Agreements/contracts may only be signed by those with specific delegated signature authorization to sign contracts. Department Chairs, directors, PI's, and business officers may not sign agreements or contracts on behalf of the University or the UC Regents, and if they do the contracts may be considered uninforceable. Alternatively, the signatory may be held personally liable for the contract.
Because the Univeristy of California is a co-equal branch of the Government, many provisions in vendor contracts have to be altered to comply with State Law. Please provide a copy of the contract to Procurement as soon as your department has decided on the service; alterations to the contract can take many weeks to negotiate.
An independent contractor relationship exists when the University has the right to control only the result of the service, not the manner of performance. Arrangements to secure the services of an Independent Contractor may be entered into only when the services are so unique, specialized, or highly technical that they cannot be performed economically or satisfactorily by existing University Staff. Policies and procedures for Independent Contractors at the UC are governed by BUS-77. These services are classified in one of two categories:
- Personal services, performed by independent contractors are generally infrequent, technical, or unique functions performed by individuals, rather than partnerships, firms, or corporations. When departments choose to retain an individual (using Social Security # as their TIN) for services other than through normal employment procedures, they must ensure that no employer-employee relationship will exist with that individual. Click here for a Summary and Scenarios of the Public Contract Code for Conflict of Interest.
- Professional services are performed by entities identified by an Employer Identification Number (EIN). Examples include auditing, advertising, management and systems consultation, research, and training.
According to IRS Common Law Standards for Independent Contractors:
- provide atypical, infreqquetn, and non-recurring services
- provide similar services to other clients and/or businesses outside of the University
- engage in entrepreneruial activities in an established business, at risk for profit or loss
- receive little or no training, supervision, or instruction from the University
- currently do not receive a paycheck from nor is an employee of the UC system
- are responsible to determine the means and methods to use to perform services
- provide their own supplies, equipment, etc. necessary to perform services and cost for such will be included in rate or total fee
- maintain commercial general liability insurance to protect against work-related injuries and damage to University property
- will set their own priorities on time, amount of effort, and hours of work
- do NOT provide services that are similar to those currently being provided by UC employees
An independent consultant is an individual not employed by the University, of proven professional or technical competence, who provides professional or technical advice to the University. The University does not control either the manner of performance or the result of the service. These services are of an advisory nature, provide a recommended course of action, or personal expertise, and an end product which is basically a transmittal of information either written or verbal. Policies and procedures for Independent Consultants at the UC are governed by BUS-34.
Two important considerations arise when a service provider is classified as an independent consultant:
- If the cost of the independent consultant’s services will be $100,000.00 or more, the department must obtain at least two competing proposals or must complete and submit a Sole Source Justification.
- The California Public Contract Code (Section 10365.5) and University of California policies prohibit the University from entering into a subsequent contract with an independent consultant for the performance of services that the independent consultant previously recommended. If the department contemplates that an independent consultant might later provide the services that he or she will recommend, this possibility must be included in the initial agreement with that independent consultant.
Procurement Services will determine whether a service provider is properly classified as an independent consultant and will assist the department in ensuring compliance with all applicable requirements. Neither a purchase order nor employment type document may be used.
Proposals from independent consultants shall be in writing and shall include, but necessarily be limited to:
- A description of the consultant's qualifications, with a brief list of similar types of consulting contracts successfully concluded, a sample of such work when appropriate, and a description of the lead personnel and anticipated supporting personnel to be employed on the study;
- An overall description of the techniques by which the consultant intends to approach the problem, consultant resources to be expended, the anticipated beginning and ending dates for the services, equipment and facilities to be utilized and, if subcontractors are contemplated, a description of these persons or firms and the portions and monetary percentages of the work to be done by them;
- A description of the type of information, if any, to be collected about an individual, the method of collection, the physical type of the resulting record, i.e. typed or written notes, tape recording, photograph, and the proposed ownership of such records. The department proposing to engage a consultant shall be guided by Bus RMP-8 (Legal Requirements of Privacy of and Access to Information). Tape recorders shall not be used during discussions with University staff, or their agents, pertaining to employment matters except as specified by the document referenced in I.G. of this bulletin (BUS 34); any such use shall be specified in Article I.H. of the Independent Consultant Agreement. The consultant's attention shall be directed especially to Articles XII and XIII of the Independent Consultant Agreement (See Bus 34, Appendix 1);
- The total cost of the study and a breakdown of how this cost was computed, including any travel expenses, and desired method of payment;
- The total dollar amount of consultant work contracted with the University of California in the last 12 months;
- The name and University of California position of any officer, faculty member, or other employee of the University who holds a position of director, officer, partner, trustee, manager, or employee in the consultant organization, as well as the names of any near relative who are employed by the University; and
- If the consultant is not a citizen of the United States, an explanation of the person's alien status in the United States.
Speaker and Trainer Agreements
If a department is bringing in a speaker using an Honoraria payment, you will NOT need a contract. The following conditions must be met to qualify for an Honoraria:
- The payee is not a current UC employee nor have they been an employee within the past 2 years
- The event is a simple speaking or training engagement and the University provides all audiovisual and other equipment
- The speaker does not require special arrangements of any kind
- The training is of a general nature, and not a specific skill that would require the trainer to hold a certification
Local catering within the Santa Barbara area:
a) First right of refusal goes to either the UCEN catering, the Faculty Club, or Special Events catering on campus. If a campus provider cannot accomodate catering at your event (unless the venue does not allow outside catering), you must find a vendor on the Approved Catering list maintained by Ron Betancourt in Risk Management: http://www.ehs.ucsb.edu/riskmanagement/catering
Once you work with the vendor, please complete the "Request for Catering" permit and have John Lazarus (email@example.com), of UCEN Catering, approve. Once the catering permit has been signed off by John, the permit gets submitted with the check request for payment to the vendor. The catering permit does not come to Contracts.
b) If the vendor requires that you use their catering to use their venue, then the entire agreement for catering and the facility comes to Contracts.
