The Office of Research Sponsored Programs office at UC Davis supports campus researchers and their staff with a variety of extramural funding transactions. This office is responsible for the effective and timely handling of all research proposals, as well as preparing, interpreting, negotiating, and accepting awards/agreements on behalf of the Regents for projects funded by federal and state agencies, foundations, and other public and private sources. The office is also responsible for drafting, negotiating, and executing awards and subawards for collaborative research. Dedicated analysts within the Sponsored Programs office carry out these duties. Each analyst is part of a team (led by a Contracts and Grants Officer) and is assigned to focus on either proposals or awards/subcontracts for a set of schools and/or colleges. To ensure a depth of knowledge in the department, analysts are required to cross-train in both proposals and awards/subcontracts.
Important Information About NASA Funding…
Since federal fiscal year 2011, the continuing appropriations acts that fund NASA have instituted what is commonly referred to as the “NASA Restrictions on Funding Activity with the Peoples Republic of China (PRC).” This restriction prohibits NASA from engaging in or funding any joint scientific activity with China. When UC campuses receive NASA funding (directly or through a pass-through entity), UC must assure that it will not “participate, collaborate, or coordinate bilaterally in any way with China or any Chinese-owned company (including Chinese Universities)” unless such activities are specifically authorized by a post-2012 law.
PIs and department administrators involved with a NASA-funded scope of work should be aware of this restriction, specifically:
- At the proposal phase, the PI should complete a questionnaire on their own behalf and on behalf of all other UC participants performing part of the NASA grant scope of work to determine whether anyone has an affiliation with China that would preclude their participation (whether funded or unfunded or on-campus or remote). The questionnaire (entitled Exhibit H) is available here.
- Before acceptance of any award, the PI will also be required to sign a certification attesting that bilateral participation, collaboration or coordination with China, whether funded or unfunded, will not be performed as part of their NASA-funded award. The certification for grants (labeled Exhibit I) is available here. The certification for federal contracts (labeled Exhibit G) is available here.
- Subcontracts, subawards, memorandum of understanding, collaboration agreements, or any other type of written bilateral agreements with China under NASA-funded awards which contain the restriction regarding activity with China are expressly prohibited.
- These restrictions and processes apply equally to any awards from NASA pass-through entities, such as the Jet Propulsion Laboratory.
Each year, the University of California and California State University systems receive approximately six billion dollars from the State General Fund. [Annually, state agencies enter into more than 2,500 contract or contract amendments with the UC and CSU systems.] Although many of those documents have similar provisions, some can take months to negotiate. Ironically, in many cases, the State is paying for both sides of the contract negotiation. To reduce this inefficiency and to streamline operations, and in accordance with California Education Code 67327, UCOP, CSU and the State Department of General Services (DGS) established standardized “boilerplate” provisions. On November 2, 2015, DGS, UCOP and CSU executed a Memorandum of Understanding for use of the model terms in all new research, training or service agreements awarded after January 2016.
What you need to know:
The model terms stipulate that UC will provide the State with a proposal in advance of any award made. The proposal package shall consist of:
- State/University Proposal Cover Sheet: All University proposals must be accompanied by a completed Proposal Cover Sheet, signed by the UC Davis PI and the SPO Authorized Official. Please see the State and University Proposal & Administration Manual for more information.
- Scope of work – Exhibit A (Mandatory)
- Schedule of Deliverables (Exhibit A1) – 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 the PI. Items listed on the top half of the form will result in copyrights to such deliverables owned bv UC. Items listed on the bottom half of the form will result in copyright to such deliverables owned by the State. 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 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 personnel listed on this Exhibit during an award period will require State agency approval, so list people sparingly. Use additional consecutively numbered pages as necessary.
- Authorized Representatives and Notices (Exhibit A3)– Only list contact details for UC Davis individuals. State representatives will be populated at award stage.
- Use of Preexisting Data, Copyrighted Works and Deliverables (Exhibit A4) – List pre-existing data, copyrighted works and deliverables owned by UC Davis. (Pre-existing materials owned by the State or a third party will be listed at time of award.) If no third-party or preexisting data or copyrighted works will be used, check “none” in this section.
- Curriculum Vitae (CV)/Résumé (Exhibit A5) – Attach CV/Résumé/Biosketch for Key Personnel listed in Exhibit A2
- Current & Pending Support (Exhibit A6) – (There is no requirement to list the percent effort applicable to each project.)
- Budget Estimate for Proposed Project Period (Exhibit B) (Mandatory)
- Budget Justification (Exhibit B1) – The Budget Justification will include the following items in this format.
- Indirect (F&A) Costs – The minimum UC rate for State awards is currently 25% MTDC, regardless of whether the performance of the project will take place on or off campus. Over the next several years, this rate will increase as follows:
Now through 6/30/2018 25% 7/1/2018 – 6/30/2019 30% 7/1/2019 – 6/30/2020 35% Starting 7/1/2020 40%
- These rates do not apply when the state is acting as a pass-through entity of federal funds. The appropriate UC federally negotiated F&A Rate will apply to State agency awards made with federal funding. Please see 2 CFR § 200.414 and 2 CFR § 200.331.
- For State awards, the rate in effect for the first year of a multi-year project will be the rate used for the entire project in proposed and awarded budgets. If additional funds (not previously appropriated or budgeted) are awarded by a State agency; the proposed budget for these additional funds would use the UC-approved state rate in effect at the time the new budget request is submitted.
- Subcontractor Budgets (Exhibit B2) – Budget Estimates Pertaining to Subcontractors. Required if there are subrecipients
- Budget tools
This represents a sea change in historical practices at UC Davis. The majority of effort in securing a State award will be front loaded at the proposal stage, at which the scope of work and budget will be negotiated.
If funded, the award will be governed by the UTC 817 – University Terms and Conditions (Exhibit C) – The award may contain additional exhibits specific to the needs of the individual project.
Your Sponsored Programs Office proposal and award teams are happy to meet with you to discuss these recent changes to UC – State contracting interactions.
This information can also be found at the Department of General Services (DGS) website.
UC Office of the President Guidance Memo 17-06 provides further discussion and guidance on State of California Model Agreement and indirect cost applicable to State-funded awards.