Preparing Your Proposal for Submission to SPO or IAO

create icon
 Click on the Create icon next to Proposals on your Phoebe Home screen to begin your proposal.

CSS/Department research administrators have permission to create proposals. If you do not have permission to create a proposal or if you cannot access your proposal in progress, please send email to phoebe-help@lists.berkeley.edu or contact your SPO Contract and Grant Officer or IAO Representative. If your unit is not yet in Phoebe, see Guidance for Small Units Joining Phoebe.

When you create a proposal, you will see a new screen with a series of tabs for navigation that reflect the various components of your proposal. Your proposal will be automatically saved by the system each time you navigate to a new tab. You can also save the proposal by clicking on the Save button at the bottom of the screen. After the proposal is saved, you can either keep working on your proposal or logout from Phoebe and continue working on the proposal later.

If you want the Principal Investigator (PI), Co-PI, or others associated with proposal to be able to make changes to the proposal in Phoebe before it is submitted, you will need to add each person as an “aggregator” on the Permissions tab. This way, multiple people will be able to work on the proposal.

Below is an overview of the basics and more in-depth instructions on how to use each tab.


Phoebe Proposal Basics

Minimum Fields to Save and Submit

Minimum required fields that must be completed to save your new proposal (Proposal tab)

  • Proposal Type (Competing Continuation/Renewal, Limited Submission, Material Transfer, New, Preproposal, Resubmission, Revision, Supplement)
  • Award ID (only for Competing Continuation/Renewal and Supplement)
  • Sponsor ID
  • Lead Unit (only departments that you have permission to create proposals for are available)
  • Activity Type (basic research, applied research, training, etc.)
  • Project Period (begin and end dates)
  • Project Title

Minimum required fields that must be completed to submit your proposal to SPO or IAO (Proposal, Key Persons, Questions, Financial tabs)

  • Proposal tab: Minimum fields to save
  • Proposal tab: If Sponsor ID 009850 “New Sponsor” is used, Sponsor Contact information
  • Proposal tab: Solicitation/RFP (use ‘n/a’ if not applicable or not available)
  • Proposal tab: Sponsor Deadline Type (use ‘No Deadline’ as the type if no date is specified)
  • Proposal tab: Mail By (department or SPO) and Type (electronic or hard copy)
  • Key Persons tab: At least one principal investigator
  • Questions tab: All questions must be answered
  • Financial tab: Dept. ID, Program, total amount requested, on/off campus designation, indirect cost rate

General

Do not use the “back” or “forward” button or arrow in your browser to navigate. You should navigate within Phoebe by clicking the appropriate tab and panel.

When you are finished working on a proposal, click on the Close button at the bottom of the screen to leave the proposal. If you do not close the proposal, you may lock the document so that others will not be able to edit it.

PIs and others can work on and submit a proposal created by a department administrator if they are given an Aggregator role in the Permissions tab.

Cancelling a Proposal

You can cancel a proposal by going to the Proposal Actions tab and clicking the Cancel button on the bottom of the screen. This will remove the proposal from your Action List. You will no longer be able to work on the proposal, although you can still make a copy with Copy to New Document from the Proposal Actions tab.

Submitting a Proposal

After you have finished the proposal, the next step is PI approval. If Co-PIs have been added to the proposal, they will also need to approve the proposal. This includes Co-PIs from other departments.

To submit your proposal for review and approval, go to the Proposal Actions tab and click the Submit button on the bottom of the screen. After you click the Submit button, make sure you wait until the proposal has been returned to you when the document has finished processing. Then, click the Close button at the bottom of the screen to leave the proposal. If you do not close the proposal, you may lock the document.

Note that Data Validation errors will prevent submission, and you will need to fix them before submitting. Data Validation warnings are only alerts to possible issues, but will not prevent you from submitting your proposal. See Data Validation for more information.

