UCLA DA 201.04: Exceptions to Submission of a Contract or Grant Proposal by Other Appointees
July 03, 2008
From: Chancellor Gene D. Block
To: Executive Vice Chancellor & Provost Scott L. Waugh
Vice Provost, Intellectual Property & Industry Relations Kathryn Atchison
Vice Provost, International Institute J. Nicholas Entrikin
Chief Executive Officer, Resnick Neuropsychiatric Hospital Fawzy I. Fawzy
Vice Chancellor & Dean, Medical Sciences and David Geffen School of Medicine Gerald S. Levey
Vice Chancellor & Dean, Graduate Studies & Graduate Division Claudia Mitchell-Kernan
Vice Chancellor, Student Affairs Janina Montero
Administrative Vice Chancellor Sam J. Morabito
Vice Chancellor for Research Roberto Peccei
Vice Chancellor, Academic Personnel Thomas Rice
Dean & Vice Provost, Undergraduate Education Judith L. Smith
University Librarian Gary E. Strong
Director, Semel Institute Peter Whybrow
Dean, Division of Social Sciences Reynaldo F. Macias
Dean, Division of Life Sciences Emil Reisler
Dean, Division of Physical Sciences Joseph Rudnick
Dean, Division of Humanities Timothy zzzStowell
Dean, Henry Samueli School of Engineering & Applied Science Vijay Dhir
Dean, Graduate School of Education & Information Studies Aimee Dorr
Dean, School of Public Affairs Frank D. zzzGilliam
Dean, Anderson School of Management Judy D. Olian
Dean, School of Theater, Film & Television Robert Rosen
Dean, Continuing Education & Extension Cathy A. Sandeen
Dean, School of Law Michael Schill
Dean, School of the Arts & Architecture Christopher Waterman
Dean, School of Nursing Courtney H. Lyder
Dean, School of Dentistry No-Hee Park
Dean, School of Public Health Linda Rosenstock
Associate Dean of Research, School of Public Health Roshan zzzBastani
Senior Associate Dean of Research, David Geffen School of Medicine Leonard Rome
Associate Dean of Research, School of Dentistry David Wong
Associate Dean of Research, School of Nursing Mary Woo
  1. UC Contract & Grant Manual, dated 1/1/1996, Subsection 1-530, Who May Submit Proposals;
  2. UCLA Policy 900, Principal Investigator Eligibility.
Supersedes: UCLA DA 201.03 to Executive Vice Chancellor Neuman, et al., dated 7/18/2005.

Effective as of the date above, I hereby delegate to each of you, in your respective areas of responsibility, the authority delegated to Chancellors to approve, by exception, the submission of contract or grant proposals by other than those academic appointees who are eligible to serve as Principal Investigators, as specified in UCLA Policy 900 - Principal Investigator Eligibility. In so doing, you are granting permission to such individuals to conduct research in your respective areas of responsibility. Such exceptions must be made in accordance with the UC Contract & Grant Manual, Subsection 1-530 - Who May Submit Proposals, which sets the conditions under which the Chancellor may approve submission of a contract or grant proposal by other appointees in special circumstances, as follows:
"By exception, Chancellors, Vice Presidents, or the Dean of University Extension may approve the submission of a contract or grant proposal by other appointees in special circumstances when such action is in the best interest of the University, and provided that space and facilities can be assigned without detriment to the regular instructional and research responsibilities of the University. In such cases, a written explanation of the approval should be included in the project file as a matter of record."
UCLA Policy 900 describes the current types of UCLA employees who may be eligible to serve as a Principal Investigator and those who may be eligible on an exception basis, including selected academic appointees and, on rare occasions, non-academic staff who meet certain requirements.

This delegation is being reissued due to organization changes and there are no substantive changes to the delegation being superseded. Exception approvals must be conveyed in writing along with the research proposal to the Office of Contract & Grant Administration, the Office of Clinical Trials, David Geffen School of Medicine, and/or the Office of Intellectual Property – Industry Sponsored Research, as appropriate. This authority may not be further redelegated.

cc: Executive Vice President, Business Operations
General Counsel & Vice President, Legal Affairs
Universitywide Policy Coordinator
Manager, Administrative Policies & Delegations