Sponsored Projects

State of California Proposal Guidance (AB20)

What is AB20?

On November 2, 2015, the University of California (UC), California State University System (CSU) and California Department of General Services (DGS), on behalf of the State agencies, signed a Memorandum of Understanding implementing standard model agreement format, terms and conditions, including standardized proposal content requirements for contracts and grants. State Assembly Bill 20 (AB20) required the DGS and CSU, and encouraged UC, to negotiate the agreement. Therefore it is commonly referred to as “AB20.”

The model agreement changes the way the State conducts business with the UC and CSU systems and now requires upfront proposal elements and information to clarify the expectations of the parties, avoid future misunderstandings, and reduce the post-award administrative burden. In addition, under AB20, complete detailed proposals, approved and endorsed by the campus Sponsored Projects Office, will be required prior to award.

Reminder: The proposal exhibits will become a part of the final award so it is important to ensure that they are complete and accurate.

If you have questions, please contact your SPO Contract and Grant Officer to discuss these recent changes to UC-State contracting interactions.

Indirect Cost Rates for State Proposals

For the recovery of Indirect Cost Rates (IDC) from State of California funding, the UC Office of the President (UCOP) has established a series of rates which increase incrementally over 4.5 years from 25% to 40%. These rates are applied to a Modified Total Direct Cost (MTDC) base (as defined in each UC campus’ federally negotiated rate agreement).

Rate Schedule for IDC Recovery for State of California Agreements

Effective Period Off-Campus Rate On-Campus Rate Base
January 1, 2016 through June 30, 2017 25% 25% MTDC (F&A Rate Agreement)
July 1, 2017 through June 30, 2018 25% 30% MTDC (F&A Rate Agreement)
July 1, 2018 through June 30, 2019 25% 35% MTDC (F&A Rate Agreement)
July 1, 2019 and beyond 25% 40% MTDC (F&A Rate Agreement)

The rate in effect for first year of a multi-year project will be the rate used for the entire project unless additional funds (not previously appropriated or budgeted) are awarded. When new funds are added the new budget should include the IDC rate in effect at the time the budget is constructed.

What if UC Berkeley is a Subrecipient of Federal Funds?

If UC Berkeley is a subrecipient of federal funds and the State agency is a pass-through entity, as defined in the Uniform Guidance (2 CFR 200.93 and 2 CFR 200.74) then UC Berkeley should budget and receive its federally negotiated Indirect Cost Rate for the project.

What Do I Need to Submit a Proposal to the State?

The model terms agreed to by the State and the UC and CSU systems stipulate that UC will provide the State with a proposal in advance of any award made. Proposals to the State will included at a minimum the following elements:

Please see the State and University Proposal & Administration Manual (SUPAM) for more information.

Proposal Elements in Detail

  1. University Proposal to State: Cover Sheet: All University proposals must be accompanied by a completed University Proposal to State: Cover Sheet signed by the SPO Contract and Grant Officer (CGO).

  2. Project Summary/Abstract and Scope of Work (Exhibit A): Make sure the UC Berkeley Principal Investigator marks (or leaves blank) the appropriate Third Party Confidential Information Section:
    • If Third-Party Confidential Information is to be provided by the State:
      • Performance of the Scope of Work is anticipated to involve use of third-party Confidential Information and is subject to the terms of this Agreement; OR
      • A separate CNDA between the University and third-party is required by the third-party and is incorporated in this Agreement as Exhibit A7.

  3. Schedule of Deliverables (Exhibit A-1):
    • List all items that will be delivered to the State under the proposed Scope of Work. Include all reports, including draft reports for State review, and any other deliverables requested by the State and agreed to by the PI.
    • Items listed on the top half of the form will result in copyrights to such deliverables owned by UC. Items listed on the bottom half of the form will result in copyright to such deliverables owned by the State. CAUTION: Use of the bottom half of the form is appropriate if the purpose of the Scope of Work is to create copyrightable works for use by the State. SPO will need to review this list, as the State will receive a Non-Exclusive Royalty-Free license to every item listed as a Deliverable.

  4. Key Personnel (Exhibit A2): Changes to Key personnel listed on this Exhibit during an award period will require written State agency approval; do not list all staff, only list Key Personnel and only enter information sparingly. Use additional consecutively numbered pages as necessary.

  5. Authorized Representatives and Notices (Exhibit A3): Only list contact details for UC Berkeley individuals. State representatives will be populated at award stage.

  6. Use of Preexisting Data, Copyrighted Works and Deliverables (Exhibit A4):
    • Section A. State: Preexisting Data and/or copyrighted works to be provided to the University from the State: LEAVE BLANK.
    • Section B. University: Use of Preexisting Data or copyrighted works included in Deliverables identified in Exhibit A1 - List all pre-existing data, copyrighted works and deliverables owned by UC Berkeley. Make sure to mark NONE is there is no Pre-existing Data under Section B.
    • Section C. Anticipated restrictions on use of Project Data: Enter all information if the Principal Investigator anticipates that any of the project data generated during the performance of the project that may have a use restriction (e.g., participant identifying information). Make sure to mark NONE if there are no anticipated restrictions.

  7. Curriculum Vitae (CV)/Résumé (Exhibit A5): Attach CV/Résumé/Biosketch only for Key Personnel listed in Exhibit A2. No particular format is required.

  8. Current & Pending Support (Exhibit A6): Provide Current and Pending Support only for those individuals listed in Exhibit A2 (Key Personnel). There is no requirement to list the percent effort applicable to each project.

  9. Budget Estimate for Proposed Project Period (Exhibit B): Do not use the UC Berkeley Excel Budget Detail Workbook.

  10. Budget Justification (Exhibit B1): The Budget Justification will include the following items in this format.

  11. Subcontractor Budgets and Budget Justifications (Exhibit B2): Subcontractor should provide a detailed budget and use the same Exhibit B1 categories for their Budget Justification. (Only required if there are subrecipients).

AB20 Agreement Terms and Conditions (UTC-116)

If funded, the award will be governed by the following University Terms and Conditions (January 2016) or UTC 116 Agreement Terms and Conditions (Exhibit C). The award may contain additional Exhibits specific to the needs of the individual project.

Exceptions to AB20

The following specific State agencies are not subject to the AB20 proposal or award process (See UCOP RPAC Memo RPAC-16-01). All other California State agencies and programs should be using the AB20 Model Agreement:

  • California Energy Commission (CEC): EPIC program
  • California Institute for Regenerative Medicine (CIRM)
  • Market Order Boards

If you have questions, please contact your SPO Contract and Grant Officer to discuss these recent changes to UC-State contracting interactions.