Submitting the proposal will route the proposal for PI and Co-PI approval within Phoebe. After the PI and Co-PIs have approved and certified the proposal, it will automatically be routed to your chair, dean, or director for approval within Phoebe. After department approval is given, the proposal will be automatically routed to SPO or IAO for review. See Approvals for additional information.

The proposal then will be reviewed by SPO or IAO to ensure that the proposal complies with University policy and/or the sponsor’s requirements. To make proposal corrections requested by SPO, CSS/Department RAs should use the Replace function in the Attachments and Notes tab to correct the version of the proposal in Phoebe. In this way, the PI will always be able to see the most recent version of the proposal in Phoebe. CSS/Department RAs should not send corrected versions of the proposal and/or attachments to SPO by email unless directed to do so by the SPO CGO. When working outside of Phoebe, CSS/Department RAs are advised to copy the PI on changes that are made to the proposal.

Please note: The CSS/Department RA is responsible for ensuring that all of the changes made to the original proposal uploaded into Phoebe have been approved by the PI prior to SPO or IAO submitting the proposal to the sponsor. If changes to the proposal are significant, SPO or IAO may require the proposal to be reapproved in Phoebe by the PI, Co-PI, and the chair, dean, or director.

If you use Phoebe to submit your proposal to SPO or IAO, you do not need to submit a paper copy of your proposal. The exception is that if your proposal requires a Statement of Economic Interests for Principal Investigators (Form 700-U), State of California law requires that you submit a paper copy of the 700-U with an original blue-ink signature to the Conflict of Interest Committee Office.

Recalling a Proposal

After you have submitted a proposal, you will be able to return the proposal to yourself for revisions during the approval process. To recall a proposal, click the Recall button, enter a reason, and click Yes. You will be returned to your Home screen. People who have the proposal in their action list will receive an FYI notice about the recall, and the proposal status will be Revisions Requested. You can then continue working on the proposal and resubmit when you are ready.

Revised Proposals: Post-Submission to Sponsor

If a revision to a submitted proposal is substantial enough to require departmental approval of the changes, use Phoebe to create and route the revised proposal to SPO. Select “Revision” as the proposal type in the Required Fields for Saving Document panel on the Proposal tab, and enter the original Phoebe proposal ID in the Notes panel. Examples of revisions requiring departmental re-approval include, but are not limited to, the following:

  • Significant change in budget (approximately 25 percent)
  • Change in cost share
  • Revised scope of work (significant change, i.e., additional work)
  • Change in PI/Co-PI

See Your Proposal at SPO and IAO for additional information.


All Phoebe Proposal Components


Proposal tab

The Proposal tab is the first screen you see when creating a new proposal and includes much of the basic proposal information. In order to save a new proposal, you must complete the fields marked with an asterisk. You do not need to fill out all the fields, just the required fields and those that pertain to your proposal. When you first save your proposal, a proposal number will be generated and appear in the top left under Action List.

