Chapter 2-999: Related University References

  • Faculty Handbook, September 1995.
  • Facilities Manual.
  • Development Policy and Administration Manual.
  • University Regulation No. 4, Special Services to Individuals and Organizations, June 23, 1958. (Reprinted in the Faculty Handbook, September, 1986, Appendix, p. 52, and the Academic Personnel Manual, Section 020.)
  • Standing Orders of The Regents of the University of California, Standing Order 100.4(dd).
  • "Administrative Policies and Procedures Concerning Organized Research Units", Directory of Organized Research Units, University of California.
  • Academic Personnel Manual.
  • Personnel Policies for Staff Members: Compensation -30. Salary.
  • Senior Management Personnel Policies
  • University Policy on Disclosure of Financial Interest in Private Sponsors of Research. Presidential Memorandum, April 26, 1984.
  • Guidelines for Disclosure and Review of Principal Investigator's Financial Interests in Private Sponsors of Research. April 27, 1984.
  • University Policy on Disclosure of Financial Interests and Management of Conflicts of Interest Related to Sponsored Projects (effective October 1, 1995; revised October 15, 1997; technical revisions February 1, 2009).
  • Routine Contracts and Grants Which Need Not Be Reviewed By Office of General Counsel. General Counsel Memorandum, March 27, 1974.
  • Current UC Guidelines on Industry-University Relations
  • University Records Disposition Schedules Manual

Business and Finance Bulletins

  • BUS-34 Securing the Services of Independent Consultants
  • BUS-43 Materiel Management
  • G-28 Policy and Regulations Governing Travel
  • BUS-29 Management and Control of University Equipment
  • G-39 Conflict of Interest Policy and Compendium of Specialized University Policies, Guidelines, and Regulations Related to Conflict of Interest
  • BUS-38 Disposal of Excess Material

Accounting Manual

  • P-415-2 Plant Accounting: Cost and Reconciling Inventorial Equipment Acquisition
  • T-182-73 Taxes: Sales and Use Tax
  • P-415-32 Plant Accounting: Inventorial Equipment on Fabricated Items

External Requirements - Federal

2-F01
The Competition in Contracting Act of 1984, Public Law 98-369 - 41 USC 253; Amendments to Small Business Act, Public Law 98-72 - 15 USC 14A ; FAR Part 6 – Competition Requirements

Purpose
To obtain full and open competition through the use of competitive procedures for procurement of property or services by federal agencies.

Applicability
All acquisitions above the simplified acquisition threshold with exemptions listed in FAR Part 6.01.

Summary of Provisions
Both laws restrict authority to award large dollar value, sole source contracts, and contracts resulting from unsolicited proposals. They allow for exemptions to these requirements as listed in FAR Part 6.01 Publication in of solicitation announcements in the Federal Business Opportunities webpage is required.

Lead Agency
Office of Federal Procurement Policy

Implementing Regulations

  • FAR Part 5 - Pub. L. 98-72
  • FAR Part 6 - Pub. L. 98-369

Primary University Responsibility
The Office of the President Research Administration is responsible for monitoring and responding to proposed agency implementations of these statutes.

Contract and Grant Officers can potentially protect unsolicited proposals by reserving the right to review any synopsis for publication. Principal Investigators can identify restricted information in the proposal.

University Policy Implementation
None

2-F02
Public Law 97-258 and 31 USC 6301 - Using Procurement Contracts and Grant and Cooperative Agreements

Purpose
To distinguish federal assistance relationships from federal procurement relationships, standardizing usage, and clarifying meanings of the legal instruments used in such relationships.

Applicability
Agreements between the federal government and a state or local government or other recipient.

Summary of Provisions
Defines when a contract, grant or cooperative agreement should be used by the federal government in a procurement or assistance relationship.

Lead Agency
Office of Management and Budget (including the Office of Federal Procurement Policy)

Implementing Regulations
Title 2 CFR Part 215 - OMB Circular A-110 for grants and cooperative agreements; Federal Acquisition Regulations (FAR) for contracts.

Primary University Responsibility
Contract and Grant Offices are responsible for determining that the correct legal instrument is used by a federal agency in a procurement or assistance relationship with the University.

