State of California Proposal Guidance

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 for research, training or services. The California Model Agreement (CMA) and University Terms and Conditions (UTC) were first implemented in January 2016. 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.”

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.

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 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). See UCOP's State of California UC Rates page for guidance about IDC recovery for awards from State of California agencies.

Rate Schedule for IDC Recovery for State of California Agreements (UC Rates)

Effective Period	On-Campus Rate	Off-Campus Rate	Base
January 1, 2016 through June 30, 2019	25%	25%	MTDC (F&A Rate Agreement)
July 1, 2019 through June 30, 2023	30%	25%	MTDC (F&A Rate Agreement)
July 1, 2023 through June 30, 2026	35%	25%	MTDC (F&A Rate Agreement)
Starting July 1, 2026	40%	25%	MTDC (F&A Rate Agreement)

The IDC rate for State of CA institutional training activities (training of UC students) is 8% of 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.

Indirect Cost Rate Exceptions

When using the UC Rates, a separate IDC exception is not required. However, if a rate less than these established rates is required by the agency, the campus procedures to request an exception must be followed. Contact your SPO Contract and Grant Officer for guidance.

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 200.1) 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 California Model Agreement (CMA) terms and conditions 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, with exceptions (see alternate proposal templates below):

University Proposal to State: Cover Sheet
Scope of Work (Exhibit A – Exhibit A7)
Budget (Exhibit B, B1, B2 if there are subrecipients, and B3)
Exhibits C - G. Complete the Exhibit sections as applicable to your project. If the Exhibit is not applicable, insert “N/A,” but make sure to include all Exhibits as part of the complete proposal. (Please note that Exhibit C, which contains the terms and conditions component, is always applicable and should be included in your proposal as is.)
Other elements, such as letters of support, can be included at the funding State agency’s request or as deemed necessary by the University’s Principal Investigator.

Responding to an RFP: Responding to a Request for Proposals (RFP) may require use of forms or a format other than the CMA templates. Consult with your SPO Officer if this is the case. Note: At award stage, the PI may need to complete CMA components (mainly scope of work, itemized deliverables, key personnel, and budget).

Alternate proposal templates: For the following State agencies, use these templates instead of the standard State AB20 proposal template:

California Department of Education: CDE template (effective December 2020)
California Department of Public Health: CDPH template (effective January 2018)

Please see the California Model Agreement Guide for more information.

Standard Proposal Elements in Detail

To be completed by the PI/RA

University Proposal to State: Cover Sheet: All University proposals must be accompanied by a completed University Proposal to State: Cover Sheet.
Project Summary/Abstract and Scope of Work (Exhibit A):
- The State will mark the form whether the proposal is a “Contract” or “Grant” at award stage. No box should be checked at proposal stage.
- The PI must indicate if the project is research (Yes or No). Research (as defined in the UTC): investigation or experimentation aimed at the discovery and interpretation of facts, revision of accepted theories or laws in the light of new facts, or practical application of such new or revised theories or laws.
- The PI should consult with the State to determine either to mark or leaves blank the appropriate Third Party Confidential Information Section (check with SPO before contacting the State):
  - 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.
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 only appropriate if the purpose of the Scope of Work is to create copyrightable works for use by the State. State will own this deliverable so SPO will need to review this list. UC will receive a Non-Exclusive Royalty-Free license to every item listed as a deliverable in the bottom section of the form.
Key Personnel (Exhibit A2): Key Personnel are defined as the PI and other individuals who contribute to the scientific development or execution of a project in a substantive, measurable way, whether or not they receive salaries or compensation under the agreement. 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.
Authorized Representatives and Notices (Exhibit A3): Only list contact details for UC Berkeley individuals. State representatives will be populated at award stage.
- Principal Investigator section: To be completed by PI/RA. PI might choose to list the RA or other staff in the “Designees to certify invoices under Section 14 of Exhibit C on behalf of PI.”
- Authorized Official section: Leave blank. SPO CGO will complete this section.
- Administrative Contact: To be completed by PI/RA. Information of the assigned SPO CGO must be listed in this section.
- Authorized Financial Contact/Invoicing/Remittance: Pre-populated with CGA info. Add or update designees as needed.
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. (This section will be filled out by the State if the State is providing intellectual property or data with use restrictions.)
- 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 if there is no third-party or pre-existing intellectual property or 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.
Curriculum Vitae (CV)/Résumé (Exhibit A5): Attach CV/Résumé/Biosketch only for Key Personnel listed in Exhibit A2. No particular format is required.
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.
Budget Estimate for Proposed Project Period (Exhibit B): Include the CMA/AB20 formatted budget. Note: GAEL costs should be included as Other Direct Costs, UC will charge it no matter if it is included or not in the proposal budget, unless the State Agency specifically disallows GAEL. When GAEL is disallowed, the PI will be responsible for identifying a discretionary fund source to cover the GAEL costs.
Budget Justification (Exhibit B1): The Budget Justification will include the following items in this format.
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).
Additional Requirements Associated with Funding (Exhibit D): Check the appropriate box to indicate whether or not the award will support Research & Development.
Note: While developing your proposal, be mindful not to include proprietary, confidential information or trade secrets in the description section. If the application is funded, the proposal will be subject to the California Public Records Act (CPRA).

California Model Agreement Terms and Conditions

If funded, the award will be governed by the current University Terms and Conditions (UTC). The award may contain additional Exhibits specific to the needs of the individual project. Current and past versions of the UTC are located on the UCOP CMA Templates page.

Exceptions to the CMA

The following specific State agencies are not subject to the CMA proposal or award process (See UCOP RPAC Memos RPAC-16-01 and RPAC-17-06). All other California State agencies and programs should be using the CMA:

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

Working with the Office of Business Contracts and Brand Protection (BCBP)

State of California Business Contracts

Most State of California funding will be processed through the Sponsored Projects Office (SPO). However, AB20 also governs campus business contracts with the State. Therefore, when the University is providing non-research services to a State of California agency, and no original works or publications will be produced, the Office of Business Contracts and Brand Protection (BCBP) will process those agreements. All questions about required procedures and processes for completing State of California business contracts should be directed to BCBP.

Campus units should consult the Who Does What decision tree found on the BCBP website to determine if a State of California transaction should be managed by BCBP.

When BCBP concludes the negotiation of a State award, BCBP will process the award using standard BCBP procedures. The proposal should not be uploaded into Phoebe Proposal. See Indirect Cost Recovery on CMA Business Contracts for additional information.