ISR Forms and Policies

This page provides a single source for all of the internal proposal documents required by UCLA TDG for the review and negotiation of your Award. Follow the links below for the forms and supporting instructions as well as the relevant UCLA policies that instituted the form.


 

ePASS

Form

The "Extramural Proposal Approval and Submission Summary" (commonly known as the "ePASS") is the UCLA internal form used for the review of applications or proposals submitted to extramural funding agencies. This form is for internal campus use only and will not be forwarded to the Sponsor.

Policy 900

  • UCLA Policy 900 sets forth the eligibility requirements of a Principal Investigator (PI) at UCLA.
  • Eligible PIs are able to submit a proposal for extramural support for a research, training, or public service project assume and primary responsibility for the scientific, technical, and administrative conduct and reporting of the project, including financial matters. The OCGA Investigator Directory has a search tool to find out if your PI has Policy 900 Status.
  • If your PI does not have Policy 900 Status the individual is not automatically eligible to submit a proposal for extramural support nor assume responsibility for the direction of a research project. To do so a request for an exception, approved by the Dean, Vice Provost, or other high level campus official to whom authority to approve exceptions has been delegated (see UCLA Delegation of Authority 201.07), must be forwarded to UCLA TDG with each request for extramural support.
  • Check with your department fund manager for example request letters. 

Research Safety and Animal Welfare Administration (RSAWA)

  • UCLA Policy 990 details the standards for the care and use of Laboratory Animal Subjects in research, testing, and teaching.
  • The Chancellor's Animal Review Committee (ARC) includes an independent research review committee mandated by the Animal Welfare Act and the PHS Policy on Humane Care and Use of Laboratory Animals.
  • The ARC, through the experience and expertise of its members, is charged with the responsibility to oversee the entire animal care and use program at UCLA. Additional information can be found on the ARC website.

Please note that ARC approval must be submitted to your Industry Contract Officer before the Agreement can be signed.

Human Research Protection Program

  • UCLA Policy 991 summarizes the responsibilities of UCLA administration, its Research Investigators and its Research Affiliates for the appropriate conduct of Human Subjects Research, and for compliance with all related federal regulations and local policies.
  • The Office of the Human Research Protection Program (OHRPP), formally known as the Institution Review Board or IRB, serves as the administrative arm for federally mandated compliance committees responsible for reviewing all research protocols that involve the use of human subjects. Additional information can be found on the OHRPP website.

Please note that OHRPP approval must be submitted to your Industry Contract Officer before the Agreement can be signed.


 

Financial Disclosure Forms

UCLA Conflict of Interest Policy

  • Under UCLA Policies 150 and 925, the Principal Investigator and all other UCLA Investigators who share responsibility for the design, conduct or reporting of research must disclose their personal financial interests in any organization(s) that will fund or support research or that is an intermediary acting for the entity funding or supporting the research.
  • Disclosure is Required:
    • Any time a proposal is submitted
    • When changes to financial interest(s) occur, or
    • When a new Investigator is added to a project for which disclosure is required

What Financial Disclosure Forms Do You Need to Use?

Award Type Forms Needed
  • Industry Sponsored Research
  • Phase I SBIR/STTR Government Flow-Through Subcontracts
  • Training/Instruction
  • Other Sponsored Activities
  • Equipment Loan
  • 700U and 700U Addendum
  • All Federal Flow-Through Subcontracts (except Phase I SBIR/STTR)
  •  Individual Fellowships
  •  None

 

UCLA Form 700U

UCLA Form 700U Addendum

  • The Principal Investigator should use this form to document any other individuals not serving as a Principal Investigator who share responsibility for the design, conduct, or reporting of research. 
  • If there are no such individuals the Principal Investigator must mark this fact accordingly and still sign and submit UCLA Form 700U Addendum.
  • Form 700U Addendum (PDF)

UCLA Form 700U Supplement

  • In the event that the Principal Investigator, other investigators, or any other personnel have identified a positive conflict disclosure this form must be used to describe the conflict and provide information used by the UCLA Conflict of Interest Review Committee to determine whether the conflict can be managed and if the research may proceed.
  • Form 700U Supplemental (PDF)

