Proposal Checklist for Departments

Issue Phoebe Tab Action in Phoebe:
Checking/Uploading
Agency Program Announcement Proposal Sponsor & Program Information: Solicitation/RFP: Add the sponsor program identification number. If not applicable or available, enter n/a.
Attachments & Notes Upload Solicitation/RFP (drop-down menu)
Animal Subjects or Custom Antibodies Special Review Type: Animal Care and Use (drop-down menu)
Approval Status: Pending (drop-down menu)
Note: Status should always be pending.
Questions For custom antibodies:
Will this project involve any of the following potential compliance issues? Custom antibodies (check Yes)
  • Will custom antibodies be generated in the course of performing this project? (check Yes)
  • If known, please provide the name and Public Health Service (PHS) approved Animal Welfare Assurance number of the company or institution that will provide the custom antibodies. See approved domestic entities and approved foreign entities.
Collaborative Subagreement(s), Subaward(s)
  • Outgoing subaward: To transfer a portion of the funding of the prime award from UCB to another institution or organization.
Proposal Sponsor & Program Information: This proposal includes subaward(s) (check box)
Attachments & Notes Upload Subrecipient Documents (drop-down menu)
Note: EACH subrecipient should have a separate uploaded PDF file including all required materials.
  • Subrecipient Commitment Form (Non-FDP Pilot Institutions) or FDP Pilot Subrecipient Project Information
  • Subrecipient’s Statement of Work (SOW)
  • Subrecipient’s Budget and Budget Justification
  • Fair and Reasonable Cost Analysis and Sole Source Justification SIGNED BY UCB PI for EACH subrecipient (if prime award is a contract)
Cost Sharing Questions Is cost sharing included as part of this proposal? If yes, attach supporting documentation in the Attachments panel. (check Yes)
Attachments & Notes Upload Cost Sharing Commitment (drop-down menu)
Note: If cost share letters are pending, add a note under the Notes panel to let SPO know letters are being requested.
Environment, Health and Safety (EH&S) Questions Will this project involve any of the following potential compliance issues? Radionuclides, radiation-producing machines, recombinant DNA, or lasers; Nuclear fuel cycle research; and or SCUBA or small boats (check Yes)
  • Are EH&S issues (radionuclides, radiation-producing machines, recombinant DNA, lasers, SCUBA or small boats, nuclear fuel cycle research) involved in this project? If yes, contact EH&S for more information. (check Yes)
  • Radionuclides, radiation-producing machines, recombinant DNA, and/or lasers? (check Yes or No)
  • SCUBA or small boats? (check Yes or No)
  • Nuclear fuel cycle research or development? (check Yes or No)
Exception to PI Policy
  • Tip: If your PI doesn’t have a “professor” title, please verify the PI’s PI status.
Special Review Type: Principal investigator exception – individual or Principal investigator exception - continuing (drop-down menu)
Approval Status: Approved or Pending (drop-down menu)
Comments: Add PI name and add “continuing” if applicable.
Attachments & Notes If Approved, upload the VCR letter under Exceptional PI/PD Status Approval/Request (drop-down menu).
If Pending, upload the request (signed by the dean/chair/director) under Exceptional PI/PD Status Approval/Request (drop-down menu).
Export Control
  • Travel outside the US with scientific or technical equipment
  • Travel to or involvement of any kind with countries sanctioned by the Office of Foreign Assets Control
  • Shipping of equipment, materials or software outside the U.S.
Questions Will this project involve any of the following potential compliance issues? Travel outside the U.S with scientific or technical equipment; Travel to or involvement of any kind with countries sanctioned by the Office of Foreign Assets Control; Shipping of equipment, materials, or software outside the U.S. (check Yes)
  • Will members of the project team be traveling outside the US with scientific or technical equipment in the course of performing this project? Scientific conferences are exempted. (check Yes or No) (If Yes, provide an explanation and destination country.)
  • Will any equipment, materials, or software be shipped or transmitted to other countries? (check Yes or No) (If Yes, provide an explanation and destination country.)
  • Will this project involve in any capacity: persons, entities, or institutions from any of the following countries/regions? Belarus, Burma, Burundi, Central African Republic, Cuba, Democratic Republic of the Congo, Iran, Iraq,Lebanon, Libya, North Korea, Somalia, South Sudan, Sudan, Syria, Ukraine (Crimea Region), Venezuela, Western Balkans (Bosnia, Herzegovina, Kosovo, Macedonia), Yemen, Zimbabwe. NOTE: the list is subject to change. Please refer to this list. (check Yes or No) (If Yes, If yes, identify which country or countries, and the persons, entities, and/or institutions involved.)
