University of California
Office of the President

Senior Vice President—Business and Finance
Research Administration Office

Memo
Operating Guidance

No. 98-10
December 7, 1998


CONTRACT AND GRANT OFFICERS

Subject: California Environmental Protection Agency - Interagency Master Agreement No. 98-004 and Amendment
No. 1


This memo transmits a copy of the subject Interagency Master Agreement (IMA) and Amendment No. 1 effective July 1, 1998 through June 30, 1999.

Requests for services under the terms of this IMA are to be implemented by mutually acceptable Task Orders which are handled by individual campus Contract and Grant Offices. Please note that Task Orders can be fixed price at $1,000 each including an indirect cost rate of 10% MTDC.


Refer:
Samuela A. Evans
(510) 987-9849
Samuela.Evans@ucop.edu


David F. Mears
Director, Research Administration

Subject Index: 02, 22
Organization Index: S-097

State of California

INTERAGENCY AGREEMENT

Number 98-004, Am. #1

This AGREEMENT is entered into this 29th day of October 1998, of 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.)

The Regents of the University-of California (University) and the California Environmental Protection Agency (Agency) agree to amend this Interagency Agreement as follows:


Section 3. Funds Obligated is amended to read:

The maximum amount payable by Agency to University for performance of Scientific
Peer Review Work shall not exceed $ 1,000,000. For work performed under individual
Task Orders ("TO) issued pursuant to this IMA, Agency agrees to pay University an
amount equal to University's direct and 10% indirect costs, as a percentage of modified
total direct costs (MTDC), for performance hereunder and approved by Agency and the
Department of General Services in individual TO budgets in accordance with Section
8752 of the State Administrative Manual or in a fixed price per service provided basis.

Section 11. Payment is amended to read:

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:

NAME OF STATE AGENCY RECEIVING SERVICES
Cal/EPA Office of the Secretary


NAME OF STATE AGENCY PROVIDING SERVICES
Regents of the University of California


Upon execution of a TO 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 or fixed price per service for the first three (3) months of the period of performance of the TO and will reference address of University campus Accounting Office to which payment shall be sent. 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 or fixed price per service for the ensuing three (3) months. The total amount requested in advance shall not exceed the total allowable costs in the subject TO. The remaining 10 percent shall be paid only after receipt of a satisfactory final report.

Section 12. Invoices first paragraph is amended to read:

 

Except as hereby amended, all terms and provisions of the original agreement remain in full force and effect.


State of California


INTERAGENCY AGREEMENT

Number 98-004

This AGREEMENT, made and entered into this 15th day of June, 1998 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 Environmental Protection Agency (Agency).

I. University agrees to provide scientific peer review of scientific work on behalf of Agency as part of its rule making and technical management processes as described in Exhibit B, An Overview of the Work Plan.

II. The total amount payable under this Agreement shall not exceed one million dollars ($1,000,000).

III. The term of this Agreement shall be July 1, 1998 through June 30, 1999.

IV. This Agreement is of no force or effect until signed by both parties hereto and approved by the Department of General Services.

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

PRINTED NAME AND TITLE OF PERSON SIGNNG

Enrique Farias

Assistant Secretary for Policy Development

NAME OF STATE AGENCY PROVIDING SERVICES

Regents of the University of California

AMOUNT ENCUMBERED BY THIS DOCUMENT

$1,000,000

TERMS OF INTERAGENCY MASTER AGREEMENT

This Interagency Master Agreement ("IMA") is between the State of California Environmental Protection Agency including any of its components ("Agency") and the Regents of the University of California ("University").

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 Scientific Peer Review Work shall not exceed $ 1,000,000. For work performed under individual Task Orders ("TO") issued pursuant to this IMA, Agency agrees to pay University an amount equal to University's direct and 10% indirect costs, as a percentage of modified total direct costs (MTDC), for performance hereunder and approved by Agency and the Department of General Services in individual TO 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 TOs which exceed the funds available in this IMA.

 

4. Term of Agreement

The term of this Agreement shall be from July 1, 1998 through and including June 30, 1999 subject to A) the provisions of Section 3, Funds Obligated, B) the provisions of funding or funding reduction in subsequent fiscal years described in this Section below; and Q Agency's right to termination under Section 5, Termination. No legal liability on the part of the Agency for any payment may arise for performance under this IMA beyond 1998/99 until funds are made available to Agency for performance and until University receives notice of availability, to be confirmed in writing by the Contract Manager.

If funds for any subsequent fiscal year after 1998/99 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 TOs, 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 TOs shall be reduced and for what fiscal year. Agency understands the University shall also reduce the work accordingly.

Agency reserves the right to elect to reduce some TOs by a greater amount than other TOs. 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.


6. Contract and Program Managers

Agency Contract Manager: Assistant Secretary for Fiscal and Administrative Programs Agency Program Manager: Special Assistant for Health Sciences

University Contract Manager: Director, Research Administration, Office of the President University Project Director: Vice Provost for Research, Office of the President

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


7. Request for Services

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 IN1A, 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 TO budget at the time the TO is consummated do not require ftirther Agency approval.


9. Publication

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 a TO.

"Mention of trade name, proprietary product or specific equipment does not constitute a guaranty or warranty by the California Environmental Protection Agency or any of its Boards, Departments or offices 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 California Environmental Protection Agency or any of its Boards, Departments, or Offices."


10. Charges

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 TO budget. The TOs shall have a description of the statement of work and results expected of the project.

