Chapter 10-400: Contract and Grant Information Management System

Contract and Grant Officers must know and have ready access to University policies and requirements of external sponsors to negotiate effectively terms and conditions of extramural awards and to ensure internal compliance of University administrative systems with federal requirements. A comprehensive contract and grant information management system which allows ready access to such policies and requirements helps the efficiency and effectiveness of contract and grant administration at the University.

The UC Office of the President (UCOP) Research Policy Analysis and Coordination (RPAC) unit has implemented a system for classifying, filing, and retrieving research administration information and material by organization and subject codes in order to carry out its responsibilities more effectively. The information groups to which this system is applied are:

For related information on University records management policies, see Chapter 17.

10-410 UCOP RPAC Publications

10-411 Contract and Grant Policies/Systemwide Contract and Grant Manual

a. Definition

This information group consists of policies which the University issues to meet its own institutional needs or creates to implement federal, State, or other governmental or private sponsor requirements. Such policies are issued in this Manual and Research and Technology Transfer Memos.

b. Scope, Applicability, and Issuance Authority

The scope, applicability, and issuance authority of research administration policies are discussed in the "Introduction" page of this Manual.

c. Distribution

Contract and Grant Manual chapters is maintained by UCOP RPAC.

10-412 RPAC Research and Technology Transfer Memos (RPAC Memos)

a. Definition

RPAC Research and Technology Transfer Memos (formerly Contract and Grant Operational Requirements and Guidance Memos) provide information or materials concerning University or sponsor operating requirements or guidance. Typically, these memos discuss operating concerns and implementation guidance for individual government agencies or single sponsors, but may also include information about government-wide operating issues.

b. Issuance

UCOP RPAC publishes two types of Memos. Operating Requirement memos contain material which campuses are expected to follow as issued. Operating Guidance memos contain information issued principally to offer guidance or assistance to campuses. Guidance materials may be used "as is", modified, or not used, at the discretion of the recipient. All RPAC Memos are serially numbered by calendar year (i.e., 02-01, 02-02, etc.).

c. Distribution

All RPAC Memos are distributed by e-mail and published on the RPAC Research and Technology Transfer Memos page.

10-413 Federal Register Information

a. Scope

Each day, except Federal holidays, the Federal Register publishes: Presidential proclamations and Executive Orders; federal agency documents with general applicability or legal implications including notices, proposed rules and final rules; documents required to be published by Acts of Congress; and other federal agency documents of public interest. A portion of the notices, proposed and final rules, and schedules of meetings and hearings presented in the Federal Register have specific impact on the business of the University and on contract and grant administration, in particular.

b. Review

UCOP RPAC's ongoing review of the daily Federal Register publications provides University personnel with timely notification of proposed federal actions in their respective subject areas. These personnel are responsible for determining whether written or oral comment, when appropriate, should be submitted in order to influence the federal action’s impact on the University.

10-420 Corporate Contract and Grant Information System Requirements

The UC Office of the President collects and retains contract and grant proposal and award information in order to make informed corporate management decisions and respond to numerous inquiries related to the University’s extramural awards. In conjunction with UCOP Information Resources and Communications and Institutional Research, the Corporate Contract and Grant Information System (SPX) facilitates compilation and retrieval of proposal and award information. This system manages contract and grant data originating from ten campuses, LBNL (and LLNL and LANL when they are operated by the University), the Division of Agriculture and Natural Resources, and the Office of the President.

Reports produced from the data in the corporate SPX system are electronically available to campus research administration offices and other University units. Specialized reports can be created upon request of RPAC staff.