University of California Office of the President
Senior Vice President—Business and Finance
Research Administration Office
Memo
Operating Guidance
No. 98-01
May 6, 1998
CONTRACT AND GRANT OFFICERS
Subject: Interagency Master Agreement No. 97-0365, Department of Food and Agriculture, Fertilizer Research and Education Program (FREP)
CANCELLED
This memo transmits a copy of the subject IMA effective January 1, 1998 through January 1, 2001.
Requests for services under the terms of this IMA are to be implemented by mutually acceptable Memoranda of Understanding (MOUs) which are handled by individual campus Contract and Grant Offices.
Refer: Lourdes G. DeMattos
(510) 987-9850
Subject Index: 02, 22
Organization Index: S-105
Samuela A. Evans
Contract and Grant Officer
Note: The addressees above represent the standard distribution of Contract and Grant Memos.
STD. 13 (REV. 9-89)
THIS AGREEMENT, made and entered into this 5th day of December 1997 by and between the undersigned State Agencies:
Set forth services materials or equipment to be 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 8572 8572.1 SAM.)
Upon completion of the following in a satisfactory manner, the Department of Food and Agriculture agrees to pay to performing agency an amount equal to the latter’s cost of performance hereunder computed in accordance with Section 8752 and 8752.1 of the State Administrative Manual. Nothing herein contained shall preclude advance payments pursuant to Article 1, Chapter 3, Part 1, Division 3, Title 2, of the Government Code.
This Interagency Master Agreement (IMA) is between the California Department of Food and Agriculture, Fertilizer Research and Education Program (FREP, Agency) and the Regents of the University of California (University).
1. Purpose
University shall perform the scope of work set forth in Exhibit A, entitled "An Overview of the Work Plan"
attached hereto and incorporated here in (Work).
2. Non Exclusivity
This IMA is non-exclusive. Agency may seek educational, consulting and/or research services from any and all parties and sources, and University may provide such services to any and all other parties. "Parties" shall include all individual, entities, and organizations, whether public or private.
3. Funds Obligated
The maximum amount payable by Agency to University for performance of scope of work shall not exceed $650,000.00 including all applicable taxes. 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 cost of performance hereunder and approved by the Agency in individual MOU budgets in accordance with Section 8752 of the State Administrative Manual. Nothing herein shall preclude advance payment pursuant to Government Code Section 11257. Agency is responsible for not issuing
MOU’s which exceed the funds available in this IMA.
For the purpose of this 1MA with University, the direct costs allowable for payment shall be in the amounts identified in individual MOU budgets. The University grants the Agency, upon reasonable prior notice and identification of materials to be examined, permission to examine the University records pertinent to direct costs payable under an MOU solely for the purpose of determining that costs are consistent with those identified in this Agreement.
4. Term of Master Agreement
The term of this Master Agreement shall extend from January 1, 1998 through January 1, 2001, subject to:
A. The provisions of Funds Obligated.
B. The provisions of funding or funding reduction in subsequent fiscal years described in this
Article below; and
C. The Agency’s right to termination under Article 5 - Termination.
No legal liability on the part of the Agency for any payment may arise for performance under this IMA beyond January 1, 2001 until funds are made available to Agency for performance and until University receives notice of availability, to be confirmed in wafting by the Agency Contract Officer.
If funds for any subsequent fiscal year after FY 97t98 is reduced or deleted by the Iegislature for purposes of the Budget Act, Agency shall offer a contract amendment. It is mutually understood by both parties that Agency reserves the right to determine which MOU’s, 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 MOU’s shall be reduced and for which fiscal year.
Agency reserves the right to elect to reduce some MOU’s by a greater amount than other MOU’s under
the Budget Act. 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 that are adequate funds to continue the IMA. If there are insufficient funds, or the funds are deleted, the Contract Manager must then follow the procedure described above and elect to cancel or prepare an amendment to reduce funds.
For all MOU’s of multiple year duration, work of the subsequent year(s) may not begin until
acceptance by FREP of the annual report. Acceptance is defined to be satisfactory completion of the work plan and reports described in Article 16.
5. Termination
This IMA may be terminated by either party upon sixty (60) days advance written notice. In the event of such termination, University shall be reimbursed for all reasonable costs and noncancellable obligations properly incurred prior to date of termination. University shall retum to Agency all unexpended advance payments.		.
