University of California

Office of the President

Memo

 

Senior Vice President

Business and Finance

 

Research Administration Office

Operating

Guidance

No. 01-05

June 20, 2001

CANCELLED CONTRACT AND GRANT OFFICERS

 

Subject:           Office of the State Public Defender Interagency Master Agreement No. SPD-00-1A-5002

 

This memo transmits a copy of the subject Interagency Master Agreement (IMA) effective June 8, 2001 through June 7, 2003.

 

Requests for services under the terms of this IMA are to be implemented by mutually acceptable Memorandum of Understanding which are handled by individual campus Contract and Grant Offices.

 

 

 

Refer: Samuela A. Evans

          (510) 987-9849

          Samuela.Evans@ucop.edu

 

Subject Index: 02, 22

Organization Index: S-295

 

 

 

 

 

 

Samuela A. Evans

Contract and Grant Officer

 

 

Enclosure

 

*Note: The addressees above represent the standard distribution of Contract and Grant Memos. Additional addressees, if any, may be added based on the subject of the Memo. See cc's.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

STATE OF CALIFORNIA

INTERAGENCY AGREEMENT

STD 13 (REV. 9-89)

 

 

 

THIS AGREEMENT is entered into this    8    day of     June,  2001.

By and between the undersigned State Agencies:

    Set forth services, materials, or equipment to be furnished or work to be performed, and by whom,

Time for performance including the terms, date of commencement and date of completion, and provision

For payment per (1225 and 8752-8752.1 SAM.)

 

 

 

This agreement is entered into between the Regents of the University of California (University) and the California State Public Defender’s Office (Agency).

 

I.                     University agrees to provide graduate students and post-doctorate researchers the opportunity to work on post-conviction capital habeas corpus proceedings being litigated before the California Supreme Court.

II.                   The total amount payable under this Agreement shall not exceed forty thousand dollars ($40,000.00).

III.                 The term of this Agreement shall be effective upon the date approved by the Office of the State Public Defender and shall expire twenty-four months from that date.

IV.                 This Agreement is not valid until signed by both parties and approved by the Department of General Services, if required.

V.                   Time is of the essence in this Agreement.

VI.                 The following documents are hereby incorporated and made a part of this Agreement.

Exhibit A:  Terms of Interagency Master Agreement

Exhibit B:  An Overview of the Work Plan

Exhibit C:  UC Campus Contracts and Grant Offices

Exhibit D:  Memorandum of Understanding

Exhibit E:  Campus Indirect Cost Rates

Exhibit F:  Campus Extramural Funds Accounting Offices

 

 

(Continued on    sheets which are hereby attached and made a part hereof

NAME OF STATE AGENCY RECEIVING SERVICES

 

Office of the State Public Defender

CALLED ABOVE (SHORT NAME)

 

OSPD

AUTHORIZED SIGNATURE

 

PRINTED NAME AND TITLE OF PERSON SIGNING

 

Lynne S. Coffin, State Public Defender

FUND NUMBER AND NAME

 

 

NAME OF STATE AGENCY PROVIDING SERVICES

 

Regents of the University of California

CALLED ABOVE (SHORT NAME)

 

University

AUTHORIZED SIGNATURE

 

 

PRINTED NAME AND TITLE OF PERSON SIGNING

 

Samuela A. Evans, Contract & Grant Officer

FUND NUMBER AND NAME

 

 

AMOUNT ENCUMBERED BY THIS DOCUMENT

 

$     40,000

PRIOR AMOUNT ENCUMBERED FOR THIS CONTRACT

 

 

TOTAL AMOUNT ENCUMBERED TO DATE

 

 

PROGRAM/CATEGORY (CODE AND TITLE)

 

 

FUND TITLE E

 

General

 

DEPARTMENT OF GENERAL SERVICES

USE ONLY

(OPTIONAL USE)

 

 

ITEM

 

8140-001-0001

CHAPTER

 

 

52

FISCAL YEAR

 

 

00/01

OBJECT OF EXPENDITURE (CODE AND TITLE)

 

I hereby certify upon my own personal knowledge that budgeted funds

Are available for the period and purpose of the expenditure stated above.

T.B.A NO.

B.R. NO.