University Policy Implementation
None

2-F03
Executive Order 12372 - Intergovernmental Review of Federal Programs and the Catalog of Federal Domestic Assistance

Purpose
To foster an intergovernmental partnership by relying on state and local government coordination in reviewing federal assistance programs.

Applicability
Applications to designated federal programs for assistance must be sent for review to the state "single point of contact."

Summary of Provisions
Replaces OMB Circular A-95. Requires federal agencies to make efforts to accommodate state and local government recommendations concerning assistance programs in their jurisdiction and to rely on state and local processes for review of federal assistance programs. Federal programs requiring state review of proposals noted listed in the Catalog of Federal Domestic Assistance.

Lead Agency
Office of Management and Budget

Implementing Regulations
Applicable CFR Parts for each federal agency

Primary University Responsibility
Contract and Grant Officers must submit to the State "single point of contact" applications which require such review.

University Policy Implementation
This Manual Chapter.

2-F04
Title 2 CFR Part 215 – Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations. Office of Management and Budget Circular No. A-110 – 215.51 Monitoring and Reporting Program Performance.

Purpose
To establish procedures for monitoring and reporting the performance of recipients of grants and other agreements.

Applicability
All federal agencies in their administration of grants to, and other agreements with, public and private institutions of higher education, public and private hospitals, and other quasi-public and private non-profit organizations. The term "other agreements" does not include procurement contracts, but does include cooperative agreements.

Summary of Provisions
Sets forth guidelines for monitoring performance, ensuring that time schedules are met, that projected work units by time periods are accomplished, and other performance goals are being achieved. Describes the contents of required technical reports and reporting frequency.

Lead Agency
Office of Management and Budget

Implementing Regulations
Individual agency guidelines.

Primary University Responsibility
The Principal Investigator is responsible for submitting required technical reports.

University Policy Implementation
This Manual Chapter and Chapter 6.

2-F05
Title 2 CFR Part 215 - Office of Management and Budget Circular No. A-110 - 215.71 Closeout Procedures

Purpose
To prescribe uniform closeout procedures for federal grants and other agreements with recipients.

Applicability
All federal agencies in their administration of grants to, and other agreements with, public and private institutions of higher education, public and private hospitals, and other quasi-public and private non-profit organizations. The term "other agreements" does not include procurement contracts, but does include cooperative agreements.

Summary of Provisions
Instructs federal agencies to establish closeout procedures according to the requirements listed in this Section. They include prompt payment to recipients, refund of unobligated balance, submission of final reports within 90 days of completion, and references to other related sections on property and audits.

Lead Agency
Office of Management and Budget

Implementing Regulations
Individual agency guidelines.

Primary University Responsibility
The Campus Extramural Funds Accounting Office is responsible for financial closeout requirements. The Equipment or Materiel Management Office is generally responsible for completing the final inventory report. When title to equipment is not retained by the recipient, the Contract and Grant Office should request title at termination.

University Policy Implementation
This Manual Chapter; Accounting Manual Chapter F-351, Financial Control Accounts; Section J.IV of Business and Finance Bulletin BUS-29, Management and Control of University Equipment.

2-F06
Title 2 CFR Part 215 - Office of Management and Budget Circular No. A-110 - 215.13 Debarment and Suspension and 215.61 Termination

Purpose
To establish uniform suspension and termination procedures for federal grants and other agreements with recipients.

Applicability
All federal agencies in their administration of grants to, and other agreements with, public and private institutions of higher education, public and private hospitals, and other quasi-public and private non-profit organizations. The term "other agreements" does not include procurement contracts, but does include cooperative agreements.

Summary of Provisions
Instructs all federal agencies to provide procedures, conditions, and standards for terminating a grant or other agreement when recipient has failed to comply. Gives examples of actions which agencies can implement. Instructs agencies to provide for systematic settlement of terminations including termination for cause or termination for convenience. Termination costs associated with federal awards are treated in 2 CFR Part 220 Section J.50.

In addition, Federal agencies are instructed to comply with the nonprocurement debarment and suspension common rule implementing Executive Orders 12549 and 12689. In effect, this means grant applicants must certify that neither they nor their principals are debarred or suspended before an award can be made.