6. Master Agreement Contract and Program Managers
For Agency:
Contract Manager Joanna Danquah
Agricultural Commodities and Regulatory Services
Program Manager Casey Walsh-Cady
Fertilizer Research and Education Program
Agency Contract Officer Alice L. Wright
Contracts Office
For University: Contract Manager David F. Mears
Director, Research Administration Office
The Agency and the University mutually agree that the individuals identified in this Article may be replaced during the life of tbis Agreement through written notification of such change and is not cause to amend this Agreement.
7. Amendment
The terms of this IMA may be amended in writing as mutually agreed by the Contract Managers or the delegatees. Interpretations of and communications about this IMA shall be referred to the Contract Managers.
8. 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 Exhibit B, 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 Exhibit C, entitled "Memorandum of Understanding", which is specifically incorporated herein and made a part hereof by this reference. Individual MOUs shall be subject to applicable Public Contract Codes.
9. Provisions Applicable to MOUs
A. Subcontracts
University shall submit for prior written approval by Agency any proposed subcontract(s) 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. Subcontracts which the Agency approves in the proposed MOU budget at the time the MOU is consummated do not require further Agency approval.
B. Publication
1. University shall own all rights, title, and interest, including copyright and copyright rights, in and to any deliverable made by University to Agency hereunder as well as any other material, in whatever form, compiled or used by University in its performance of work hereunder. Agency shall have a non-exclusive, royalty-free right to use, reproduce, and distribute said deliverable(s) for Agency purposes.
2. After any deliverables have been submitted to Agency, the University may at its own expense or at the expense of the project director or other persons, publish or otherwise utilize reports submitted under terms of this IMA.
3. Agency staff will be given on-site access during reasonable business hours to all data, working papers, facilities, etc., which may be utilized in the performance of an MOU.
4. In any publication that results from Work supported in full or in part under this IMA, the authors shall provide full acknowledgment of the funding source and shall insert and publish the following disclaimer:
"Mention of trade name, proprietary product or specific equipment does not constitute a guaranty or warranty by the California Department of Food and Agriculture, nor does it imply approval to the exclusion of other products that may be suitable. The opinions expressed herein represent those of the authors and do not necessarily represent the position of the State of California, Department of Food and Agriculture."
C. Charges
The Agency agrees to pay University the charges for services provided to Agency pursuant to this agreement as agreed to in this IMA and as approved by Agency in the MOU budget. The MOUs shall have a description of the standard 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, fringe benefits rates approved by The Regents of the University of California Budges 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 policy which adopts the rates defined by the State Board of Control for State 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 twenty percent (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. It is understood that University will notify Agency when such budget changes are made and that rebudgeting shall not exceed the total allowable costs as specified in the individual MOU. 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 requires an amendment to the MOU.
2. Overhead Costs - University has granted Agency’s Fertilizer Research and Education Program an overhead exemption.
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:
A. Upon execution of a MOU under this 1MA, Agency may negotiate or decline advance payment as mutually agreed on an MOU case by case basis. University campus will 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. At six (6) months after the start date of the MOU when the interim report is due to Agency, Agency shall pay University campus fifty percent (50%) of the annual MOU budget, less a ten percent (10 %) progress payment withholding as identified in Section B, following. ‘At twelve (12) months after the start date when an annual or final report is due to Agency, Agency shall pay University campus twenty-five percent (25 %) of the annual MOU budget. Within sixty (60) days of the end of each quarter University campus will submit to Agency ‘a statement of actual expenditures by major costs categories incurred during the preceding quarter and cumulatively. 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. 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 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.
B. If no advance payment is requested, Agency will provide fifty percent (50 %) of the annual MOU budget at six (6) months after the start date of the MOU when the interim report is " due to Agency. At twelve (12) months after the start date when an annual or final report is due to Agency, Agency shall pay University campus the remaining fifty percent (50 %) of the annual MOU budget.
Agency shall determine what the University campus has earned on the basis of the MOU’s terms. Agency may retain from final invoice an amount at least equal to ten percent (10 %) thereof, pending satisfactory completion of the entire contract (Public Contract Code 10379).
11. Invoices
Invoice shall reference this IMA number and the applicable MOU number, and the University campus Accounting Office address to which payment shall be sent, and include direct expenses consistent with the elements in the budget approved by the Agency.