SIGNATURE OF ACCOUNTING OFFICER

DATE

 

 

 

 

 

 


EXHIBIT A – TERMS OF INTERAGENCY MASTER AGREEMENT

 

AGREEMENT NO: SPD‑00‑IA‑5002

 

1.         Non‑Exclusivity

 

This Agreement is non‑exclusive. Agency may seek educational, consulting, and/or research services from any and all parties and University may provide such services to any and all parties for the same scope of work or any other scope of work, concurrently or otherwise. "Parties" shall include all individuals, entities, and organizations, whether public or private.

 

2.         Purpose

 

University shall perform the scope of work set forth in Exhibit B, entitled "An Overview of the Work Plan," attached hereto and incorporated herein ("Work").

 

3.         Funds Obligated

 

The maximum amount payable by Agency to University for performance of Work shall not exceed $40,000.00. For Work performed under individual Memorandum of Understanding ("MOU") issued pursuant to this IMA, Agency agrees to pay University an amount equal to University's direct and indirect costs, as a percentage of direct costs, for performance hereunder and approved by the Agency in individual MOU budgets in accordance with Section 8752 and 8752.1 of the State Administrative Manual. Nothing herein shall preclude advance payment pursuant to Government Code Section 11257. Agency is responsible for not issuing MOUs which exceed the funds available in this IMA.

 

4.         Term of Agreement

 

The term of this Agreement shall be effective upon the date approved by the Office of the State Public Defender and shall expire 24 months from that date subject to A) the provisions of Section 3, Funds Obligated, and B) the Agency's right to termination under Section 5, Termination.

 

If funds for any subsequent fiscal year after 2000/01 are reduced or deleted by the Legislature, Agency shall offer a contract amendment. It is mutually understood by both parties that Agency reserves the right to determine which MOUs, if any, under this program shall be reduced, and that Agency shall determine, at its sole discretion, the amount that any or all of the MOUs shall be reduced and for which fiscal year. Agency understands the University shall also reduce the Scope of Work accordingly.

 

Agency reserves the right to elect to reduce some MOUs by a greater amount than other MOUs. It is required that the Contract Manager send University a letter informing them that there are sufficient funds to continue the IMA. This must be done only after the Governor has signed the fiscal year budget and the Contracting Officer knows there are adequate funds to continue the IMA. If there are insufficient funds, or the funds are deleted, the Contracting Officer must then follow the procedure described above and elect to cancel or prepare an amendment to reduce funds.

 

5.         Termination

 

This Agreement may be terminated by either party upon sixty (60) days prior written notice. In the event of such termination, University shall be reimbursed for all reasonable direct and indirect costs and noncancellable financial obligations incurred prior to the effective date of termination. University shall return to Agency all unexpended advance payments minus said costs and financial obligations.

EXHIBIT A – TERMS OF INTERAGENCY MASTER AGREEMENT

 

 

6.         Contract and Program Managers

 

Agency Contract Manager:        Don Ayoob, Supervising Deputy State Public Defender

 

Agency Program Manager:        Don Ayoob, Supervising Deputy State Public Defender

 

University Contract Manager:    Samuela A. Evans

Office of the President Research Administration

(510) 987‑9849

 

Any questions regarding interpretations of or either party's compliance with this Agreement shall be referred to the Contract Manager(s).

 

7.         Requests for Services

 

A.        Requests for services under the terms of this IMA shall be presented in writing by Agency directly to the Contracts and Grants Officers at individual University campuses as identified in Attachment C, entitled "List of the University of California Contracts and Grants Offices", which is incorporated herein and made a part hereof by this reference. University may decline to provide requested services when such services are inconsistent or incompatible with its mission and purpose as defined in Section 9 of Article IX of the State of California Constitution or when the capability is not otherwise available.

 

B.         Prior to University beginning performance of specific services, the Agency and University Campus Contracts and Grants Officer shall develop a mutually acceptable MOU. The format of the MOU and subjects to be covered are described in Attachment D, entitled "Memorandum of Understanding", which is specifically incorporated herein and made a part hereof by this reference.

 

C.         No language which superceded the terms and conditions of this IMA shall be written in the MOUs.

 

 

 

 

8.         Subcontracting

 

University shall submit for prior written approval by Agency any proposed subcontracting which it desires to enter into for the performance of work under this IMA, except subcontracts with constituent University campuses, or standard employment contracts for personnel to be utilized for work to be carried out under this IMA. Subcontracting which the Agency approves in the proposed MOU budget at the time the MOU is consummated do not require further Agency approval.

