SPO & Ucorp Bridge

The University Corporation at Monterey Bay (University Corporation) is the legal recipient for all external funding on behalf of the university. The University Corporation is CSU Monterey Bay's auxiliary organization, a 501(c)(3) not-for-profit public benefit corporation.

All awards must be signed by an authorized representative of the University Corporation. Please contact the Sponsored Programs Office (formerly: Grants & Contracts) for public funding awards and University Advancement for private funding awards.

The principal investigator (PI) in conjunction with Sponsored Programs Office (or University Advancement if the funder is private) are responsible for reviewing all conditions of an award prior to acceptance by the University Corporation. The PI and SPO (or UA) staff are also responsible for ensuring that the funder's requirements are compatible with the University Corporation and/or CSUMB's policies and procedures.

The Sponsored Programs Office (public funds) or University Advancement (private funds) have primary responsibility for resolving any disagreement between the funder and the University Corporation in regard to the terms and conditions of the award. It is best to resolve any problematic issues prior to the approved project start date.

Acceptance of a sponsored project binds both the funder and the University Corporation to specific financial and programmatic commitments, as outlined in the approval and acceptance of the final budget and award.

New Award Orientations

When an award has been received, University Corporation (UCorp) Grants Accounting will send the Principal Investigator (PI) a Chartfield Request/Update Signature Authorization. Once the form is completed and returned to UCorp, a project number will be assigned and the Sponsored Programs Office will be notified to initiate a meeting with the PI.

Sponsored Programs Office staff will then set up a New Award Orientation meeting with the PI to discuss key highlights and regulatory requirements of the award. The PI must designate any additional support staff that should attend the meeting.

NOTE: NO expenditures against the award may be incurred prior to the New Award Orientation meeting.

New Award Orientation

New Award Orientation documents were once called "PI Checklist". Each New Award Orientation document is completed individually based on the sponsor requirements applicable to the unique grant or contract. Below is a blank version for reference.

New Award Orientation - blank

Technical Reports to Sponsors (AKA: Deliverables)

Each sponsor and each award has specific reporting requirements. Sponsoring agencies routinely require final reports that may include financial statements, a final technical report, and a final inventory report. Specialized program reports are also typically required.

As PI, you are expected to submit all periodic technical reports (non-finanical or cost-sharing) prior to the reporting date (usually within 90 days of the project's termination date). Copies of these reports must be forwarded to the Sponsored Programs Office (for public funding) or to University Advancement (for private funding). Typically, sponsors will withhold final payments on grants and contracts until all the final reporting requirements are met. Reporting delays can be costly to the University Corporation, as well as to the university. If you fail to submit the required reports on a timely basis, you can also jeopardize future funding from the sponsor or funder for any other member of the CSUMB community.

To assist Principal Investigators (PIs) with grant technical reporting compliance requirements, the Sponsored Programs Office has implemented an automated system for technical report notification and tracking using an online sponsored projects administrative suite, InfoEd. Notification is required by the Chancellor's Office and is consistent with grant-recipient practices throughout the nation.

As an awarded PI or designated support staff (delegate) you will receive email messages with an attachment containing upcoming due dates for required technical reports by your sponsoring agency. If you have any difficulty opening or reading the attachment, or find it is missing data, please contact us immediately.

To learn more about the new grant technical reporting compliance requirements, or how to utilize InfoEd for accessing technical report (deliverables) notices and other grant administrative functions, please attend an InfoEd Open Forum.

Submit a technical report to SPO.

Compliance Reports

Most awards funded by PUBLIC funders require compliance with one or more regulatory statute: Animal Use & Care, Human Subjects Research, Conflict of Interest, and Responsible Conduct of Research to name just a few.

Reporting and certifications for these and all other research-related compliance are now at:

Expenditures & Financial Reports


The University Corporation at Monterey Bay (UCorp) Grants Accounting staff provides nearly all post-award administration for public and private funding and ensures that the applicable regulations are followed. The Sponsored Programs Office (SPO) continues to provide allowability review of: Employee Status Forms (ESFs), Requests to Recruit, Subaward/Subcontracts (development and invoices against), and Expense Transfers. A flow-chart for grant-related documents is available on our Formspage under Managing Your Awards.


University Corporation reviews grant-related expenditures prior to payment to ensure that the applicable regulations are followed and that the expenses are allowable. In addition to complying with the funding agency, expenditures are checked for compliance with OMB Circulars A-110, A-133 and A-21. Principal Investigators (PIs) are urged to always check with the Sponsored Programs Office, University Advancement or University Corporation staff prior to making purchases that might be questionable to the external funding agency.


Throughout the life of your project, you will most likely encounter a time when you will either need to modify your budget or need a no-cost extension. SPO staff will work with the PI on re-budgets or extensions. It is important that these be done early, prior to the end of the project, and that they have the necessary justification.


All matching funds must be applicable and allowable to the project. We must also be able to document all cost-sharing activities/funds. SPO staff will work with the PI to ensure that the correct documentation is made by the campus or outside parties.


Human Resources All hires under externally funded projects are employees of the University Corporation (UCorp). All paperwork must be completed and turned in to University Corporation Human Resources (HR) at least one week prior to the time sheet due date. Contact University Corporation HR early to ensure a smooth transition and hiring process. New regular/benefited positions are posted on the HR website for fair and open hiring practices.


University Corporation employees are paid twice a month. All time sheets must be turned in one week prior to the pay date.