Lead Agency
Office of Management and Budget

Implementing Regulations
Individual agency guidelines.

Primary University Responsibility
Contract and Grant Officers are responsible for making sure any termination orders issued by a sponsor are consistent with the award terms and that all applicable termination costs are reimbursed. They are also responsible for ensuring that Principal Investigators are not debarred or suspended at the time a proposal is submitted. OP RPAC is responsible for monitoring the Federal debarment list to make sure no University of California principals (Regents, Officers, and Chancellors) appear on the list.

University Policy Implementation
Guidance is issued as necessary via RPAC (Contract and Grant) Memos.

2-F07
Title 2 CFR Part 215 - Office of Management and Budget Circular No. A-110 - 215.12 Forms for Applying for Federal Assistance

Purpose
To publish Standard Form SF 424, Assurances – Non-Construction Programs, to be used by public and private institutions of higher education as a face sheet for applications for federal grants for programs covered by Executive Order 12372 (which replaced OMB Circular A-95) as described in 2-F03.

Applicability
All federal agencies in their administration of grants to, and other agreements with, public and private institutions of higher education, public and private hospitals, and other quasi-public and private non-profit organizations. The term "other agreements" does not include procurement contracts, but does include cooperative agreements.

Summary of Provisions
Promulgates a Standard Form (SF 424) to be used for applying for federal grants and cooperative agreements. However, many agencies have developed and use their own application forms in place of SF 424. Allows use of this form to fulfill the requirements of Executive Order 12372 if submitting notification to local or State clearinghouses.

Lead Agency
Office of Management and Budget

Implementing Regulations
Individual agency guidelines.

Primary University Responsibility
Officers may submit this form to the State "single point of contact" for applications which are required to be reviewed under Executive Order 12372.

University Policy Implementation
Guidance is issued as necessary via RPAC (Contract and Grant) Memos.

2-F08
Office of Management and Budget Circular No. A-102. Uniform Administrative Requirements for Grants-In-Aid to State and Local Governments.

Purpose
To establish standards for consistent and uniform administration of federal agency grants to state, local, and federally recognized Indian tribal governments.

Applicability
State, local, and federally recognized Indian tribal governments.

Summary of Provisions
The standards promulgated in this Circular cover financial records, insurance, reporting, property and procurement administration requirements for state, local, and federally recognized Indian tribal governments which receive federal grants-in-aid.

Lead Agency
Office of Management and Budget

Implementing Regulations
Individual agency guidelines

Primary University Responsibility
This Circular may be referred to in State or local agreements with the University that are funded by federal flow-through dollars, since the State or local agency would be subject to A-102. However, since the University is subject to Title 2 CFR Part 215 - A-110, references to A-102 should be deleted from such agreements, or at least it should be understood by both parties that references to A-102 are interpreted as references to A-110.

University Policy Implementation
None.

2-F09
FAR 15.403 – Obtaining Cost or Pricing Data and DFARS 215.403-1 – Prohibition on Obtaining Cost or Pricing Data

Purpose
To enable the Federal Government to negotiate fair and reasonable prices with an offeror or contractor.

DFARS DFARS 215.403-1 exempts non-profit educational institutions and other non-profit organizations from the requirement to sign the Certificate of Current Cost or Pricing Data for DOD agencies.

Applicability
Federal contracts or subcontracts expected to exceed $650,000.

Summary of Provisions
FAR 15.403 requires the offeror to certify that the cost or pricing data in a proposal are accurate. Specific data could potentially be requested to back-up a proposed budget.

DOD has exempted non-profit institutions from the requirement to sign the Certificate.

Lead Agency
Office of Federal Procurement Policy

Primary University Responsibility
Contract and Grant Officers must sign certificates when required by other than DOD agencies for contracts or subcontracts over $650,000. Exemptions are possible when there is adequate price competition as defined under Section 15.403-1.

University Policy Implementation
Guidance is issued as needed via RPAC (Contract and Grant) Memos.