Field Name Description
Proposal Type Select the type (Competing Continuation/Renewal, Limited submission, Material Transfer, New, Preproposal, Resubmission, Revision, Supplement). [required]
Note
: See Revised Proposals: Post-Submission to Sponsor for information on revision proposals.
Note: Select Limited submission for all Proposal Types (e.g., Preproposal, New) that restrict the number of applications or proposals a campus can submit to the agency. See Limited Submission Programs for information.
Award ID Only used for Proposal Types of Competing Continuation/Renewal and Supplement. [required]
Sponsor ID Select the code by searching for and selecting the sponsor or typing the code if you know it (e.g., 005400 for NSF). [required]
Note: Use sponsor code 009850 “New Sponsor” if sponsor can’t be found, and add enough information in the Sponsor Contact field for SPO to create a record of the new sponsor. If sponsor code 009850 “New Sponsor” is used, Sponsor Contact information must be completed. [required]
Lead Unit Select your unit. [required]
Activity Type Select the type (e.g., basic research, instruction). [required]
Project Period Select the start date and end date from the calendars or type in the dates using mm/dd/yyyy format. [required]
Project Title Add your proposal title. Use title case (e.g., not all upper-case letters). [required]
Prime Sponsor ID Use only for proposals where UC Berkeley will be a subawardee on another institution’s proposal. Select the code by searching for and selecting the sponsor or typing the code if you know it (e.g., 005400 for NSF).
Note: The Sponsor Code field is used for the sponsor making the subaward to UC Berkeley; the Prime Sponsor field is used for the original sponsor.
Example: If UCLA is submitting a proposal to NSF with UC Berkeley as a subawardee: Sponsor is UCLA, Prime Sponsor is NSF.
Sponsor Proposal ID If the sponsor or submission system assigns a number to be used to retrieve the proposal from the system for review, add the sponsor-assigned proposal identifier.
Note: Many sponsors assign their own identifiers to proposals, especially those using electronic systems like NSF FastLane.
Sponsor Name The sponsor name will appear automatically when you enter the Sponsor ID or search for and retrieve a sponsor.
Sponsor Contact Add the programmatic or administrative contact at the sponsor.
Note: If the sponsor can’t be found, use sponsor code 009850 and add enough information in the Sponsor Contact field for SPO to create a record of the new sponsor. If Sponsor ID 009850 “New Sponsor” is used, Sponsor Contact information must be completed. [required]
CFDA Number Add the CFDA number for federal sponsor if known.
Solicitation/RFP Add the sponsor program identification number (e.g, NIH PA-13-123, NSF 13-123, BAA-13-001) if known or applicable, and attach a copy of the RFP or program announcement in the Attachments and Notes tab. If not applicable or available, enter n/a. [required]
Opportunity Title Add a URL and the title of the program announcement. Also attach a copy of the RFP or program announcement in the Attachments and Notes tab.
Sponsor Deadline Type Select the type of deadline (e.g., no deadline, postmark, receipt). [required]
Sponsor Deadline Date Select the date from the calendar or type it in using mm/dd/yyyy format. [required to submit to SPO or IAO if Sponsor Deadline Type is Postmark or Receipt]
Local Time of Deadline

Add deadline time in Pacific Time if applicable.

This proposal includes subawards Check if your proposal has subawards.
Note: See Subaward Set Up and Monitoring for information.
Target Date Add a date in the Target Date field if there is no set Sponsor Deadline Date, or you wish to request an earlier submission date due to special circumstances involving the Principal Investigator. If this is a subaward proposal, add the agency sponsor’s deadline as the Sponsor Deadline Date and add the lead institution’s internal proposal review deadline as the Target Date.
Departmental Pre-Award Contact Add the department or unit contact person.
Departmental Post-Award Contact Add the department or unit contact person.
Mail By Select SPO/IAO Review - Department to Submit, or SPO/IAO Review - SPO/IAO to Submit. [required]
Type Select Electronic or Hard Copy. [required]
Mail Account ID  
Number of Copies If SPO or IAO is mailing printed copies, add the number required by the sponsor.
Mailing Name and Address  
Mail Description If SPO or IAO is mailing your proposal, add the name, address, and other pertinent contact information to the Sponsor Contact field above. Add any additional details related to mailing, such as “We need certification of receipt,” to the Mail Description field.

Key Persons tab

Add Key Persons

The Key Persons tab is used to enter Principal Investigator, Co-Principal Investigator(s), and Key Person(s) on your proposal. You must enter the Principal Investigator before you can submit your proposal to SPO or IAO. Only one Principal Investigator is allowed. You can add Co-PIs from other departments, including departments not using Phoebe.

  • For multiple-PI NIH and AHRQ proposals, designate the lead investigator as PI/Contact, then add additional investigators as Co-PIs and check the Multiple PI box for each.
  • Anyone needing to answer the certification questions should be entered as a Co-PI/Fellow rather than a Key Person.
  • For postdoctoral fellowships, the applicant should be designated as a Co-PI/Fellow rather than a Key Person to ensure the fellow’s involvement in certification and routing.
  • For graduate student fellowships (e.g. NSF Doctoral Dissertation Improvement Grants), the applicant should be designated as a Co-PI/Fellow rather than a Key Person to ensure the fellow’s involvement in certification and routing.