 

 

 

 

 

 

 

 

 

EXHIBIT A – TERMS OF INTERAGENCY MASTER AGREEMENT

 

 

9.         Charges

 

The Agency agrees to pay University the charges for services provided to Agency pursuant to this agreement as agreed in this IMA and as approved by Agency in the MOU budget. The MOUs shall have a description of the statement of work and results expected of the project.

 

1 )        Direct Costs ‑ are those costs that can be identified specifically with a particular project. These include:

 

a.         Salaries and wages, and fringe benefits rates approved by The Regents of the University of California. Budgets shall list the categories of personnel, salary rates and time proposed.

 

b.                   Materials and supplies.

 

c.                   Services, e.g., computer time, equipment use.

 

d.                   Travel and per diem in accordance with University travel policy which applies to University employees. Reimbursement for out‑of­ State travel requires prior written authorization by the Agency either by approving such travel in the budget or by letter if such travel is not previously approved in the budget.

 

e.                   Subcontracts.

 

f.                    Equipment to be purchased (itemized).

 

University may rebudget up to 20% or $10,000, whichever is less, of the total direct costs between existing budget line items of the MOU without formal amendment to the MOU and without prior Agency approval. Any rebudgeting by University in excess of 20% or $10,000, whichever is less, of the total direct costs between existing budget line items of the MOU may be approved by letter signed by Agency Program Manager.

 

2)         Overhead Costs ‑ are those costs incurred for common or joint objectives not readily and specifically identifiable with a particular project.

 

In accordance with both Agency and University policy pertaining to the recovery of full costs, overhead costs are included as an allowable cost for performance under this IMA. The Agency shall pay overhead at a rate not to exceed those set forth in Attachment E as approved by The Regents of the University of California as applicable to all sponsors. Attachment E consisting of one page and entitled "Indirect Cost Rates" is incorporated herein and made a part hereof by this reference.

 

10.        Payment

 

Pursuant to the general authority available in Government Code Sections 11256 through and including 11263 which provisions are specifically incorporated into this IMA, Agency may make advance payments as follows:

 

Upon execution of a MOU under this IMA, University campus shall submit an advance payment invoice to Agency to advance to University campus the estimated reimbursable cost shown by major costs categories for the first three (3) months of the period of performance of the MOU and will reference address of University campus Accounting Office to which payment shall be sent.

EXHIBIT A – TERMS OF INTERAGENCY MASTER AGREEMENT

 

Prior to the beginning of each quarter thereafter, University will submit an advance payment invoice to agency to advance the estimated reimbursable costs shown by major cost categories for the ensuing three (3) months. The total amount requested in advance shall not exceed the total allowable costs in the subject MOU. Within sixty (60) days of the end of each quarter, University will submit to Agency a statement of total actual expenditures by major cost categories incurred during the preceding quarter. The fourth quarterly statement of the performance period will serve as the final fiscal report and is due ninety (90) days after the end of the performance period. Any funds advanced in excess of actual expenditures will be refunded by University campus. Agency shall accept University statement of expenditures without back‑up source documentation. Source documentation is retained in official University financial records and may be inspected on site at reasonable times in accordance with Clause 13 below. It is agreed between the parties hereto that upon completion of the services hereunder, the actual cost of rendering said service shall be computed in accordance with the provisions of Section 8752 and 8752.1 of the State Administrative Manual and said payment adjusted in accordance with the provisions of Article 1, Chapter 3, Part 1, Division 3, Title 2, Government Code.

 

11.        Invoices

 

Invoices shall reference this IMA and the applicable MOU, and the University campus Accounting Office address to which payment shall be sent, and include direct expenses and indirect costs consistent with the elements in the budget approved by the Agency.

 

Submit invoices to:         Julie Del Prete, Contract Officer

State Public Defender's Office

801 K Street, Ste. 1100

Sacramento, CA 95814

 

Agency agrees to make payment on all invoices to The Regents of the University of California and mail payment to the appropriate University campus Accounting Office as designated in the MOU.

 

The addresses of all University campus Accounting Offices are listed in Attachment F, incorporated herein and made a part hereof by this reference.

 

Format

 

Agency shall accept University computer generated invoices without back‑up source documentation. Source documentation is retained in official University financial records and may be inspected on site at reasonable times in accordance with Clause 13 below.

