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. 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 and the universities conduct business and Foundational to the process is the understanding that complete proposals, approved and endorsed by the campus sponsored projects office, will be required prior to award. The proposals will contain sufficient detail up front in an effort to clarify the expectations of the parties to avoid future misunderstandings and to reduce the post-award administrative burden. The proposal exhibits will become a part of the final award so it is important to ensure that they are complete and accurate.

Indirect Cost Rates for State Proposals


For the recovery of IDC from State of California funding, UCOP has established a rate which increases incrementally over 6-1/2 years from 25% to 40% of the Modified Total Direct Costs (as defined in our federally-negotiated rate agreement).

Rate Schedule for IDC Recovery for State of California Agreements

Effective Period

Off-Campus Rate

On-Campus Rate


January 1, 2016 through June 30, 2019



MTDC (F&A Rate Agreement)

July 1, 2019 through June 30, 2020



MTDC (F&A Rate Agreement)

July 1, 2020 through June 30, 2021



MTDC (F&A Rate Agreement)

July 1, 2021 and beyond



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; this new budget would use the rate in effect at the time the budget is constructed.

If UCSB 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 UCSB should budget and receive our federally negotiated rate for the project as specified by 2 CFR 200.331(a)(4).

In its first period, the rate has a core component of 25% of the MTDC for administrative costs and no facilities cost. Beginning on July 1, 2018 through July 1, 2020, facilities costs will be added in increments of 5% until the IDC rate reaches 40% MTDC. Projects that are performed off-campus will only use the 25% MTDC rate for administrative costs. The administrative component of the rate will not escalate.

If the state agency or department will not pay the appropriate UC Rate, the procedures outlined in the February 6, 2017 CGLink email must be followed prior to an exception being requested.

Required Proposal Elements for State Proposals

The model terms 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: a completed and signed State/University Proposal Cover sheet, a complete Scope of Work (Exhibit A – Exhibit A6), and a complete budget (Exhibit B, B1 and B2 if there are subrecipients). 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. Please see the State and University Proposal & Administration Manual for more information.

1. State/University Proposal Cover Sheet: All University proposals must be accompanied by a completed Proposal Cover Sheet, signed by the UCSB PI and the SPO Authorized Official.

2. Scope of work Exhibit A

3. Budget Estimate for Proposed Project Period (Exhibit B)

Budget tools

The following budget workbooks are for internal UCSB use in preparing the budget and budget justification exhibits. They should not be provided to the State agency or included in the proposal.

  1. Proposal Budget Workbook
  2. Sample Proposal Budget Workbook

Award Terms and Conditions

If funded, the award will be governed by the UTC 116 – University Terms and Conditions (Exhibit C)The award may contain additional exhibits specific to the needs of the individual project.

If you have questions, please contact your SPO team to discuss these recent changes to UC – State contracting interactions.

Links to Important Information and Forms:

State-UC-CSU Memorandum of Understanding

State and University Proposal & Administration Manual

State/University Proposal Cover Sheet

Exhibit A - Scope of Work

Exhibit A1 - Schedule of Deliverables

Exhibit A2 - Key Personnel

Exhibit A3 - Authorized Representatives and Notices

Exhibit A4 - Use of Preexisting Data, Copyrighted Works and Deliverables

Exhibit A5 - Curriculum Vitae (CV)/Résumé

Exhibit A6 - Current & Pending Support

Exhibits A and A1-A6 (in one document)

Exhibit B - Budget Estimate for Proposed Project Period

Exhibit B1 - Budget Justification

Exhibit B2 - Subcontractor Budgets

Exhibits B and B1-B2 (in one document)

Exhibit C - UTC 116 – University Terms and Conditions

State of California Department of General Services (DGS) website.




Office of Research, UC Santa Barbara | Report Site Problems | Privacy Policy | Terms of Use
Copyright © 2010-2017 The Regents of the University of California, All Rights Reserved. | UCSB website
View Site Map | Accessibility