Phoebe Proposal

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.
Agency Program Announcement	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.
Animal Subjects or Custom Antibodies	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 or FDP Expanded Clearinghouse Participant Commitment Form 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)
Cost Sharing	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. For SCUBA see below. (check Yes) Radionuclides, radiation-producing machines, recombinant DNA, and/or lasers? (check Yes or No) SCUBA or small boats? (check Yes or No) (If yes, per EH&S, contact the UC Dive & Boat Safety Consortium for guidance on complying with UC, federal and state policy.) 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, approval will be required from the VCR before the award is set up by SPO.
Export Control Travel outside the U.S with scientific or technical equipment or technical data 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 or technical data; 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 U.S. with scientific or technical equipment or technical data in the course of performing this project? (check Yes or No) (If Yes, Please describe the scientific or technical equipment, including any manufacturer information, and destination country.) Will this project involve in any capacity: persons, entities, or institutions from any of the following countries/regions? Belarus, Burundi, Central African Republic, Cuba, Democratic Republic of the Congo, Iran, Iraq, Lebanon, Libya, Myanmar (formerly Burma), North Korea, Somalia, South Sudan, Sudan, Syria, Ukraine (Crimea, Donetsk, and Luhansk Regions), Venezuela, Western Balkans (Bosnia, Herzegovina, Kosovo, Macedonia), Yemen, Zimbabwe. NOTE: the list is subject to change. Please refer to Sanctions Programs and Country Information. (check Yes or No) Will this project include travel to any of the following countries (including scientific conferences)? Cuba, Iran, North Korea, Sudan, Syria, Ukraine (Crimea, Donetsk, and Luhansk Regions). (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) Will any equipment, materials, technical data, or software be shipped or transmitted to other countries? (check Yes or No) If Yes, describe the scientific or technical equipment, including any manufacturer information, and destination country.) Will this project involve spacecraft or space technology including satellites, rockets, and space qualified scientific instruments? (check Yes or No)
Facilities and Administrative Rate (F&A, Indirect Cost, IDC, Overhead) See Space - Rental for off-campus F&A rate.	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 an F&A waiver, upload an F&A rate exception request from the PI. The request should be addressed to AVCR Kairi Williams.
	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: website 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: Department of Energy (DOE) DOE Federal Financial Disclosure is required for proposals submitted to DOE and subaward proposals (UCB listed as a subaward)	Questions	For all disclosures: The PI is responsible for answering “Yes” or “No” to the screening question on behalf of all UC Berkeley personnel (including the PI) who meet the definition of an investigator and are involved in the proposed project. If any UC Berkeley investigator involved in this proposed project (including the PI) answered “Yes” to the question, list the individuals who meet the definition of investigator on this project.
	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 positive disclosures: Person: Select the proper PI and other investigator(s) (drop-down menu) Attachment Type: select the right disclosure (drop-down menu)
Financial Disclosure: National Aeronautics and Space Administration (NASA), National Science Foundation (NSF) and Other Non-PHS Federal NASA, NSF and Other Non-PHS Federal Financial Disclosure is required for proposals submitted to NSF, other federal non-PHS agencies, and other agencies that have adopted the NSF requirements, and subaward proposals (UCB listed as a subaward)	Questions	For all disclosures: The PI is responsible for answering “Yes” or “No” to the screening question on behalf of all UC Berkeley personnel (including the PI) who meet the definition of an investigator and are involved in the proposed project. If any UC Berkeley investigator involved in this proposed project (including the PI) answered “Yes” to the question, list the individuals who meet the definition of investigator on this project.
	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 positive 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 Federal Financial Disclosure is required for proposals submitted to PHS, and other agencies that have adopted the PHS requirements, and subaward proposals (UCB listed as a subaward)	Questions	For all disclosures: The PI is responsible for answering “Yes” or “No” to the screening question on behalf of all UC Berkeley personnel (including the PI) who meet the definition of an investigator and are involved in the proposed project. If any UC Berkeley investigator involved in this proposed project (including the PI) answered “Yes” to the question, list the individuals who meet the definition of investigator on this project.
	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 positive 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)
Human Stem Cells	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)
NIH Genomic Data Sharing	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) Will large-scale human or non-human genomic data be generated/used from NIH-funded research? See NOT-OD-14-124: NIH Genomic Data Sharing Policy for additional guidance. (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 BRS/Department 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 Capital Strategies. (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 Capital Strategies. (check Yes or No)
Space - Rental Off-campus F&A rate may apply. Check with your SPO contact.	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	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.

Phoebe Proposal

Proposal Checklist for Departments

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