Research Administration Office

University of California

Memo

Operating Guidance

No. 95-6

April 10, 1995

Subject: Delegations and Redelegations of Authority--Contract and Grant Administration

On March 10, 1995, President Peltason issued a new delegation of authority to the Vice President--Agriculture and Natural Resource, Chancellors, and Laboratory Directors which increased the level of execution authority with respect to contracts and grants from $2,000,000 to $5,000,000 in direct costs in any one project year and removed the seven-year time limit in accordance with amended Section 100.4(dd)(1) and (2) of the Standing Orders of The Regents. (Copy enclosed.)

When revised delegations of contract and grant authority are issued to the Vice President--ANR, Chancellors, and Laboratory Directors either to supersede or to augment prior delegations, they may wish to update their redelegations to Contract and Grant Officers and other officials consistent with the updated authority. Accordingly, you may now wish to request an updated delegation so that your contract and grant authority is current as well as consistent with the increased authority delegated under amended Standing Order 100.4(dd).

In the event that you are asked to assist in drafting revised redelegations of contract and grant authority, a model redelegation format is attached for your use. Please keep in mind that only the Vice President--ANR, Chancellors, and Laboratory Directors have authority to redelegate contract and grant authority in the respective Division, campus, or Laboratory. Copies of redelegations must be sent to the Senior Vice President--Business and Finance, the Special Assistant--Coordination & Review, the General Counsel and Vice President for Legal Affairs, and the Secretary of The Regents. Our office would also appreciate receiving a copy of your redelegation of contract and grant authority.

Refer:

Samuela A. Evans

(510) 987-9849

Samuela.Evans@ucop.edu

Subject Index: 13

Organization Index: U-115

Cancel: C&G Memo No. 88-7

David F. Mears

Director, Research Administration Office

Enclosures


MODEL FOR REDELEGATION OF CONTRACT AND GRANT AUTHORITY

TO: [Titles and Names of Officials Listed in Redelegation]

RE: Redelegation of Contract and Grant Authority

I hereby redelegate to you, in your various positions, the authority delegated to [Vice President--ANR/Chancellors/Laboratory Directors] by President Peltason on March 10, 1995 (copy attached) to solicit and accept or execute certain extramural contracts and grants, as defined below.

Exercise of this authority is subject to the restrictions, exceptions, and instructions outlined in the President's March 10, 1995 delegation, and to the additional limitations shown below:

                             TO APPROVE PROPOSALS WITH    TO ACCEPT OR EXECUTE GRANTS  
                             ANNUAL DIRECT COSTS NOT      OR CONTRACTS WITH ANNUAL     
REDELEGATION TO:             EXCEEDING:                   DIRECT 
COSTS NOT EXCEEDING   
(List by Title and Name)                                  :                            
________________________     $________________________    $________________________    
________________________     $________________________    $________________________    
________________________     $________________________    $________________________    
________________________     $________________________    $________________________    

EFFECTIVE DATE:

Supersedes: This redelegation supersedes all previous contract and grant redelegations.

References:

In carrying out this authority, you are to be guided by the provisions of Standing Order 100.4(dd), General Counsel's memo of March 27, 1974, and the University of California Contract and Grant Manual .

Redelegations: This authority may not be redelegated.

[VP--ANR/Chancellor/Lab Director]

Attachment

cc:

Senior Vice President--Business and Finance

Secretary of The Regents

General Counsel and Vice President for Legal Affairs

Special Assistant--Coordination & Review


UNIVERSITY OF CALIFORNIA

DA 2035

March 10, 1995

KENNETH R. FARRELL

VICE PRESIDENT-AGRICULTURE AND NATURAL RESOURCES

Delegation Of Authority--Contract and Grant Administration

The authority granted to the President in Section 100.4(dd) (1) and (2) of the Standing Orders of The Regents was amended on July 16, 1993 to increase the President's execution authority with respect to contracts or grants by removing the seven-year time limit and the dollar limit. The authority granted to the President in Standing Order 100.4(dd) is delegated to you as Vice President-Agriculture and Natural Resources, in your area of responsibility and to the extent described below, as it pertains to extramural grants and contracts for research, scholarly or professional training, or for public service programs relating either to research or to scholarly or professional training not exceeding $5,000,000 in direct costs in any one project year. For purposes of this delegation, the term grant includes grants from private sources, but excludes gifts as defined in the Guidelines for Review of Gifts/Grants for Research, issued by the President on July 8, 1980.