University campus shall submit invoices to: Joanna Danquah, Contract Manager
CA Department of Food and Agriculture
1220 N Street, Suite A472
Sacramento, CA 95814
Agency agrees to make payment on all invoices, upon acceptance of report, to The Regents of the University of California in accordance with the State Prompt Payment Act 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 Exhibit D, incorporated herein and made a part hereof by this reference.
12. Property
Equipment charged as a direct cost of an MOU shall be the property of the Agency. Upon purchase of equipment, University will report the purchased equipment to Agency. Upon termination of this Agreement, the Agency may:
A. Request that such equipment be returned to the Agency with costs incurred by the University for such return being reimbursed by the Agency.
B. Authorize the continued use of such equipment for work to be performed under a different Agreement.
The Agency may at its option, repair any damage or replace any lost or stole items and deduct the cost thereof from the University’s invoice to the Agency or require the University to repair or replace any damaged, lost, or stolen equipment to the satisfaction of the Agency, with no expense to the Agency. In the event of theft, a police report must be filed immediately in accordance with State Administrative Manual Section 2625.
The University shall maintain an inventory record for each piece of nonexpendable equipment purchased or built with funds provided under the terms of this Agreement. The inventory record of each piece of such equipment shall include the date acquired, total cost, serial number, and model identification (on purchased equipment) and any other information or description necessary to identify said equipment. The inventory records shall also include the location or section to which each said piece of equipment is assigned. Nonexpendable equipment is inventoried shall be those items of equipment which have a normal life expectancy of four years or more, and an approximate unit price of $500 or more. In addition, theft-sensitive items of equipment costing less than $500 shall be inventoried. A copy of the inventory record shall be submitted to the Agency upon request by the Agency, and said inventory not be submitted more frequently than annually.
13. Audit
It is hereby mutually agreed that University shall be subject to the examination and audit of the Auditor General for a period of three (3) years after the final payment under this IMA (Government Code Section 8546.7). The examination and audit shall be confined to those matters connected with the performance of this IMA including, but not limited to, the cost of administering the IMA.
14. Outreach
A. All FREP projects are required to include an outreach component to maintain good standing. Research type projects need to complete at least three outreach activities per year to fulfill this requirement. If the outreach activities cannot be detailed at the time of MOU preparation, the Project Leader will notify FREP staff of planned outreach activities at the earliest possible time during the MOU period or at least 45 days prior to a planned activity. The Project Leader will consult with PREP staff in advance to verify that planned outreach activities can be credited towards fulfilling the outreach component.
B. The following actives will be counted towards fulfilling the outreach component of an MOU:
1. Special grower meeting where the project leader or cooperator has a significant planning role and participation.
2. Presentations designed specifically for Pest Control Advisors and/or Certified Crop Advisors (PCA), fieldmen, or agricultural production consulting personnel.
3. Articles in trade publications and popular agricultural media
4. Other outreach activities as approved by FREP staff.
C. The following activities/products will not be counted towards fulfilling the outreach component of an MOU:
1. Articles in peer reviewed journals.
2. Presentations to academic audiences.
3. Presentations required by other funding agencies.
4. Routine presentations at farm advisor sponsored meetings (except when project leader is a farm advisor).
D. Project Leader(s), cooperators or designee may be required to conduct grower field days, participate in the annual FREP conference, or other outreach activities at the request of the
Fertilizer Research and Education Program staff. If such an activity is carried out, it will be credited towards fulfilling the outreach requirements of this contract.
E. Outreach activities referred to in Article 14 Section B may not apply to all FREP projects.
FREP reserves the right to waive these conditions.
G. Project Leader will provide documentation of the outreach activities according to the
guidelines provided in Article 16, Section E, Item 7.
H. Project Leader or designee will carry out evaluations of selected outreach activities to determine their effectiveness. It is the responsibility of the Project Leader to submit a written evaluation plan; to FREP and obtain approval of the evaluation methods to be used for outreach activities 30 days before the outreach activity is scheduled to take place.
15. Progress Reports
For projects that are primarily research-oriented, the Project Leader will assess the progress and success of the project including cost/benefit analysis of adoption of new technologies, as well as barriers to adoption, where applicable. For applicable education projects or components of a project, see Article 14. Reporting requirements are described in Article 16.
