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. 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 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). See UCOP Guidance Memo 17-07 (RPAC-17-07) for guidance about IDC recovery for awards from State of California agencies.
Rate Schedule for IDC Recovery for State of California Agreements
|Effective Period||On-Campus Rate||Off-Campus Rate||Base|
|January 1, 2016 through June 30, 2018||25%||25%||MTDC (F&A Rate Agreement)|
|July 1, 2018 through June 30, 2019||25%||25%||MTDC (F&A Rate Agreement)|
|July 1, 2019 through June 30, 2022||30%||25%||MTDC (F&A Rate Agreement)|
|July 1, 2022 through June 30, 2023||35%||25%||MTDC (F&A Rate Agreement)|
|July 1, 2023 and beyond||40%||25%||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 these 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 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.
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 November 2017)
- 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
- 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): 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.
- The State will mark the form whether the proposal is a “Contract” or “Grant.”
- If Third-Party Confidential Information is to be provided by the State:
- 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.
- 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.
- Authorized Representatives and Notices (Exhibit A3): Only list contact details for UC Berkeley individuals. State representatives will be populated at award stage.
- 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.
- 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): Do not use the UC Berkeley Excel Budget Detail Workbook.
- 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).
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.
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.
If you have questions, please contact your SPO Contract and Grant Officer to discuss these changes to UC-State contracting interactions.