Within the scope of this delegation, you are authorized to solicit and accept or execute such grants and contracts, including the signing of related documents as necessary, except those grants, contracts, or related documents which contain provisions falling within the restrictions and limitations set forth in Standing Order 10 0.4(dd). Notwithstanding Standing Order 100.4(dd)(9), you may execute State of California Standard Agreements which include an indemnity clause under which the University assumes liability for the conduct of persons other than University personnel.

In addition, in your area of responsibility, you are authorized to act for the ' President in those instances when the President has authority granted by The Regents to solicit and accept or execute grants and contracts, including the signing of related documents as necessary, except when those grants, contracts, or related documents include an arrangement for indirect costs which changes the rates or bases thereof as promulgated by the President.

A critical factor in processing contracts and grants is the review for legal sufficiency. Responsibility for accomplishing that review must be specified as a part of any redelegation of this authority. Attached is a copy of a pertinent Office of General Counsel memorandum dated March 27, 1974 which provides guidance on this particular point. Whenever there is any question as to whether a particular grant or contract requires legal review, General Counsel's advice shall be obtained.

This delegation is effective immediately and supersedes the March 29, 1988 delegation of authority (I)A 0959) to the Vice President-Agriculture and Natural Resources on contract and grant administration. Any redelegation shall be in writing with copies to the Senior Vice President-Business and Finance, the Special Assistant-Coordination & Review, the General Counsel and Vice President for Legal Affairs, and the Secretary of The Regents.

J. W. Peltason

Attachment [not scanned]

cc:

Chancellors

Laboratory Directors

Members, President's Cabinet

Associate Vice President-Business and Finance

Special Assistant-Coordination & Review

Principal Officers of The Regents


UNIVERSITY OF CALIFORNIA

DA 2039

March 10, 1995

SIEGFRIED S. HECKFR, DIRECTOR

LOS ALAMOS NATIONAL SCIENTIFIC LABORATORY

Delegation of Authority-To Solicit and Accept or Execute Certain Extramural Grants and Contracts

The authority granted to the President in Section 10 0.4(dd) (1) and (2) of the Standing Orders of The Regents was amended on July 16, 1993 to increase the President's execution authority with respect to contracts or grants by removing the seven-year time limit and the dollar limit. The authority granted to the President in Standing Order 100.4(dd) is delegated to you to the extent described below, as it pertains to extramural grants and contracts for research, scholarly or professional training, or for public service programs relating either to research or to scholarly or professional training not exceeding $5,000,000 in direct costs in any one project year, solicited or received from sponsors other than the Department of Energy or any successor agency to it, by which each sponsor is willing to have the work performed consistent with the terms of Contract No. W-7405-ENG-36. For purposes of this delegation, the term grant includes grants from private sources, but excludes gifts as defined in the Guidelines for Review of Gifts/Grants for Research issued by the President on July 8, 1980.

Within the scope of this delegation, you are authorized to solicit and accept or execute such grants and contracts, including the signing of related documents as necessary, except those grants, contracts, or related documents solicited or accepted on behalf of The Regents of the University of California which:

a. contain provisions falling within the restrictions and limitations set forth in Standing Order 100.4(dd); however, notwithstanding Standing Order 100.4(dd)(9), you may execute State of California Standard Agreements which include an indemnity clause under which the University assumes liability for the conduct of persons other than University personnel; or

b. include an arrangement for indirect costs which changes the rates or the bases thereof as promulgated by the Office of the President; or

c. require approval by the President or designee pursuant to specific policy memoranda issued from time to time.

Laboratory procedures for preparation of proposals for extramural support and acceptance of grants or execution of contracts shall be in accordance with the University of California Contract and Grant Manual and with supplementary instructions as may be issued by the Office of the President.