  • Will this project include travel to any of the following countries? Cuba, Iran, North Korea, Sudan, Syria, Ukraine (Crimea Region). (check Yes or No) (If yes, have you already obtained the necessary license(s) from the U.S. Office of Foreign Assets Control?) (check Yes or No)
Facilities and Administrative Rate
(F&A, Indirect Cost, IDC, Overhead)
Attachments & Notes Upload Non-Standard Facilities & Administration (F&A) Rate Justification (drop-down menu)
  • For those sponsoring agencies that don’t reimburse UC Berkeley IDC at full rate, upload a copy of the sponsor’s published written IDC policy.
  • If a proposal meets the criteria for “vital interest waiver,” upload a vital interest waiver request from the PI. The request should be addressed to AVCR Patrick Schlesinger.
Financial Budget: select IDC Rate (drop-down menu) and add rate
Financial Disclosure: Non-governmental Sponsors
  • 700-U is required for non-governmental sponsors (hint: web site address ends with “org”)
  • 700-U Addendum is required for positive disclosures
  • No COI forms are needed for exempt organizations
  • Tip: Always include a link for the 700-U addendum and ask the PI to complete if there is a positive disclosure
  • After uploading the form(s), be sure to send original 700-U form(s) with the Phoebe # written at the top right upper corner
Special Review For all positive disclosures:
  • Type: Positive Financial Disclosure (drop-down menu)
  • Approval Status: Pending (drop-down menu)
    Note: Status should always be pending.
  • Comments: Enter the name of the investigator that has positive disclosures
Attachments & Notes: Person Attachments For ALL disclosures:
  • Person: Select the proper PI (drop-down menu)
  • Attachment Type: select the right disclosure (drop-down menu)
Financial Disclosure: National Science Foundation (NSF)
  • NSF COI form is required for proposals submitted to NSF, subaward proposals (UCB listed as a subaward)
Special Review For all positive disclosures:
  • Type: Positive Financial Disclosure (drop-down menu)
  • Approval Status: Pending (drop-down menu)
    Note: Status should always be pending.
  • Comments: Enter the name of the investigator that has positive disclosures
Attachments & Notes: Person Attachments For ALL disclosures:
  • Person: Select the proper PI and other investigator(s) (drop-down menu)
  • Attachment Type: select the right disclosure (drop-down menu)
Financial Disclosure: Public Health Service (PHS)
  • PHS Form 1 is required from ALL INVESTIGATORS for proposals submitted to NIH and and other agencies that have adopted federal requirements (e.g., American Cancer Society, American Heart Association)
  • If any responses from the investigator in Form 1 is “yes,” Form 2 from THAT PARTICULAR INVESTIGATOR is required
  • Tip: Always include a link for Form 2 and ask investigators to complete if there are any positive disclosures
  • After uploading the form(s), be sure to send original 700-U form(s) with the Phoebe # written at the top right upper corner
Special Review For all positive disclosures:
  • Type: Positive Financial Disclosure (drop-down menu)
  • Approval Status: Pending (drop-down menu)
    Note: Status should always be pending.
  • Comments: Enter the name of the investigator that has positive disclosures
Attachments & Notes: Person Attachments For ALL disclosures:
  • Person: Select the proper PI and other investigator(s) (drop-down menu)
  • Attachment Type: select the right disclosure (drop-down menu)
Full Proposal: Previously Submitted Preproposal Questions Select Yes if any of the following apply to this project.
This is a full proposal in response to a previously submitted preproposal (check Yes)
  • Is the proposal a full application related to submission of a preproposal or preliminary application? (check Yes)
  • Please indicate SPO proposal number or Phoebe proposal ID.
Human Stem Cells Special Review Type: Stem Cell Research Oversight
Approval Status: Select appropriate (drop-down menu)
Questions Will this project involve any of the following potential compliance issues?
Stem cell research (check Yes)
  • Are stem cells to be used in this project? (check Yes)
  • Adult? (check Yes or No)
  • Embryonic? (check Yes or No) (If Yes, indicate the federal cell line.)
Human Subjects Special Review Type: Human Subjects (drop-down menu)
Approval Status: Pending (drop-down menu)
Note: Status should always be pending.
Major Project
  • Applies to funding that follows OMB A-21 (most federal but some other organizations may use it).  For example, the Caltrans master agreement actually incorporates A-21 even though it is State funding.