 

12.        Property

 

Equipment charged as a direct cost of an MOU shall be the property of the Agency. At the completion or termination of each MOU, University will report the purchased equipment to Agency. Agency will provide disposition instructions within 120 days after receipt of the equipment report from University. If disposition instructions are not provided within 120 days, title to equipment shall automatically rest in the University with no further accountability to Agency.

 

13.        Audit

 

University agrees that each MOU is subject to examination and audit by the State, including the Auditor General, for a period of three years after final payment under said MOU.

 

EXHIBIT A – TERMS OF INTERAGENCY MASTER AGREEMENT

 

14.        Intellectual Property

 

 

 

 

A. Confidentiality. Neither party to this agreement shall furnish any information obtained from the other party in connection with this agreement to either the other party or to any third party, when that information is considered enabling, confidential, or proprietary by the disclosing party or by any third party, without being able to represent to the receiving party or the third party that prior authorization has been obtained for the release of such information.

 

Whenever confidential information which has been obtained pursuant to this agreement is utilized by the University in producing a copyrighted work as discussed in paragraph B, below, the Agency retains the right to review such work prior to its release to any non­party to this agreement and exercise a unilateral right to remove any references which are deemed to violate the attorney‑client privilege, work product doctrine, or otherwise compromise the identity of the client who is the subject of the confidential information.

 

B. Copyrights. All rights in copyright works created by the University in the performance of work under this Agreement are the property of the University. To the extent that the University shall have the legal right to do so, the University shall grant the State a royalty‑free, non‑exclusive, nontransferable, irrevocable license to reproduce, prepare derivative works, and distribute copies of the deliverables specified in the Scope of Work for government purposes, and to have or permit others to do so on its behalf.

 

15.        Amendment

 

The terms of this IMA may be amended in writing as mutually agreed by the contract managers or their delegates.

 

16.        Disputes

 

If for any reason a dispute arises during the performance of this IMA, and University and Agency contract managers cannot reach a mutual agreement, the dispute may be referred to the Executive Director or designated representative of each agency for final resolution.

 

The existence of a dispute not fully resolved shall not delay the performing agency continuing with the responsibilities under this IMA which are not affected by the dispute.

 

17.        Entire Agreement

 

The IMA and all Exhibits attached and incorporated herein constitutes the entire IAA between the parties and supersedes all prior or written agreements between the parties regarding the subject matter herein. This IMA may be modified only by a writing executed by authorized representative of each party.

 


EXHIBIT B

 

AN OVERVIEW OF THE WORKPLAN

 

The Student Forensic Research and Field Work Program (the Program), a cooperative effort between the Office of the State Public Defender (OSPD) and the University of California, will provide graduate students and post‑doctorate researchers (the Student) the opportunity to work on post‑conviction capital habeas corpus proceedings being litigated before the California Supreme Court. The Student will help develop claims related to the client's life history, or guilt and innocence issues, through field work in areas related to their course of study or research interests. The Program is designed to introduce the Student to forensic work in a variety of disciplines that play a role in capital litigation such as psychology, criminology, law, social welfare, social ecology, and medicine.

 

Direction and task supervision will be provided on an ongoing basis by the attorney responsible for the case to which the Student is assigned. A faculty advisor at the University (Principal Investigator) may review the Student's casework research and advise the Student to help coordinate the field work with the individual's course of study. Each Student will be assigned to a project or series of projects that can be completed within a period of a few months, related to one death row inmate's post‑conviction proceeding. Typically such projects involve between 120‑200 hours of fieldwork, research, consultation and drafting of findings.

 

The current authorization is intended to fund this program for two years, from June 2001 and through June 2003, in the amount of no less than $40,000. Additional funds may be available for the initial contract by way of amendment over the two year period, if it appears that student participation will warrant further expenditures.


UNIVERSITY OF CALIFORNIA CAMPUS CONTRACT AND GRANT OFFICES

6/2001

EXHIBIT C ‑INTERAGENCY MASTER AGREEMENT SPD‑00‑IA‑5002

 

Joyce Freedman, Director

Sponsored Projects Office

336 Sproul Hall, MS 5940

University of California

Berkeley, CA. 94720

Ahmad Hakim-Elahi, Director

Office of Vice Chancellor-Research

118 Everson Hall

University of California

Davis, CA. 95616-8671

Bruce Morgan, Director

Office of Contract & Grant Admin.