 

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

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

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 items of the MOU without formal amendment to the TO 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 TO may be approved by letter signed by Agency Program Manager.

2) Overhead Costs - are those costs incurred for common orjoint 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. Agency shall pay overhead of 10% as a percentage of modified total direct costs.

11. 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 payment as follows:

Upon execution of a TO 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 TO and will reference address of University campus Accounting Office to which payment shall be sent. 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 ensuring three (3) months. The total amount requested in advance shall not exceed 90 percent of the total allowable costs in the subject TO. The remaining 10 percent shall be paid only after receipt of a satisfactory final report.

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 15 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 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.

12. Invoices

Invoices shall reference this IMA and the applicable TO, 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 Agency.


Submit invoices to

Samuel Banks
California Environmental Protection Agency
555 Capitol Mall, Suite 525
Sacramento, CA 95814

Agency agrees to make payment on all invoices 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 TO.

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


13. 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 15 below.


14. Property

Equipment charged as a direct cost of a TO shall be the property of Agency. At the completion or termination of each TO, 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.


15. Audit

University agrees that this IMA is subject to examination and audit by the State Auditor for a period of three years after final payment under said IMA.
 

16. Patents and Rights in Data

Rights in Data. All proposals, protocols, information, results, and computer programs (collectively hereafter called "Data") developed for or in the course of the performance of the work under this IMA and its TOs, including the exclusive right to obtain copyright and control the exclusive copyrights shall belong to University. University shall grant the State a non-exclusive, royalty-free right in Data to practice or have practiced for or on behalf of the State of California.

17. Amendment

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


18. Disputes

If for any reason a dispute arises during the performance of this IN1A, 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.


19. Entire Agreement


The IMA and all Exhibits attached and incorporated herein constitutes the entire IMA 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 representatives of each party.

 

AN OVERVIEW OF THE WORK PLAN


The areas University and Agency are focusing on include:

1. Scientific Peer Review by University of scientific work performed by or on behalf of Agency as part of its rule-making or technical management processes. 

3. University Office of the President will develop mechanisms for collaborative efforts to:

A. Compile a continuously updated "skills bank" of University faculty and staff that identifies people having specialized knowledge and expertise who are willing to serve as peer reviewers for Agency.

TASK ORDER

 

1. This Task Order (TO) is entered into pursuant to the provisions of Interagency Master Agreement (IMA) No., dated ;between the California Environmental Protection Agency ("Agency") and The Regents of the University of California, campus ("University"). This TO implements, is made part of the IMA and incorporates the IMA provisions applicable to TOs.

2. University shall provide Agency with the following services: [Describe Scope of Peer Review Work here.]

3. University Project Manager is:

University campus Contract and Grant Officer is:

4. [Specify the effective date of the TO, 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 IMAJ

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

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

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

 
Department Authorized Representative:

Signature


Name and title printed
Date


University Campus
Contract and Grant Officer

Signature

Name and title printed
Date

Agency Authorized Representatives:

Special Assistant for Health Sciences


Signature

Name and title printed Date

Assistant for Fiscal and Administrative Programs


Signature

Name and title printed Date

Campus Extramural Funds Accounting Offices

Contract and Grant Accounting
481 University Hall
University of California
Berkeley, CA. 94720


Accounting Office
University Services Building
University of California
Davis, CA. 95616


Contract and Grant Accounting
Accounting Office
390 Berkeley Place
University of California
Irvine, CA. 92717-1050


Extramural Funds 'Management
911 Broxton Avenue
University of California
Los Angeles, CA. 90024-1400


Extramural Funds Accounting
Accounting Office
University of California
Torrey Pines Center N 0954
La Jolla, CA. 92093


Accounting Office
1650 Spruce Street, 3rd fl.
University of California
Riverside, CA. 92521


Extramural Funds and Financial Systems
Box 0812, MCB 425
University of California
San Francisco, CA. 94143


Extramural Funds Accounting
Accounting and Financial Services
4219 Cheadle Hall, 4th fl.
University of Califorriia
Santa Barbara, CA. 93106-2040


Extramural Funds
364C Applied Science Building
University of California
Santa Cruz, CA. 95064

 

UC CONTRACT AND GRANT OFFICES

Joyce Freedman, Director
Sponsored Projects Offic
336 Sproul Ha11
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		 Cbristina Hansen. Director
Office of Contract & Grants
115 Administration Building
University of California
Irvine, CA 92717
Phone:(714)856-5677
FAX: (714) 725-2094
Dorothy Crocker, Director
Office of Research Administration
400 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 Californi
Riverside, CA 92521
Phone: (909) 787-5535
FAX: (909)787-4483		 Linda Dale, Director
Office of Contract & Grants
0934, UC San Diego
9500 Gilman Drive
LA Jolla, CA 92093-0934
Phone: (619) 534-3333
FAX: (619)534-0280
Nancy Wilson, Manager
Contracts and Grants
Scripps Institution of Oceanography
UC San Diego, 02 10
La Jolla, CA 92093-0210
Phone: (619) 534-4570
FAX: (619) 5-34-5306		 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
32V Cheadle Hall
University of California
Santa Barbara, CA 93106
Phone: (805) 893-4036
FAX. (80-15) 893-2611
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
300 Lakeside Drive, 6" Floor
Oakland, CA 94612-3550
Phone: (510) 987-0050
FAX: (SIO) 763-6436 		 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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