretion of the President. Submissions received between cycles are held for review until the following quarterly cycle, with very limited exception. Please plan ahead to meet these quarterly deadlines. Please anticipate a 30-day turnaround for review and decision on all MPI submissions. Quarterly deadlines for FY18-19 submissions: July 16, 2018 October 15, 2018 January 21, 2019 April 15, 2019 Page 1 of 5 MPI Proposal Process - Updated 6/14/18

Roles and Key Responsibilities Division Chief of Staff (COS) Strategy & Program Management Office Submission Review Team Review Committee President Napolitano President s Correspondence Team Completes the MPI Proposal Form and accompanying documentation, and addresses follow-up questions during review process. Serves as Division point of contact for MPI and ensures Division Leader approval. Manages overall process and serves as central point of contact. Team: Deanna Geddie, Sam Gersten Reviews submissions for sufficient documentation and budget impact, and provides input to Review Committee. Team: Dave Baltaxe, Deanna Geddie, Eva Goode, Thera Kalmijn, Zoanne Nelson, Dan Russi Reviews submissions and UCOP budget priorities, and provides recommendations to the President. Committee: Michael Brown, Nathan Brostrom, Claire Holmes, Rachael Nava, Zoanne Nelson Determines if requests are approved, not approved, or approved with modifications. Routes Review Committee recommendations to President, tracks and monitors signatures, and forwards signed MPI forms to SPMO and OP Operations. Team: John Flores, Deborah McCaskey Submission Process Division Chief of Staff 1. Downloads current MPI Proposal Form from UCOP SPMO website, completes form with detailed descriptions and budget, and attaches accompanying documentation. 2. Emails form and attachments to Division Chief of Staff in advance of the quarterly submission deadline. If proposal is out-of-cycle, provides details for exception request. 1. Reviews MPI form and attachments with Division Leader and appropriate division staff. 2. Submits MPI form and attachments to Deanna.Geddie@ucop.edu and Sam.Gersten@ucop.edu on or before quarterly submission deadline. Review Process Strategy & Program Management Office Submission Review Team Review Committee President Napolitano 1. Receives MPI submissions by email from COS and logs MPIs into online tracking tool shared with COS for current status viewing. 2. Coordinates with COS to address proposal issues or concerns. 3. Presents MPIs to reviewers at Submission Review Team and Review Committee meetings. 4. Coordinates with President s Correspondence Team for securing President s review. 5. Tracks and monitors review process from end to end. 1. Reviews submissions for sufficient justification, budget impact, IT coordination, and operations compliance. 2. Engages HR and Purchasing when needed to review submissions. 3. Documents open questions and coordinates responses with s/cos as needed. 4. Provides recommendations and current budget reports to Review Committee. 1. Reviews submissions alongside Submission Review Team recommendations, budget reports, and UCOP budget priorities. 2. Documents open questions and coordinates responses with s/cos as needed. 3. Provides written recommendations to the President. 1. Consults with Review Committee on recommendations. 2. Makes final determinations and signs MPI forms. Page 2 of 5 MPI Proposal Process - Updated 6/14/18

Post-Review Process President s Correspondence Team Strategy & Program Management Office COS / OP Operations 1. Emails digital signed copies of MPI documents to SPMO, OP Operations, and Records department. 1. Logs decisions into online tracking tool. 2. Forwards digital signed copies to COS for further distribution to s. 3. Reviews approved project spend with OP Operations and Budget Analysis & Planning. 4. Determines future PEO reporting requirements. 1. Coordinates with OP Operations to set up project codes for approved funds and initiate approved contracts. 2. Manages and reports spend against approved project funds. 1. Sets up project codes to track and report spend on approved proposals. 2. Monitors spend against approved project budgets. 3. Ensures contracts do not exceed approved project funds. FAQs Funding Sources / Budgets Q: What if I included the project in my department s annual budget request? A: Projects over $20,000 and included in the annual budget also require approval either through the Decision Memo process or through the MPI Proposal process as appropriate. Q: What if my proposal is sourced from restricted or other department funds? A: The MPI Proposal process applies to all major projects and initiative proposals requiring funding over $100,000, no matter the funding source. Q: If a project has already been approved as part of the budget approval process, what needs to be done and what additional approvals are required. A: All proposals for funding decisions over $100,000 from any fund source even if approved as part of the budget approval process should follow the MPI Proposal process if they meet the other MPI Proposal criteria. The annual budget process approves the budget whereas the MPI Proposal process approves the spend (over $100,000) on a defined project. Q: What if I am hiring a contractor using my department funds? A: If the contractor is tied to a major project or initiative and the amount is over $100,000, follow the MPI Proposal process. If the contract amount is less than $100,000, follow the Decision Memo process. Scope Q: What if my proposal is for funding over $100,000, but I am uncertain if it is considered a major project or initiative? A: If the request is for funding over $100,000 and you are uncertain if it should go through the MPI Proposal process, contact Deanna.Geddie@ucop.edu for guidance in advance of completing any forms. Q: What if my proposal is only for a change in my permanent budget (ongoing funding request)? A: Follow the current Decision Memo process to request the change in your permanent budget. If you are ALSO requesting bridge funding over $100,000 in the current FY, follow the MPI Proposal process. Q: If there is a project that costs over $100K but no individual vendor costs over $100K, do we need to go through the MPI process? A: Yes, follow the MPI Proposal process as the project exceeds $100,000. Q: What is considered a major project and what is considered operational as defined by the MPI process? A: MPI Proposals are generally for one-time budget decisions on projects, contracts and activities that have beginning and end dates. Ongoing operations are activities that occur year after year with no end dates. Page 3 of 5 MPI Proposal Process - Updated 6/14/18