160 Administration Building

University of California

Irvine, CA. 92697-1875

 

 

Ann Pollack, Acting Director

Office of Contract & Grant Admin.

Wilshire Center, Suite 1200

Mail Code 140648

Los Angeles, CA. 90024

 

 

Hannah Petzenbaum, Director

Office of Research Affairs

200 University Office Bldg.

University of California

Riverside, CA. 92521

 

 

Linda Dale, Director

Office of Contract & Grant Admin.

0934, UC San Diego

10300 North Torrey Pines Rd.

La Jolla, CA. 92093-0934

 

 

Nancy Wilson, Manager

Contract and Grants

Scripps Institution of Oceanography

UC San Diego, 0210

La Jolla, CA. 92093-0210

 

 

John Klimek, Manager

Office of Research Affairs

3333 California Street, Suite 315

University of California

San Francisco, CA. 94143-0962

 

 

Sherylle Mills Englander, Director

Sponsored Projects

3227 Cheadle Hall

University of California

Santa Barbara, CA. 93106

 

 

Bill Clark, Manager

Contracts and Grants Office

1156 High Street

University of California

Santa Cruz, CA. 95064-1077

 

 

Carol Berman

Contracts and Grants Coordinator

Div. of Agriculture & Natur. Resources

University of California

Oakland, CA. 94607-5200

 

 

Elizabeth Capehart

Contract and Grant Officer

UC Merced

1160 West Olive Ave., Ste. E.

Merced, CA. 95348

 

 


TERMS OF INTERAGENCY MASTER AGREEMENT

 

EXHIBIT D

MOU No.

IMA No.

 

 

MEMORANDUM OF UNDERSTANDING

 

1. This Memorandum of Understanding (MOU) is entered into pursuant to the provisions of

Interagency Master Agreement (IMA) No.__, dated between the State Department of

                     ("Agency") and The Regents of the University of California,                 campus

("University"). This MOU implements, is made part of the IMA and incorporates the IMA

provisions applicable to MOUs.

 

2. University shall provide Agency with the following services:

[Describe Scope of Work here.]

 

3. University Project Manager is:

University campus Contract and Grant Officer is:

 

4. [Specify the effective date of the MOU, the period of performance and schedule for submission of reports if this is not provided under 2. Scope of Work. The period of performance must not extend beyond the termination date of the IMA.]

 

5. [Specify the amount to be paid under this MOU.]

 

6. [Incorporate the budget mutually agreed to in accordance with the major cost categories listed in DMA Article 10.]

 

7. This MOU may be terminated by either part upon thirty (30) days advance written notice.

 

8. Address of the University campus Accounting Office to which payment shall be sent is:

 

Agency Authorized Representative:                    University Campus Contract and Grant Officer:

 

Signature                                                          Signature

 

Name and title printed:                           Name and title printed:

 

Date:                                              Â                  Date:

 

 

 

 

 

 

INDIRECT COST RATES FOR THE PERIOD JULY 1, 2000 THROUGH JUNE 30, 2001

 

 

 

TERMS OF INTERAGENCY MASTER AGREEMENT

 

EXHIBIT F

 

TERMS OF INTERAGENCY MASTER AGREEMENT

 

 

 

EXHIBIT F

Campus Extramural Funds Accounting Offices

 

Contract and Grant Accounting

481 University Hall

University of California

Berkeley, CA. 94720

Accounting Office

1650 Spruce Street, 3rd fl.

University of California

Riverside, CA. 92521

 

 

Accounting Office

University Services Building

University of California

Davis, CA. 95616

 

 

Extramural Funds and Financial Systems

Box 0812, MCB 425

University of California

San Francisco, CA. 94143

 

 

Contract and Grant Accounting

Accounting Office

390 Berkeley Place

University of California

Irivine, CA. 92717-1050

 

 

Extramural Funds Accounting

Accounting and Financial Services

4219 Cheadle Hall, 4th fl.

University of California

Santa Barbara, CA. 93106-2040

 

 

Extramural Funds Management

911 Broxton Avenue

University of California

Los Angeles, CA. 90024-1400

 

 

Extramural Funds

364C Applied Science Building

University of California

Santa Cruz, CA. 95064

 

 

Office of Post Award Financial Services

Division of Business and Financial Services

Mail Code: 0954

University of California, San Diego

Torrey Pines Center N 0954

La Jolla, CA. 92093

 

 

 

05/01