A critical factor in processing contracts and grants is the review for legal sufficiency. Responsibility for accomplishing that review must be assigned specifically as a part of any redelegation by you. Attached is a copy of a pertinent Office of General Counsel memo.-randurn dated March 27, 1974 which provides guidance on this particular point. Whenever there is any question as to whether a particular grant or contract requires legal review, General Counsel's advice shall be obtained.

This delegation is effective immediately and supersedes the October 6, 1988 delegation of authority to the Director, Los Alamos National Scientific Laboratory (DA 0977), delegating authority to solicit, accept, or execute certain extramural grants and contracts. This authority may be redelegated to specific designees, but may not be further redelegated. Any redelegation shall be in writing with copies to the Senior Vice President-Business and Finance, the Special Assistant-Coordination & Review, the General Counsel and Vice President for Legal Affairs, and the Secretary of The Regents.

J. W. Peltason

Attachment [not scanned]

cc:

Chancellors

Members, President's Cabinet

Associate Vice President-Business and Finance

Special Assistant-Coordination & Review

Acting Special Assistant-Laboratory Administration

Principal Officers of The Regents


UNIVERSITY OF CALIFORNIA

DA 2037

March 10, 1995

C. BRUCE TARTER, DIRECTOR

LAWRENCE LIVERMORE NATIONAL LABORATORY

Delegation of Authority-To Solicit and Accent or Execute Certain Extramural Grants and Contracts

The authority granted to the President in Section 100.4(dd) (1) and (2) of the Standing Orders of The Regents was amended on July 15, 1993 to increase the President's execution authority with respect to contracts or grants by removing the seven-year time limit and the dollar limit. The authority granted to the President in Standing Order 100.4(dd) is delegated to you to the extent described below, as it pertains to extramural grants and contracts for research, scholarly or professional training, or for public service programs relating either to research or to scholarly or professional training not exceeding $5,000,000 in direct costs in any one project year, solicited or received from sponsors other than the Department of Energy or any successor agency to it, by which each sponsor is willing to have the work performed consistent with the terms of Contract No. W-7405-ENG-48. For purposes of this delegation, the term grant includes grants from private sources, but excludes gifts as defined in the Guidelines for Review of Gifts/Grants for Research issued by the President on July 8, 1980.

Within the scope of this delegation, you are authorized to solicit and accept or execute such grants and contracts, including the signing of related documents as necessary, except those grants, contracts, or related documents solicited or accepted on behalf of The Regents of the University of California which:

a. contain provisions falling within the restrictions and limitations set forth in Standing Order 100.4(dd); however, notwithstanding Standing Order 100.4(rid) (9), you may execute State of California Standard Agreements which include an indemnity clause under which the University assumes liability for the conduct of persons other than University personnel; or

b. include an arrangement for indirect costs which changes the rates or the bases thereof as promulgated by the Office of the President; or

c. require approval by the President or designee pursuant to specific policy memoranda issued from time to time.

Laboratory procedures for preparation of proposals for extramural support and acceptance of grants or execution of contracts shall be in accordance with the University of California Contract and Grant Manual and with supplementary instructions as may be issued by the Office of the President.

A critical factor in processing contracts and grants is the review for legal sufficiency. Responsibility for accomplishing that review must be assigned specifically as a part of any redelegation by you. Attached is a copy of a pertinent Office of General Counsel memorandum dated March 27, 1974 which provides guidance on this particular point. Whenever there is any question as to whether a particular grant or contract requires legal review, General Counsel's advice shall be obtained.

This delegation is effective immediately and supersedes the October 6, 1988 delegation of authority to the Director, Lawrence Livermore National Laboratory (DA 0975) delegating authority to solicit, accept, or execute certain extramural grants and contracts. This authority may be redelegated to specific designees, but may not be further redelegated. Any redelegation shall be in writing with copies to the Senior Vice President-Business and Finance, the Special Assistant-Coordination & Review, the General Counsel and Vice President for Legal Affairs, and the Secretary of The Regents.