Prior Approvals Q: What if actual expenditures are forecasted to exceed funds previously approved through a Decision Memo or MPI Proposal? A: The answer depends on funding source and amount of forecasted overage. If fund source is department funds: and forecasted overage is < $20,000, notify OP Operations only; if > $20,000, submit Decision Memo; if > $100,000, submit MPI Proposal. If fund source is PIF or Strategic Reserves: and forecasted overage is any amount < $100,000, submit Decision Memo; if > $100,000, submit MPI Proposal. Q: What if funds were approved through a Decision Memo or MPI Proposal but the project did not get started for over 12 months, and now we are ready to hire contractors to do the work? A: Resubmit the Decision Memo or MPI Proposal. Q: What if funds were approved through the MPI Proposal process but we decided to go with a different vendor? A: If there no changes in the funding amount or funding source, there is no need to resubmit the MPI Proposal. Q: What if we have additions to our previously approved blanket PO? A: Follow the same guidance as any spend request over $20,000. Other Processes Q: What is the divisional approval process that you expect us to go through? Is it tied to the MPI process or is it separate. What do you expect to see as approval from the division? A: All submissions are required to go through the Chief of Staff to the SPMO. Submissions from someone other than the COS will be returned and not processed, delaying the review process. The COS ensures the proposal has been routed, reviewed and approved as deemed appropriate within your division. Please work with the COS to determine your division s internal review guidelines. Q: Do I send my MPI Proposal to OP Operations before I send it to the COS for Division Leader review and submission to the SPMO? A: In the Decision Memo process, the submitter is responsible for coordinating review with OP Operations prior to submission. In the MPI Proposal process, the SPMO coordinates review with OP Operations after submission. Q: When do I submit the AC&C form or RFP if I also need to go through the MPI Proposal process? A: The MPI Proposal process approves the goals and overall spend of a project or contract and must be submitted and approved before any related contract is negotiated or signed by OP Purchasing. The updated MPI Proposal form contains all required information that goes into the AC&C form; therefore a separate AC&C form is no longer required for MPI Proposals. OP Purchasing ensures contract amounts do not exceed amounts approved in MPI Proposals. Continue to submit AC&C forms with Decision Memos. Status / Turnaround Q: How do I know the current status of my submitted proposal? A: Check with your COS who has access to a Smartsheet report with current status. Q: When can we expect to hear whether a project is approved? A: The Submission Review Team completes their review usually within 5 business days. The Review Committee completes their review approximately 5 business days later. If there are no issues requiring further interaction with the Project Team, recommendations are forwarded to the President in the following days. This is a minimum review cycle of 3 weeks and depends on interactions with Project Teams, availability of reviewers, and UC priorities. Once the MPI Proposal goes to the President, timing for her review is dependent on her availability and UC priorities. Please complete proposal with great detail and plan ahead to minimize timing constraints for new project and contract start dates. Page 4 of 5 MPI Proposal Process - Updated 6/14/18

Expedited / Out-of-Cycle Requests Q: Some project opportunities are critical and time sensitive, such that they may be missed under the current MPI timeline. Is there a way to qualify a project for expedited review? If so, what would be the criteria for expedited review and how soon would the expedited decision be made (from time of submission)? A: Due to the detailed level of reviews and number of reviewers involved in the process, expedited processing is challenging. Ideally, all submissions should go through the quarterly review process. Please plan ahead to minimize timing constraints. If there is a critical date by which an approval is required, please note on the form and describe associated risks. For all other questions, please contact Deanna.Geddie@ucop.edu or 510.987.9420. Page 5 of 5 MPI Proposal Process - Updated 6/14/18