To add a name, click the magnifying glass search next to UCB Person Search on the Add Key Person panel. This will open a search panel. When you have a name or list of names, click “return value” in the left-column on the name you want. You should be returned to the main Key Persons tab, where you can select a role of Principal Investigator, Co-PI/Fellow, or Key Person from the drop-down menu.

Until full integration with the campus directory is complete, faculty, postdocs, or other key persons who have not submitted proposals before or are new to the campus may need to be added manually by SPO. If the person cannot be found in Phoebe, send email to phoebe-help@lists.berkeley.edu with the person’s CalNet Directory UID, full name, primary home department, and affiliation (e.g., faculty, postdoc) to get them entered in the system.

To create CalNet accounts for faculty and postdocs not yet employed by the campus, please contact your department HR staff. See Guidance for Key Persons Not Yet Hired at UC Berkeley for more information.

If you add a Key Person, you will also need to add a Key Person role (e.g., researcher, postdoc, collaborator) in the text box.

Make sure you click the Add Person button to add the PI and each additional Key Person.

Add Key Person Information

If you want to add additional information about a key person you have added, click the Show button next to the name. You may then enter optional contact information and a title for the person, or change the Key Person role.

Delete Key Person

To delete a Key Person that you have added to the proposal, click the checkbox next to the name, then click the Delete Selected button on the bottom of the screen.


Special Review tab

The Special Review tab is used to enter information if your proposal requires additional review by an institutional committee or official (e.g., proposals that include the use of human participants in research) or other compliance-related issues or special permissions that may be relevant to the project. You do not need to use this tab if your proposal does not have any special-review items.

After you have entered the two required fields and any other known information about each specific special-review item, click the Add button on the right to add the item. If you have more than one protocol or other item of the same type, add them all separately. You can either delete or continue to edit special review items while you are working on your proposal.

Field Name Description
Type Select from the following: Human Subjects, VCR third priority/late exception, Financial disclosure, Select agents, Stem Cell Research Oversight, Principal investigator exception - individual, Principal investigator exception - continuing, NIH Genomic Data, National Environmental Policy Act (NEPA), After-the-fact: Proposal not submitted through SPO, Animal Care and Use. (Please note that IAO IP Review is primarily for use by SPO/IAO.) [required if adding a special-review item]
Approval Status Select from the following: Approved, Exempt, Not applicable, Not yet applied, Pending review; if Financial disclosure, select Negative or Pending review. [required if adding a special-review item]
Protocol Number Add number if known.
Application Date Select the date from the calendar or type it in using mm/dd/yyyy format.
Approval Date Select the date from the calendar or type it in using mm/dd/yyyy format.
Expiration Date Select the date from the calendar or type it in using mm/dd/yyyy format.
Comments Add additional comments or other explanation.

Questions tab

The Questions tab in Phoebe includes compliance and other questions needed for department and SPO or IAO proposal review, similar to the questions found on the Proposal Review Form. Initially, only a few questions are available, with a yes/no choice. If you answer yes, additional sub-questions will open on the screen. You must complete the Questions tab before you can submit your proposal to SPO or IAO.

To fill out the questions, click the Show button on the General Questions panel. You will see four questions that must be answered either yes or no. Depending on your answer, you may then have additional questions to answer and may also need to provide additional information in a text box. When you are done, you can click the Save button on the bottom of the screen and you should see the panel change from (Incomplete) to (Complete).

See Preparing Your Proposal: Questions Tab for the text of the questions and some links to guidance.


Attachments and Notes tab

Attachments panel

Use this panel to upload your proposal files. PDF is preferred.

Do not split the proposal into multiple components without first consulting with your SPO Contract and Grant Officer (CGO) or IAO representative about how to best accomplish this task. Note: Certain documents (i.e., Subrecipient Commitment Form) are meant to be separate and have designated attachment types. See below for additional guidance.