  • Detailed budget justification required
Questions Select Yes if any of the following apply to this project.
Federal projects: OMB Circular A-21 Major Project or direct charging of administrative costs (check Yes)
  • Federal projects only: is this a major project as defined on OMB Circular A-21, or will administrative costs be charged as direct costs? (check Yes)
NIH Genomic Data Sharing Special Review Type: NIH Genomic Data (drop-down menu)
Approval Status: Not applicable (drop-down menu)
Questions Will this project involve any of the following potential compliance issues?
Large-scale human or non-human genomic data (NIH-funded research only) (check Yes)
PI and Key Personnel Release Time
  • PI requests salaries for academic months
Questions Select Yes if any of the following apply to this project.
Faculty release time is requested as part of this proposal (check Yes)
  • Are any key personnel requesting faculty release time in this proposal? (check Yes)
  • Please indicate name and amount of time as either percent effort or person months.
Program Income Questions Is program income anticipated as part of this project? (check Yes)
Proprietary, Confidential, or Privileged Information
  • Project personnel will have access to third-party proprietary or confidential material in the course of preparing this proposal
  • Proprietary or confidential material is included in the proposal
Questions Select Yes if any of the following apply to this project.
Project personnel will have access to third-party proprietary or confidential material in the course of preparing this proposal
Proprietary or confidential material is included in the proposal (check Yes)
  • Will project personnel have access to any third-party proprietary, confidential, or privileged information in the course of preparing this proposal? (check Yes or No) (If yes, please explain.)
  • Will proprietary, confidential, or privileged information be included in the proposal? If yes, mark the title page and each page of restricted data with appropriate legend. See FAR 52.215-1(e) for model legend. (check Yes or No)
Scientific Diving and the Use of Small Boats for Research Questions Will this project involve any of the following potential compliance issues? SCUBA or small boats (check Yes)
  • Are EH&S issues (radioactive isotopes, recombinant DNA, lasers, SCUBA or small boats, nuclear fuel cycle research) involved in this project? If yes, contact EH&S for more information. (check Yes)
  • SCUBA or small boats? (check Yes)
Select Agents Special Review Type: Select agents
Approval Status: Select appropriate (drop-down menu)
Small Business Subcontracting Plan Required when Federal Contract/ Subcontracts Amounts › $700,000
  • Confirm that the federal contract/ subcontract will exceed $700,000.
  • Work with the Department/CSS RA and the Campus Supplier Diversity Program Manager to develop a Small Business Subcontracting Plan.
  • Ask the funding organization when the plan needs to be submitted for acceptance.
Attachments & Notes Upload Small Business Subcontracting Plan, if available, select Other (drop-down menu) and add description
Note: If not available or pending, add a note under the Notes panel.
Space - New or Renovated
  • Chairs/directors must approve plans to build new or renovate existing department space.
Questions Will this project involve any of the following potential space issues? New or newly renovated space; Research on, and/or modification to, existing Berkeley campus grounds or buildings (check Yes)
  • Is new or newly renovated space required for this project? If yes, please visit Real Estate. (check Yes or No)
  • Is this a project that will require research on, and/or modification to, existing Berkeley campus grounds or buildings? If yes, please visit Real Estate. (check Yes or No)
Space - Rental Questions Will this project involve any of the following potential space issues? Off-campus project (check Yes)
  • Is this an off-campus project? If yes, attach supporting documentation in the Attachments panel. (check Yes)
  • Please provide the location.
Attachments & Notes Upload supporting documentation if available, select Other (drop-down menu) and add description
Sponsor ID
Prime Sponsor ID
  • Incoming subaward: To transfer a portion of the prime funding from another institution or organization to UCB.
Proposal
magnifying glass icon
  Use the magnifying glass button to search for a sponsor. The Sponsor is our direct funder.
Provide the Prime Sponsor ID if we are a subawardee. If we are not a subawardee, this is blank.
  • Flow of money example: NIH → University of Washington → UC Berkeley
    • Sponsor: University of Washington
    • Prime Sponsor: NIH
If you cannot find a Sponsor, enter 009850 and add enough information in the Sponsor Contact field for SPO to create a record of the new sponsor.
Supplemental Proposal Questions Select Yes if any of the following apply to this project.
This proposal is for supplemental funding for an ongoing project, or for a competing continuation/renewal (check Yes)
  • Is this proposal for supplemental funding, or for a competing continuation/renewal? (check Yes)
  • Please indicate the sponsor award number.