16. Reporting
Project reports will provide a basis for evaluating project progress. Project Leaders shall provide written communication to FREP staff to report project progress, difficulties, plans for the next work period, and obtain approval for changes from the agreed workplan. All reimbursement will be contingent upon acceptance of reports and invoices. If the Project Leader is unable to submit a report by the time stipulated in the contract, he/she shall notify FREP staff in writing before the due date. There are four types of reports:
A. Written Interim Reports
The report should not exceed three pages (not including charts and tables). These reports are due at the time specified in the MOU. They should provide a brief narrative regarding project activities and completed tasks (using the task and subtask numbers as they appear in the MOU workplan) and include the Principal Investigator’s name, project title, CDFA IMA number and MOU number, address and telephone number as well as specifying the period covered by the interim report.
B. Oral Progress Reports
Project Leader(s) or designee may be occasionally asked to make oral progress reports (in addition to the written reports specified in this IMA) at the request of the FREP staff.
C. Written Interpretive Summary
The interpretive summary will be used for outreach purposes and included in the annual FREP conference proceedings. It should not exceed three pages (exclusive of tables and graphs) and written for a lay audience. It should include the following sections:
1. Principal Investigator’s name, cooperator’s names, project title, affiliations, address and telephone number.
2. Project objectives.
3. Summary results and conclusions without emphasizing procedures. (Journal of Production Agriculture Research Applications Summaries format will also be acceptable, if relevant.) A 3.5" disk and hard copy of the interpretive summary is due at the time requested by FREP staff.
D. Annual or Final Reports
Annual reports are also final reports for one year projects. Annual reports are due at the end of each contract period (usually one year). For multi-year projects the annual report and a revised workplan will be used to determine if funding will be offered for the next year. Ten (10) copies of the report as well as a revised workplan (if applicable) and each product resulting from this project and a 3.5" disk are required. The following information should be include in all annual final reports (the following Items 1, 2 and 3 combined should not exceed two pages):
1. Project title, CDFA, IMA number and MOU number, Project Leader(s) and cooperator names, affiliation, address and telephone number.
2. Statement of Objective - Briefly specify the problem being addressed by the project.
The project objective(s) should be restated and consistent with the objective(s) of the
original proposal.
3. Executive Summary - Briefly describe and snrnman7P the project tasks, milestone and products delivered.
4. Work Description - Work description should be identified by task and subtask numbers as they appear in the MOU and include a descriptive title.
5. Results, Discussion and Conclusions - A summary of project activities, methods and materials under the MOU in sufficient detail to provide a good understanding of how each task was conducted including graphs or tables as needed.
6. Project Evaluation - (The following, when applicable, will be included in this section)
Cost/Benefit analysis of adoption of the new technology, barriers to adoption, and evaluation of the effectiveness of selected outreach/information dissemination activities (refer to Article 14).
7. Outreach activities summary including the following information: Date, place and name of event, presentation title, number of participants, audience and supporting documentation (i.e., flyers, program, etc.). For example:
"5/12/93 ‘Nitrogen Management in Drip Irrigated Coconuts’, 16th Annual Coconut
Field Day, Malumba, CA; 125 participants, Growers, PCA’s, fertilizer dealers, etc."
17. Disputes
Any dispute concerning a question of fact arising under the terms of this Agreement which is not disposed of within a reasonable period of time (generally not to exceed ten working days) by the Contractor and the State employees normally responsible for the administration of this Agreement shall be brought to the attention of the Chief Executive Officer or designated representative of each organization for joint resolution.
18. Contractor Evaluation
In accordance with the Public Contract Code, Section 10367, University’s performance will be evaluated and the appropriate State forms will be completed. Agency’s Contract Manager, upon MOU completion, will complete and forward within fifteen (15) days the Contract/Contractor Evaluation Form (Std. 4), if the MOU is over $5,000 to the Agency’s Contracts Office. If there is a negative evaluation, University will be sent a copy of the Std. 4 for response. The remaining copies of the Std. 4 will be forwarded to Agency’s Contracts Office. The Agency’s Contracts Office will forward the Std. 4 within thirty (30) days to the CA Department of General Services. These documents are not a public record.
19. Contractor Evaluation Criteria
The following guidelines shall be applied when evaluating the University’s performance:
1. Did the contractor achieve all goals, objectives, service demands and required deliverables?
2. Did the contractor submit timely invoices and progress reports?
3 . Did the contractor experience any unanticipated complications and delays without
interrupting the delivery of services? An ff so, how were these handled?
4. Did the contractor successfully complete the agreement within the contracted budget?
20. Professional Work
All work to be performed shall be in accordance with all acceptable industry standards.