J. W. Peltason

Attachment [not scanned]

cc:

Chancellors

Members, President's Cabinet

Associate Vice President-Business and Finance

Special Assistant-Coordination & Review

Acting Special Assistant--Laboratory Administration

Principal Officers of The Regents


UNIVERSITY OF CALIFORNIA

DA2038

March 10, 1995

CHARLES V. SHANK, DIRECTOR

LAWRENCE BERKELEY LABORATORY

Delegation of Authority--To Solicit and Accept or Execute Certain Extramural Grants and Contracts

The authority granted to the President in Section 100.4(dd) (1) and (2) of the Standing Orders of The Regents was amended on July 16, 1993 to increase the President's execution authority with respect to contracts or grants by removing the seven-year time limit and the dollar limit. The authority granted to the President in Standing Order 100.4(rid) is delegated to you to the extent described below, as it pertains to extramural grants and contracts for research, scholarly or professional training, or for public service programs relating either to research or to scholarly or professional training not exceeding $5,000,000 in direct costs in any one project year, solicited or received from sponsors other than the Department of Energy or any successor agency to it, by which each sponsor is willing to have the work performed consistent with the terms of Contract No. DE-AC03-76SF00098. For purposes of this delegation, the term grant includes grants from private sources, but excludes gifts as defined in the Guidelines for Review of Gifts/Grants for Research issued by the President on July 8, 1980.

Within the scope of this delegation, you are authorized to solicit and accept or execute such grants and contracts, including the signing of related documents as necessary, except those grants, contracts, or related documents solicited or accepted on behalf of The Regents of the University of California which:

a. contain provisions falling within the restrictions and limitations set forth in Standing Order 100.4(rid); however, notwithstanding Standing Order 100.4(dd) (9), you may execute State of California Standard Agreements which include an indemnity clause under which the University assumes Iiability for the conduct of persons other than University personnel; or

b. include an arrangement for indirect costs which changes the rates or the bases thereof as promulgated by the Office of the President; or

c. require approval by the President or designee pursuant to specific policy memoranda issued from time to time.

Laboratory procedures for preparation of proposals for extramural support and acceptance of grants or execution of contracts shall be in accordance with the University of California Contract and Grant Manual and with supplementary instructions as may be issued by the Office of the President.

A critical factor in processing contracts and grants is the review for legal sufficiency. Responsibility for accomplishing that review must be assigned specifically as a pan of any redelegation by you. Attached is a copy of a pertinent Office of General Counsel memorandum dated March 27, 1974, which provides guidance on this particular point. Whenever there is any question as to whether a particular grant or contract requires legal review, General Counsel's advice shall be obtained.

This delegation is effective immediately and supersedes the October 6, 1988 delegation of authority to the Director, Lawrence Berkeley Laboratory (DA 0976) delegating authority to solicit, accept, or execute certain extramural grants and contracts. This authority may be redelegated to specific designees, but may not be further redelegated. Any redelegation shall be in writing with copies to the Senior Vice President--Business and Finance, the Special Assistant--Coordination & Review, the General Counsel and Vice President for Legal Affairs, and the Secretary of The Regents.

J. W. Peltason

Attachment [not scanned]

cc:

Chancellors

Members, President's Cabinet

Associate Vice President--Business and Finance

Special Assistant-Coordination & Review

Acting Special Assistant--Laboratory Administration

Principal Officers of The Regents


UNIVERSITY OF CALIFORNIA

DA 2036

CHANCELLORS

Delegation of Authority-To Solicit and Accept or Execute Certain Extramural Grants and Contracts

The authority granted to the President in Section 100.4(dd) (1) and (2) of the Standing Orders of The Regents was amended on July 16, 1993 to increase the President's execution authority with respect to contracts or grants by removing the seven-year time limit and the dollar limit. The authority granted to the President in Standing Order 100.4(dr) is delegated to you to the extent described below, as it pertains to extramural grants and contracts for research, scholarly or professional training, or for public service programs relating either to research or to scholarly or professional training not exceeding $5,000,000 in direct costs in any one project year. For purposes of this delegation, the term grant includes grants from private sources, but excludes gifts as defined in the Guidelines for Review of Gifts/Grants for Research issued by the President on July 8, 1980.