One of the “Complete proposal” attachment types should always be used unless SPO will review the proposal within the sponsor’s portal ( i.e., NSF Fastlane, NIH ASSIST, NASA NSPIRES ). Phoebe will show a warning message on submission of most proposals if a “Complete proposal” attachment is not included.

  • If your proposal can be attached as one PDF file (e.g., Grants.gov) and the technical portion is in draft form, upload it to the Attachments panel using “Complete proposal (w/DRAFT technical)” as the attachment type.
  • If your proposal can be attached as one PDF file (e.g., Grants.gov) and the technical portion is in final form, upload it to the Attachments panel using “Complete proposal (w/FINAL technical)” as the attachment type.
  • If your proposal resides on an external system that has different components instead of one PDF (e.g., proposalCENTRAL), create a PDF with all the relevant forms and sections, and upload that PDF to the Attachments panel using one of the two “Complete proposal” attachment types.
  • NSF: If your proposal is being submitted through NSF FastLane, no attachment is needed, unless required by the administering unit. Provide the NSF-assigned ID number in the Sponsor Proposal ID field on the Proposal tab.
  • NIH: If your proposal is being submitted through NIH ASSIST, no attachment is needed, unless required by the administering unit. Provide the NIH-assigned ID number in the Sponsor Proposal ID field on the Proposal tab.
  • NASA: If your proposal is being submitted through NASA NSPIRES, no attachment is needed, unless required by the administering unit.

Attach a copy of the RFP or program announcement, if available, using “Solicitation/RFP” as the attachment type, with a URL or source for the RFP in the Description. Also provide the Solicitation/RFP number and Opportunity Title and URL on the Proposal tab.

Other types of possible documents in the Attachments panel include documentation about or from subcontractors (i.e., the Subrecipient Commitment Form), cost sharing commitments, exceptional PI/PD status documentation, and non-standard F&A rate justification. For example, if the sponsor has an established indirect-cost policy lower than the UCB standard F&A rates, you will need to provide a copy of the published policy.

For National Institutes of Health proposals submitted through Phoebe, NIH Principal Investigator Assurance Certification Forms are not required. However, for NIH Ruth L. Kirschstein National Research Service Award (NRSA) proposals, NIH NRSA Fellowship Assurance Certification Forms are required to be submitted as attachments in Phoebe.

Person Attachments panel

Use this panel to upload financial disclosure documents and other documents directly relating to the PI and/or other Key Person(s). For each attachment, use the Person drop-down menu to select the PI or other Key Person you have added on the Key Persons tab, then select an Attachment Type, add any description, upload your document, and click the Add button.

Notes panel

Use the Notes panel to communicate anything of importance about your proposal to SPO or IAO.


Financial tab

Field Name Description
Dept ID Add your 5-digit Dept ID (formerly Org Code) from BFS. [required to submit]
Note: See BFS Chart of Accounts Structure and Values for information.
Program Select program type (e.g., 44 Organized & Sponsored Research, 40 Instruction & Departmental Research) from the drop-down menu. [required to submit]
ChartField1 Add 6-character ChartField1 (formerly Project) from BFS.
ChartField2 Add 5-character ChartField2 (formerly FlexField) from BFS.
Total amount requested Add your total budget request. [required to submit]
Where will the work for this project be conducted? Select on campus or off campus from the drop-down menu. [required to submit]
Note: An on-campus project is conducted using UC Berkeley facilities. An off-campus project is conducted at facilities not owned and or leased by the University, or the project is conducted in leased space and lease costs are directly charged to the project.
IDC Rate Select UCB standard, sponsor’s, or vital interest requested from the drop-down menu [required to submit]; add the rate (e.g., 57 for standard rate) [required to submit]; and add the base type (e.g., MTDC).
Note: see Facilities and Administrative (Indirect Cost) Rates for information

Permissions tab

If others need to be able to work on a proposal, use the Permissions tab to search for that person and assign a proposal role to them. The Aggregator role should be used if the person needs full access to edit the proposal. You may add others as additional aggregators; do not remove yourself while doing this.

