Looking for a step-by-step guide on proposal submissions? Want to know more about your award life cycle? This section provides you with in-depth information on contract and gran management and what you need to know about your grant funding and financial accounts.
Proposal Preparation
The major steps involved in submitting a proposal are:
- Reading RFP/agency guidelines
- Developing a scope of work
- Identifying key personnel
- Determining necessary resources
- Preparing budget and budget justification
- Completing agency and internal forms
- Obtaining necessary approvals
- Reviewing and submitting proposal
“Where do I start?”
Step 1. Contact your fund manager at least 3 weeks prior to the deadline to inform them of the upcoming proposal. Provide your fund manager with the following basics:
- Program announcement/agency guidelines.
- Agency Due Date
- Fund limitation
- Project duration and dates
- Preliminary budget (can be sent on a word document)
- Consortium information (if applicable) and consortium Fund Manager
Step 2. Your fund manager will prepare a specialized budget using an internal budget template. A draft of the budget will be forwarded within 1 week of being informed. Upon PI review and approval of the budget, your fund manager will begin to work on the following internal documents:
- Epass – an internal campus form used for review and approval of proposals to extramural funding agencies. Your fund manager will provide you with this form for your signature.
- 740 Form – Statement of Financial Interest Related to Sponsored Projects, for federal or state programs.
- 700-U – Statement of Economic Interest for Non-governmental Entity
- eDGE Disclosure – financial disclosure submitted annually for PHS grants. Disclosures are submitted through the Conflict of Interest site”
* Note: All internal documents will be forwarded to PI’s respective mailboxes within 1-2 days of completion. Please return to fund manager once all forms are signed.
Step 3. It is the PI’s responsibility to provide fund managers with all the required scientific/technical documents for the submission. Proposals and all internal documents are due to OCGA for review 5 working days before they need to be submitted electronically or mailed. Therefore, proposals and documents are due to fund managers no later than 7 business days before the sponsor deadline.
Step 4. Your fund manager will upload all documents to the UCLA Grants System no later than 7 business days before the sponsor deadline.
Step 5. A final PDF version of the proposal will be emailed to the PI. The PI must approve the final version before it is submitted by OCGA.
Postaward Management
Award Life Cycle
It is critical for each individual in the life cycle to understand his/her role for the process to work. All the parts of the award life cycle are interrelated.
Where do you fit in the award life cycle?
Award Set-Up (EFM/OCGA)
Once accepted, the award must be processed and a fund number assigned. The process includes:
- Enter and update basic award data in InfoEd
- Record terms and conditions
- Determine fund number
- Communicate information (via PAN and award synopsis)
The most critical step in setting up an award is the establishment of a fund number and linkage to an account. Spending on an award cannot begin until this has been accomplished. When established, the full accounting unit (FAU) will have these components:
Account and Fund number structure
| LOC | Account | Cost Center | Fund |
|---|---|---|---|
| 1 digit | 6 digits | 2 digits | 5 digits |
| 4 | 444040 | BO | 54321 |
Request for Authorization to Spend (E-RAS)
A RAS is a request made by the PI to obtain an account/fund number for an extramurally funded project prior to receipt of actual award from the sponsor. If the sponsor allows the university to incur pre-award costs, and when the following conditions are met, OCGA can authorize pre-award spending. OCGA confirmation of the conditions below is recorded on the E-RAS form:
- There is a confirmed, pending commitment by the funding agency
- There is an essential need to advance or commit the funds prior to receipt of the award
- Other funding is available to cover the expense if there is an unanticipated delay in the start date or the agency fails to make the anticipated award
Note: Please speak to your fund manager to request an E-RAS. Such requests must be approved by the Business Office Manager and CAO.
Perform Work (PI/Department)
In order for the project to begin, the PI must perform the work as proposed. This involves the following necessary activities:
- Hiring project personnel
- Purchase of equipment and supplies
- Initiating orders for subawards and consultants (if applicable)
- Incurring expenditures
Items requiring prior approval may include:
- Rebudgeting
- Carry Forwards
- No-cost extensions
- Supplements
- New subawards
Transfer of Costs or Expenses
- A process to move or transfer payroll and non-payroll expenses to different funding sources.
- Costs are transferred to correct salary distribution estimates, correct clerical or bookkeeping errors, transfer pre-award costs
- Cost transfers should be the exception, not the norm
- Transfers should be done on a timely basis
Financial Management (PI, Dept., EFM)
Projects must be monitored and financially managed through all stages of development by:
- Checking budget and terms and conditions
- Reallocating funds to appropriate subs
- Reviewing ledgers
- Preparing reports based on ledgers
Roles and Responsibilities
- Many individuals can be involved in the life cycle of an award. Team players include:
- UCLA Central Administrative Offices
- OPRS (Office for the Protection of Research Subjects)
- EHS (Environment Health and Safety)
- Equipment Management
- Gift Services
- Graduate Division
- Audit and Advisory Services
- Purchasing and Accounts Payable
- OIP (Office of Intellectual Property & Industry Sponsored Research)
- Risk Management
- UC Office of the President
- Department Administration
- PI – a faculty member or research who is authorized under UCLA policy 900 to serve as the scientific leader or director of a project. Duties of the PI include defining and completing the scope of work, assuring scientific and financial integrity, preparing technical and scientific reports, and adhering to University policies as well as to award terms and conditions.
- Fund Manager – the administrative support team who assists the PI with fiscal and administrative management of the award including purchasing, report preparation, rebudgeting, travel, no cost extensions, proposal preparation, award close out.
- Dept. Administrator
- Chair
- Dean
- Sponsor
Closeout of Award (all parties)
Projects are considered completed or “closed out” after the sponsor receives and approves all reports as required by the terms and conditions of the award. Most common close-out reports are:
- Technical (PI is responsible)
- Financial (EFM is responsible)
- Patent/Invention (OIPA and/or PI responsible)