Within the scope of this delegation, you are authorized to solicit and accept or execute such grants and contracts, including the signing of related documents as necessary, except those grants, contracts, or related documents which:

a. contain provisions falling within the restrictions and limitations set forth in Standing Order 100.4(rd); however, notwithstanding Standing Order 100.4(dr)(9), you may execute State of California Standard Agreements which include an indemnity clause under which the University assumes liability for the conduct of persons other than University personnel;

b. include an arrangement for indirect costs which changes the rates or the bases thereof as promulgated by the President;

c. will result in the acquisition of computer hardware, software, or systems engineering support requiring prior approval in accordance with Business and Finance Bulletin IS-8, Guidelines for Campus and Office of the President Acquisitions Involving Computing;

d. establish or modify programs within the Education Abroad Program; or

e. require approval by the President or designee pursuant to specific policy memoranda issued from time to time.

Campus procedures for preparation of proposals for extramural support and acceptance of grants or execution of contracts shall be in accordance with the University of California Contract and Grant Manual and with supplementary instructions as may be issued by the Office of the President.

A critical factor in processing contracts and grants is the review for legal sufficiency. Responsibility for accomplishing that review must be assigned specifically as a pan of any redelegation by you. Attached is a copy of a pertinent Office of General Counsel memorandum dated March 27, 1974 which provides guidance on this particular point. Whenever there is any question as to whether a particular grant or contract requires legal review, General Counsel's advice shall be obtained.

This delegation is effective immediately and supersedes the March 29, 1988 delegation of authority (DA 0957) to Chancellors delegating authority to solicit, accept, or execute certain extramural grants and contracts. This authority may be redelegated to specific designees, but may not be further redelegated. Any redelegation shall be in writing with copies to the Senior Vice President-Business and Finance, the Special Assistant-Coordination & Review, the General Counsel and Vice President for Legal Affairs, and the Secretary of The Regents

J. W. Peltason

Attachment [not scanned]

cc:

Laboratory Directors

Members, President's Cabinet

Associate Vice President-Business and Finance

Special Assistant-Coordination & Review

Principal Officers of The Regents


UNIVERSITY OF CALIFORNIA

DA 2041

March 10, 1995

Barbara F. Perry

Director-Federal Governmental Relations

University of California

1523 New Hampshire Avenue N.W.

Washington D.C. 20036

Delegation of Authority-To Solicit and Accept or Execute Certain Extramural Grants and Contracts

The authority granted to the President in Section 100.4(dd) (1) and (2) of the Standing Orders of The Regents was amended on July !6, 1993 to increase the President's execution authority with respect to contracts or grants by removing the seven-year time limit and the dollar limit. Authority is delegated to you as Director--Federal Governmental Relations to accept or to execute certain extramural grants and contracts, including the signing of related documents as necessary, pursuant to the authority granted to the President in Standing Order 100.4(dd) not exceeding $5,000,000 in direct costs in any one project year, except (a) those grants, contracts, or related documents containing provisions within the restrictions and limitations set forth in said Standing Order, and (b) those grants, contracts, or related documents containing provisions at variance with the University of California Contract and Grant Manual. For purposes of this delegation, the term grant includes grants from private sources, but excludes gifts as defined in the Guidelines for Review of Gifts/Grants for Research issued by the President on July 8, 1980.

This authority is effective September 1 through 30, 1995 and for the same period annually thereafter as long as you are assigned your current responsibilities. This authority is to be exercised only in response to a specific request made by a Chancellor, a Laboratory Director, the Senior Vice President--Business and Finance, the Vice President--Agriculture and Natural Resources, or their authorized representative. The authority may not be redelegated.

This delegation supersedes the March 29, 1988 delegation of authority (DA 0960) to the Director--Federal Governmental Relations on this same subject.

cc:

Chancellors

Laboratory Directors

Members, President's Cabinet

Associate Vice President--Business and Finance

Special Assistant-Coordination & Review

Principal Officers of The Regents