If you want the PI, Co-PI, or others associated with proposal to be able to make changes to the proposal in Phoebe before it is submitted, you will need to add each person as an aggregator. This way, multiple people will be able to work on the proposal.

Most of the other roles shown pertain to functionality that is not yet available in Phoebe.


Proposal Summary tab

The Proposal Summary tab provides high-level information about the proposal from information completed on other tabs.

When the PI, co-PI, and chair, dean, or director are approving the proposal, the Proposal Summary tab also provides certification language and the option to approve or return the proposal.


Proposal Actions tab

The Proposal Actions tab includes several panels and buttons that allow you to perform functions related to your proposal or others. When you are working on a proposal, you can validate and check for errors, cancel a proposal, copy a proposal, see who has worked on a proposal and what steps need to be taken next, route a proposal to others, and submit or approve a proposal. To use each panel, click the Show button next to the panel name.

Data Validation

You can use the Data Validation panel to turn on a validation check to determine any errors or incomplete information. Phoebe will also automatically validate for errors when you submit your proposal for approval. Phoebe will check for the following:

  • errors that prevent submission
  • warnings that serve as alerts to possible data issues but will not prevent submission

If errors are found, new panels will appear listing each specific error and warning. If you click the Fix button by an error, you will be taken to the screen with the Phoebe proposal area to be fixed. When you fix the issue and click Save, you will be taken back to the Proposal Actions tab where you can continue working.

Note that warnings are only alerts for potential issues that you may or may not choose to fix or change. You can submit your proposal when there are warnings but no errors.

Copy to New Document

When you want to work on new proposal similar to an existing Phoebe proposal, you can create a copy. You can then edit the copy, changing all fields as needed. You will be required to select a Lead Unit, and you can chose whether or not you want to include the Questions responses and attachments from the original proposal.

Route Log

The Route Log shows past and future action requests. You can see who has worked on and who has approved or is next to approve your proposal. The Route Log (or Log) is also available in the right column of your Action List and when you use Doc Search.

Ad Hoc Recipients

You can use this panel to route your proposal to any person in Phoebe for actions in addition to the normal routing (see Future Action Requests(s) in the Route Log). Select the type of action from the drop-down menu (see below for descriptions), look up and select the person, and click the Add button. When your proposal is submitted to SPO or IAO, the ad hoc recipient(s) will receive the proposal in their Action List for the specified action prior to any other recipients.

The three types of Ad Hoc routing are:

  • Approve (For your approval): The recipient will be required to open the proposal and view at least the summary screen and then approve (or disapprove) the proposal.
  • FYI (For your information): Proposals routed FYI do not require review or response. The recipient will select “FYI” from the Take Action drop-down menu in the Action List.
  • Acknowledge (For your acknowledgement): The recipient will be required to open the proposal, navigate to the Proposal Actions tab, and click the Acknowledgement button.

After a proposal has been submitted to SPO or IAO, PIs, other approvers, and others with access to the proposal will be able to route the proposal to additional ad hoc recipients by using the panel and then clicking the Send Ad Hoc Request button at the bottom of the screen.

Phoebe provides the ability to route proposals to groups such as all administrators in a unit using Ad Hoc Recipients. Please do not use the Ad Hoc Group Requests during this phase of the Phoebe pilot.

Proposal Action Buttons

At different points in the life of a proposal, you may see the following buttons at the bottom of the Proposal Actions screen. Some buttons are only available when preparing a proposal, some are only available to approvers. (Note that Disapprove is a final action that will prevent the proposal from being revised and moving forward in the approval process.)

  • Submit
  • Save
  • Reload
  • Close
  • Cancel
  • Send Ad Hoc Request
  • Recall
  • Return
  • Acknowledgement
  • Complete
  • Approve
  • Disapprove