UCLA Form 740

  • Under UCLA Policy 925, the Principal Investigator and all other UCLA Investigators who share responsibility for the design conduct, or reporting of certain sponsored projects must report their personal financial interests in any organization(s) that, to the best of the Investigator’s knowledge, may have a significant impact on the conduct of this research or might benefit from the anticipated results of the proposed project.
  • Form 740U (PDF)

UCLA Form 740 Supplement

  • In the event that the Principal Investigator, other investigators, or any other personnel have identified a positive conflict disclosure in the Form 740 this form must be used to describe the conflict and provide information used by the UCLA Conflict of Interest Review Committee to determine whether the conflict can be managed and if the research may proceed.
  • Form 740 Supplement (PDF)

Please note that in the event a positive conflict is disclosed, UCLA Form 700U Supplement must be included for each individual that identified a positive disclosure in either the UCLA Form 700U, UCLA Form 700U Addendum, or UCLA Form 740


 

Budget

Background

  • The UC Office of the President has issued specific policies stating that all costs of a research project (including direct and indirect costs) must be covered by a Sponsor in order for the Sponsor to receive full rights to license inventions and access data and results produced in the conduct of sponsored research.
  • On April 27, 2011 the University of California and the United States Department of Health and Human Services (the responsible Federal audit agency) entered into a new facilities and administrative (F&A, also known as indirect cost or IDC) Cost Rate Agreement for the Los Angeles campus.  This agreement establishes facilities and administrative cost rates for the period of July 1, 2010 through June 30, 2016.
  • The on-campus research rate currently in effect is 54%. 
  • The off-campus research rate currently in effect is 26%.  For assistance in determining whether the project qualifies for the off-campus research rate please see the guidance found here.

How to Determine the Appropriate F&A/IDC Amount - Calculating MTDC

  • All of these F&A/IDC rates are applied to the Modified Total Direct Cost (MTDC) base.
  • MTDC consists of all salaries and wages, fringe benefits, materials and supplies, services, travel and the first $25,000 of each subaward (whether a subgrant or subcontract) regardless of the period covered by the subaward.
  • Equipment (defined as a tangible item with a useful life of at least one year and an acquisition cost of $5,000 or more per unit), alterations and renovations, charges for patient care and tuition remission, space rental costs, scholarships and fellowships, as well as the portion of each subaward in excess of $25,000 are excluded from the MTDC calculation.
    • Please note that if the subaward is issued to another UC campus, the full amount of the subaward is excluded from the MTDC calculation

What Are F&A/IDC Used For?

Covers actual expenses incurred in the conduct of the research.  These include:

  • Building and equipment use
  • Depreciation
  • Operation and maintenance of facilities
  • Departmental administration
  • Student services
  • Academic support offices

Sample Budget Template

  • While no specific form that is required, the submitted budget should break down the total award by major cost category, detail some level of percentage effort and salary for the Principal Investigator, and include the appropriate F&A/IDC amount in accordance with the above.
  • Sample Budget Template (excel)

 


 

Industry Sponsored Research Proposal Checklist

  • An internal document required for the processing and negotiation of all Sponsored Research Agreements. 
  • This Checklist allows your Industry Contract officer to identify and address any potential issues or conflicts and serves to identify and document each aspect of the proposal that you will submit.
  • Industry Sponsored Research Proposal Checklist (PDF)

 


 

Request for Confidential Disclosure Agreement

  • An internal document required for the processing and negotiation of all Confidential Disclosure Agreements. 
  • This form should be filled out using your Adobe Reader program and electronically submitted using the auto submit button at the bottom of the form.
  • For more information about Confidential Disclosure Agreements (also known as a Non-Disclosure Agreements or a Proprietary Information Agreements), please visit the Confidential Disclosure Agreement section of our website.
  • Request for Confidential Disclosure Agreement (PDF)