21. Personal Services
This Agreement has complied with the standards set forth in Government Code Section 19130 (b) and Public Contract Code Section 10337.
Agreement No. 97-0365
EXHIBIT A
AN OVERVIEW OF THE WORK PLAN
University shall provide Agency research, demonstration and education projects to advance the environmentally safe and agronomically sound use and handling of fertilizer materials in accordance with individual Memoranda of Understanding issued under this Agreement.
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Joyce Freedman, Director Sponsored Projects Office 336 Sproul Hall University of California Berkeley, CA 94720 Phone: (510) 642-8110 FAX: (510) 642-8236 |
Ahmad Hakim-Elahi Office of Vice Chancellor - Research 410 Mrak Hall University of California Davis, CA 95616 Phone: (916) 752-7630 FAX: (916) 752-8671 |
Christina Hansen, Director Office of Contract & Grant Admin. 115 Administration Building University of California Irvine, CA 92717 Phone: (714) 856-5677 FAX: (714) 725-2094 |
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Dan Hutchinson, Director Office of Research Administration 1400 Ueberroth Building University of California Los Angeles, CA 90024 Phone: (310) 825-1431 FAX: (310) 206-4996 |
Hannah Petzenbaum, Director Office of Research Affairs 1126 Library South University of California Riverside, CA 92521 Phone: (909) 787-5535 FAX: (909) 787-4483 |
Linda Dale, Director Office of Contract & Grant Admin. 0934, UC San Diego 9500 Gilman Drive La Jolla, CA 92093-0934 Phone: (619) 534-3333 FAX: (619) 534-0280 |
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Nancy Wilson, Manager Contracts and Grants Scripps Institution of Oceanography UC San Diego, 0210 La Jolla, CA 92093-0210 Phone: (619) 534-4570 FAX: (619) 534-5306 |
John Klimek, Manager Office of Research Affairs 3333 California Street, Suite 11 University of California San Francisco, CA 94143-0962 Phone: (415) 476-2977 FAX: (415) 476-8158 |
Pamela Webb, Manager Sponsored Projects 3227 Cheadle Hall University of California Santa Barbara, CA 93106 Phone: (805) 893-4036 FAX: (805) 893-2611 |
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Bill Clark, Manager Contracts and Grants Office 399C Applied Sciences Building University of California Santa Cruz, CA 95064 Phone: (408) 459-2778 FAX: (408) 459-4989 |
Carol Berman Contracts and Grants Coordinator ANR, Office of the President 1111 Franklin St., 6th fl. Oakland, CA 94607-5200 Phone: (510) 987-0050 FAX: (510) 763-6436 |
Amy Sahota Contract and Grant Officer Box 1663, MS P292 Los Alamos National Laboratory Los Alamos, NM 87545 Phone: (505) 667-4107 FAX: (505) 665-5061 |
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Jim Lopez, Finance Manager P.O. Box 808, L-435 Lawrence Livermore National Lab. Livermore, CA 94550 Phone: (510) 422-9136 FAX: (510) 423-7435 |
Jeff Weiner, Manager Sponsored Projects Office One Cyclotron Rd., MS 90-1070 Lawrence Berkeley Laboratory Berkeley, CA 94720 Phone: (510) 486-7143 FAX: (510) 486-4386 |
David F. Mears, Director RAO, Office of the President University of California 1111 Franklin St., 5th fl. Oakland, CA 94607-5200 Phone: (510) 987-9838 FAX: (510) 835-3705
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Marguerite McIntyre, Director Legal Support Services University of California, San Francisco 1000 Medical Way P.O. Box 1016 San Francisco, CA. 94143-1016 Phone: (415) 476-0833 FAX: (415) 476-9926
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UC LAB AND CAMPUS CONTRACTS AND GRANTS OFFICES (5/98)
Exhibit C.
IMA No. 97-0365
MEMORANDUM OF UNDERSTANDING
1. This Memorandum of Understanding (MOW) is entered into pursuant to the provisions of
Interagency Master Agreement (1MA) No	97-0365, dated December 5, 1997 between the
California Department of Food and Agriculture, Fertilizer Research and Education Program (FREP, 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 Leader 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 MOW.)
6. Incorporate the budget mutually agreed to in accordance with the major cost categories listed in IMA Article 9, Section C.)
7. This MOU may be terminated by either party 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 & Grant Officer
Printed Name and Title
Printed Name and Title
Date
Date