Catering outside the Santa Barbara area:
a) All facility use/catering agreements outside the Santa Barbara area should come to Contracts.
All catering/entertainment costs should fall within the limits established by BUS-79, the UC Entertainment policy, or have the appropriate signatures for the exception.
BUS-79: Expenditures for Business Meetings, Entertainment, and Other Occasions http://policy.ucop.edu/doc/3420364
Catering Guidelines: http://www.ehs.ucsb.edu/units/envhlth/ehrsc/caterguide.htm
Film & Photography Permits
A film permit is required for any commercial (non-educational) still photo shoot, motion picture, or television production on University of California, Santa Barbara property. Any news-related or educational filming is handled through the Office of Public Affairs.
Send an email to firstname.lastname@example.org to obtain a Film Permit Application. The information you provide will be the basis for a Film Permit if one is approved and executed by the University.
Please note the following restrictions and guidelines applicable to film/photo permit applications:
- A complete, signed original application must be received a minimum of 10-business days prior to the start of filming/shooting (including set-up). Requests with less notification may not be honored.
- All UCSB parking fees are applicable and not included.
- A copy of the vendor's insurance certificate(s) must be on file, naming the Regents of the University of California as an additional insured and meeting the minimum requirements of the University.
- The vendor must submit all other permits necessary to have the application reviewed.
- A $250 non-refundable application fee is required at the time the vendor submits the application. Checks must be made payable to The Regents of the University of California.
- The University of California has the right to deny any request.
Send the completed and signed original application to:
University of California
Santa Barbara, CA 93106-1150
Real Estate and Property
Real estate and property agreements consist of licenses, leases/rentals, and easements. Please contact Procurement Services (email@example.com) with questions related to these types of agreements. Only those with delegated authority may sign these agreements.
"Click to Pay" Agreements
Online Agreements like social networking sites, software licenses, and cloud storage are called "Click to Pay" or "Click to Accept". These Agreements consist of terms that can violate the UC standing bylaws, and are difficult to manage. Here are some common contractual obligations to look for when asked to "Agree" to allow an app or software license to download to a UC computer:
If you have any questions about allowing someone in your department to "Agree" to one of these Agreements, please contact us at Contracts@bfs.ucsb.edu. We can provide the risks associated with accepting the Agreement terms associated with your particular download.
Revenue Agreements - UC-Provided Services
If your department wishes to contract for UC-provided services (revenue to your department), you will need a Rate and Recharge (link is external) package or approval through Budget and Planning prior to contract execution. The approval is required annually, and adheres to policies Academic Personnel Manual APM-020 (link is external) and BFB policy A-56 (link is external).
If you are unsure of whether or not your department needs to submit a Services Agreement through our department, or if it's Research and should go through Office of Research, our department Form B can help route it correctly.
Here is a helpful resource when working between Procurement and Office of Research: UCSB Transaction Requirements: Procurement, Construction, and Office of Research
Employees vs. Contractor
Federal and state laws and regulations, and University of California policies, require that the University properly classify a service provider as an independent contractor with whom the University may enter into a contract for services or as an employee whom the University must hire. The Contracts and Property Office will make this classification using an “Eleven Factor Test” from the Internal Revenue Service.
An employer-employee relationship exists when the University has the right (whether or not it exercises the right) to supervise and control the manner of performance, as well as the result of service. Agreements with employees are based on standard employment practices through Human Resources.
BUS-43 - Materiel Management
BUS-34 - Securing the Services of Independent Consultants
BUS-77 - Independent Contractor Guidelines
Agreements for services involving written works, editing, software, website design, logo design, artwork, film, or photography often involve copyright, trademark, and other intellectual property issues. Such agreements typically give rise to issues involving ownership and licensing rights and, consequently, such agreements often require particular scrutiny and review by the Contracts & Property Office.
Vendor Provided Agreements
- Choice of Venue
- Automatic Renewals
- Signing Bonuses
- Prepayment Requests
- Use of the UC Name/Logo
- 3rd Party Liability
Data Security and Confidentiality
If the vendor will be collecting any of the following types of data:
- Personal Information
- Credit Card Information
- Health Information
- Student Information
then the contract will incorporate additional language to ensure the data is kept secure and confidential.
GOLETA BEACH FACILITY USE AGREEMENTS
Goleta Beach & Tucker’s Grove facility Use Agreements – Procurement & Risk Management worked with the County of Santa Barbara to develop a UCSB template for rentals of the Santa Barbara/Goleta day use parks. To request a Reservation Application/Agreement, please email firstname.lastname@example.org, and let them know you're with UCSB. Alternatively, you can leave a message at 568-2461, and tell them you are calling from UCSB. Please ignore the outgoing message asking you to complete a reservation, and leave a voicemail instead. Please DO NOT complete the County of Santa Barbara Online Reservations form; it contains terms and conditions that we cannot agree to.