The state and University Corporation abide by the same travel policies. Prior to travel, the "Request for Authority to Travel (RAT)" form must be completed. After the trip has been completed, a "Travel Expense Claim (TEC)" must be completed for reimbursement.


To avoid conflicts of interest, purchases should not be made from companies where PIs have a significant economic interest. University Corporation procurement cards are managed by the University Corporation's Procurement Department.


The University Corporation encourages purchases (items or contractual services) via Purchase Requisitions (PRs). This method prevents the PI from spending their personal money, and provides for protections/competition of the purchases and compliance with inventory tracking. Please visit the University Corporation's website for a current version of every form, policies and procedures.

SPO staff will work with you to create a subcontract or subaward for services that are compliant with the funder's and the University Corporation's regulations.


Purchases of $20,000 should be obtained by telephone for these purchases unless determined that it is not in the University Corporation's best interest. (Based on availability of vendors, delivery requirements and estimated savings through competitive purchasing methods.) Competitive quotes will be solicited whenever it appears that better prices might be obtained from alternate vendors.

$20,000 purchases should be obtained from a minimum of 3 vendors (see "Quotation Only" form).


$25,000 and over must be by competitive bids, except where the procurement section determines that the specified brand of trade name is the only article properly meeting the needs of the campus, otherwise all purchases above $25,000 must be sealed, formally bid, and the award made to the lowest responsible bidder meeting specifications.

The purpose of competitive bidding is to provide qualified bidders to enter the bidding process, to stimulate competition and to derive maximum benefit from grant dollars.


When a request is made for a sole source purchase (when the specifications limit the bidding to one source and/or brand name), the ordering PI will include a "Sole Source Justification" with the Purchase Requisition according to the following:

A specific description of the supplies or services required to meet the needs, and a statement of facts that show the unique qualifications of the services or items selected to satisfy those needs.A description of efforts made to locate other sources of supply.Documentation that the anticipated cost is fair and reasonable. This can be a comparison of prices when the item is generally available or, when the item is to be specially fabricated, an analysis of the manufacturer's cost.PAYMENT REQUESTVendors may be paid for project related purchases of less than $500, if:

The purchase is allowableSufficient funds exist in the account and subcode to be chargedJustification/relevance of charge to the projectIncludes an original itemized receipt upon which the vendor's name if preprinted (especially restaurant receipts since grants will not pay for alcoholic beverages)Contact:

University Corporation

Accounts Payable Technician

Bella Morgenstern, (831) 582-4083


Project personnel may be reimbursed for project-related purchases of less than $500, if:

The purchase is allowableSufficient funds exist in the account and subcode to be chargedJustification/relevance of charge to the projectIncludes an original itemized receipt upon which the vendor's name is preprinted (especially restaurant receipts since grants will not pay for alcoholic beverages)Contact:

University Corporation

Accounts Payable Technician

Bella Morgenstern, (831) 582-4083


Financial statements are generated by the Common Financial System (CFS) and are available for you to view (training and software/user ID are required). This report will show the monthly expenditure detail and a summary of all project activity for your grant. It is important that you review this statement closely for any errors and contact University Corporation Accounting or the Grants and Contracts Office for correction.

CFS training sessions are provided by Jennifer Stone. To view training class descriptions and register for classes, please view the CFS website.


University Corporation Grants Accounting provides all financial reports and requests for reimbursement to the funder. To ensure accurate reporting based upon the financial statements, it is important that only the accounting department completes these reports .

Judy Pohlman, (831) 582-3141Denise Wineglass, (831) 582-4647Kristin Alvarez, (831) 582-3108TECHNICAL REPORTS (PERIODIC & CLOSE-OUT) The Sponsored Programs Office and University Advancement are responsible for assisting PIs with technical reporting requirements by notifying you of upcoming deliverable deadlines, providing assistance with contractual obligations and submitting on behalf of the PI when required.

This is a lot of information to remember. Please don't hesitate to contact us with any questions or concerns.

Congratulations on successfully completing an externally funded project at CSUMB. We look forward to continuing to work with you on future projects!

Incentive Program

The purpose of the Incentive Program is to return recovered indirect funds from grants and contracts to the institute and Principal Investigators (PIs) who gain these awards as well as to create Scholars and Defrayed Costs programs. The Incentive formula is calculated on the net indirect revenue each fiscal year.

Up to $100K - Incentive Program receives 80% and the University Corporation at Monterey Bay (University Corporation) receives 20%

Above $100K - Incentive Program receives 60% and the University Corporation receives 40%

The Incentive funds are then distributed according to the following categories based upon the indirect recovered by each award.

50% to the Institute procuring funding

25% to the PI for Professional Development expenses

10% to the College or AVP

15% to Defrayed Costs Program

The Incentive funds for the institutes and PI categories will be put into individual University Corporation accounts and managed by SPO with the accounting done by University Corporation Accounting.

Directors and PIs can use these funds for legitimate operating and professional development expenses related to external funding (for example, assigned time, professional travel, student assistance, equipment, etc.). These funds will roll over year to year. Each director responsible for the institute funds will develop an annual report outlining how these funds were used and submit this report to SPO.

The Defrayed Cost Program will help cover faculty costs for: page charges, referred publications, significant exhibit or performance costs, and other costs required by scholarly production. Written requests for funding will be reviewed by SPO.

Incentive Funds will be allocated to the institutes and PIs after the University Corporation audit is completed for the fiscal year.