2-F10
Federal Laws and Regulations Applicable to Federally-Sponsored Contracts, Grants and Cooperative Agreements Comptroller General Decision B-166506

In this decision dated July 15, 1975, the Comptroller General of the United States stated that:

[W]e have consistently held that, when Federal grant funds are granted to and accepted by the grantee, the expenditure of such funds by the grantee for the purposes and objects for which made are not subject to the various restrictions and limitations imposed by Federal statute or our decisions with respect to the expenditure, by Federal departments and establishments, of appropriated moneys in the absence of a condition of the grant specifically providing to the contrary (emphasis added.)

This decision protects the University from being held accountable for having to be aware of and comply with restrictions that apply to appropriated funds if such restrictions have not been specifically mentioned in the grant terms and conditions.

Federal laws and regulations are incorporated into federal grants, contracts and cooperative agreements in a variety of ways.

In federal contracts,

  • Federal Acquisition Regulation (FAR) clauses as well as individual federal agency implementations of the FAR incorporate federal laws and regulations into federal contracts.
  • The federal government On-Line Representations and Certifications (ORCA) provides a centralized website for federal contractors to annually accept all applicable federal representations and certifications for federal contracts.
  • Any additional requirements are set forth in the contract itself.

For federal grants and cooperative agreements,

  • Applicable federal laws and regulations are set forth in individual agency grant manuals.
  • Additional federal requirements are set forth in the Standard Form SF 424, Assurances - Non-Construction Programs.
  • Title 2 CFR Part 215, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-profit Organizations (OMB Circular A-110) sets for the uniform federal administrative requirements for federal grants and cooperative agreements.
  • Regulation establishing standards and procedures to be followed by Institutions that apply for research funding from PHS granting agencies, including the NIH (42 CFR, part 50, subpart F).
  • Food and Drug administration regulation regarding financial disclosure by clinical investigators (21 CFR 54.1 -54.6).
  • National Science Foundation conflict of interest policies for grantees (NSF Award and Administrative Guide Chapter IV. A.).
  • Any additional requirements are set forth in the grant or cooperative agreement itself.

Primary University Responsibility
Contract and Grant Officers are responsible reviewing for contract clauses and grant terms in accordance with University guidance for applicability and acceptability in accordance with University-wide guidance. The OP RPAC provides systemwide guidance on federal laws and regulations, contract clauses and grant terms.

University Policy Implementation
Systemwide guidance on FAR clauses is provided on the OP Research Policy, Analysis and Coordination (RPAC Research Administration) website.

Systemwide guidance on representations and certifications is provided on the OP RPAC (Research Administration) website.

Additional systemwide guidance is issued as needed via RPAC (Contract and Grant) Memos.

External Requirements - State

2-S01
State of California Political Reform Act of 1974: 2010 Version

Purpose
Requires certain public officials deemed likely to engage in decisions where there may be a conflict of interest to file financial disclosure statements.

Applicability
All public officials including University employees.

Summary
As applied to University of California employees, the regulations require a Principal Investigator to disclose whether he/she has a direct or indirect financial interest in the sponsor of research which is funded or supported in whole or in part by (a) a contract or grant from a non-governmental entity sponsor or (b) by other funds from a non-governmental entity which are earmarked by the donor for a specific research project or a specific researcher.

Lead Agency
Fair Political Practices Commission

Implementing Regulations
California Administrative Code, Title 2, Division 6, Section 18755

Primary University Responsibility
Principal Investigators must submit a Statement of Economic Interests with a proposal or award for which disclosure is required to their campus review committee. This committee makes a recommendation to the Chancellor, Laboratory Director, or the Vice President - Agriculture and Natural Resources, as appropriate, on each disclosure who then decides whether to accept this recommendation.

University Policy Implementation
The University of California policy on Disclosure of Financial Interest in Private Sponsors of Research, APM-028, issued April 29, 2010, Statement of Economic Interests for Principal Investigators, FPPC Form 700-U (replaces Form 730-U effective February 6, 2009), Disclosure of Financial Interests & and Management of Conflicts of Interest, Public Health Research Awards Policy, and University Policy on Disclosure of Financial Interests and Management of Conflicts of Interest Related to Sponsored Projects