Policies & Procedures


Section 1

Business and Financial Affairs

Materiel Management - Agreements

Sec. 712-10: Guidelines for Securing the Services of Independent Consultants

Responsible Office: Materiel & Risk Management
Revised: November 2011

References / Resources

  • UC Business and Finance Bulletins
    • BUS-34, Securing the Services of Independent Consultants
    • BUS-63, Insurance Requirements/Certificates of Insurance
  • UCI Delegation of Authority

Contact: Risk Manager, Materiel & Risk Management at (949) 824-7419

An independent consultant is an individual or organization outside the University of proven professional or technical competence who provides primarily professional or technical advice to the University in an independent contractor relationship. The University document used to secure the services of an independent consultant is an Independent Consultant Agreement Form. A purchase order type document may not be used, but is reserved for independent contractor agreements where an employee-vendor relationship exists.

A. Scope

The procedures for securing the services of independent consultants apply to all campus and medical center activities for which administrative responsibility is vested in the Chancellor. The procedures do NOT apply under certain circumstances, which are outlined in UC Business and Finance Bulletin BUS-34, IV, C.

B. Requirements

Arrangements to secure the services of an independent consultant may be entered into only when a determination has been made that the services are so urgent, special, temporary, or highly technical that they cannot be performed economically or satisfactorily by existing University staff during the course of their normal University responsibilities or duties.

Refer to BUS-34, II for definitions and V for a complete listing of general requirements.

C. Responsibilities

Responsibility for establishing procedures, and assuring that the services of independent consultants are secured in accordance with the requirements of BUS-34, has been delegated to the Vice Chancellor-Administrative and Business Services

Approval by two executing officials are required for every agreement and IDA 565 designates Irvine's Program Review Officials and Responsible Administrative Officials.

  • Program Review Officials

    Individuals assuming responsibility and delegated the authority to approve, as appropriate, the purpose and contents of an independent consultant agreement.

  • Responsible Administrative Officials

    The campus administrators responsible for the overall administration of independent consultant procedures and agreements as described in BUS-34, III, C.

D. Requesting Independent Consultant Services

A fully executed consultant agreement must be in place BEFORE work begins.

The requesting department submits a written presentation of its requirements to the appropriate Program Review Official. The request for consultant services should clarify and define the problem for the benefit of the program review official and the Responsible Administrative Official and enable prospective independent consultants to prepare proposals.

The request should include, but not necessarily be limited to, the information presented in BUS-34, VI, B.

E. Proposals from Independent Consultants

Proposals from independent consultants should include, but not necessarily be limited to, the information presented in BUS-34, VI, C.

F. Preparation of the Independent Consultant Agreement

A fully executed consultant agreement must be in place BEFORE work begins.

When an independent consultant has been selected, the requesting department prepares the following documents and forwards them to Materiel & Risk Management:

  1. An original and two copies of the standard Independent Consultant Agreement Form, signed by the consultant and the appropriate Program Review Official.

    Any modification of the standard agreement will be reviewed and approved by the Responsible Administrative Official, who will consult with the General Counsel or Vice President-Finance as appropriate.

  2. An Administrative Review Form certification signed by the appropriate Program Review Official.
  3. A completed Justification and Selection Process Form.

    If the total amount of the agreement is or will be $50,000 or more, the Program Review Official will assure that, if possible, proposals are solicited from three or more qualified independent consultants. When competitive proposals are not solicited, the reason for not seeking competition must be documented.

  4. Independent Contractor Pre-Hire Worksheet
  5. Certificate of Insurance or a memo statement explaining why a certificate is not included.

    The insurance requirements to be provided under Article V of the Terms and Conditions of the agreement will be those set forth in UC Business and Finance Bulletin BUS-63, paragraphs IV, B, 2c and V, A, 2.

    Following risk identification and evaluation the Director, Materiel & Risk Management may develop exceptions to the insurance requirements outlined in BUS-63, IV, B, 2. If it is determined that little or no risk is involved, the limits may be lowered or the requirement eliminated. Conversely, if it is determined that additional risk is involved the limits may be raised.

G. Administrative Review

Materiel & Risk Management assigns an agreement number to the agreement; reviews the competitive bidding actions; and routes the agreement to Human Resources, Academic Personnel, and/or Sponsored Projects Administration, as appropriate.

H. Execution of Agreement

When all reviews are complete, the Director, Materiel & Risk Management executes the agreement.

I. Distribution of Executed Agreements

Materiel & Risk Management distributes the completed agreements as follows:

  1. The original with attachments retained by Materiel & Risk Management.
  2. One copy (unless original requested) to department/unit requesting the consultant (the department is responsible for providing a copy to the consultant).

J. Amendments

A consultant agreement may be amended (see BUS-34, VII, D) by submitting one signed original and two copies of the Amendment Form to Materiel & Risk Management. Following execution, the amendments are distributed as above.

K. Payment for Services of Independent Consultant

Payment for services provided by independent consultants are in accordance with the policies set forth in BUS-34, VIII.