Phoebe Proposal

All Phoebe Proposal Components

• Proposal
• Key Persons
• Special Review
• Questions
• Attachments and Notes
• Financial
• Permissions
• Proposal Actions

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Proposal tab

The Proposal tab is the first screen you see when creating a new MTA/DUA request and includes much of the basic MTA/DUA request information. In order to save a new MTA/DUA request, 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 MTA/DUA request. When you first save your MTA/DUA request, a Phoebe number will be generated and appear in the top left under Action List.

Field Name	Description
Proposal Type	Select the type Material or Data Transfer. [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, applied research). [required]
Project Period	Select the start date and end date from the calendars or type in the dates using mm/dd/yyyy format. The start date is that date the researcher plans to start using the materials, and the end date should reflect how long the researcher plans to use the materials (maximum of 10 years). [required]
Project Title	The MTA/DUA request title should be a description of the materials, for example, “Bacterial plasmid DNA (pABCD123.4 vector) containing human ABCDE2, plasmid ID: HsAB12345678.” [required]
Prime Sponsor ID	N/A
Sponsor Proposal ID	If the provider assigns a number to the Material Transfer Agreement or Data Use Agreement, add the sponsor-assigned MTA or DUA identifier.
Sponsor Name	The provider name will appear automatically when you enter the Sponsor ID or search for and retrieve a sponsor.
Sponsor Contact	Add the provider’s technology transfer and research scientist (if available) contacts (name, email, phone number).
CFDA Number	N/A
Solicitation/RFP	This is not applicable, enter n/a. [required]
Opportunity Title	N/A
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 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	N/A
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.
Departmental Pre-Award Contact	Add the department or unit contact person (This is usually the material requester - lab manager, grad student, postdoc, PI, etc.).
Departmental Post-Award Contact	Add the department or unit contact person (This is usually the material requester - lab manager, grad student, postdoc, PI, etc.).
Mail By	Select SPO/IAO Review - SPO/IAO to Submit. [required]
Type	Select Electronic or Hard Copy. [required]
Mail Account ID	N/A
Number of Copies	N/A
Mailing Name and Address	N/A
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.

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Key Persons tab

Add Key Persons

The Key Persons tab is used to enter Principal Investigator on the MTA or DUA. You must enter the Principal Investigator before you can submit your MTA/DUA request to IAO. Only one Principal Investigator is allowed.

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Special Review tab

The Special Review tab is used to enter information if the MTA or DUA requires additional review by an institutional committee or official (e.g., MTAs that include the use of human participants in research, or DUAs that require special data security or a data management plan) 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 MTA 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. You can then either delete or continue to edit the item while you are working on your MTA/DUA request.

For an MTA, if the research using the material requested in the MTA has already been approved by the cognizant committee or office (such as ACUC/OACU, CPHS/OPHS, SCRO), please upload the applicable approval letters in the Attachments and Notes tab.

If the PI has a financial conflict of interest with the provider, a Statement of Economic Interests for Principal Investigators (Form 700-U) needs to be uploaded to the Attachments and Notes tab. The 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.

Field Name	Description
Type	Select from the following: Human Subjects, Animal Care and Use, Financial disclosure, Select agents, NIH Genomic Data, Principal investigator exception - individual, Principal investigator exception - continuing, National Environmental Policy Act (NEPA), Stem Cell Research Oversight. [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.

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Questions tab

The Questions tab in Phoebe includes compliance and other questions needed for department and IAO MTA/DUA request review, similar to the questions found on the prior paper-based forms. Depending on the type of material or data you are requesting, additional sub-questions will open on the screen. The Principal Investigator or Lab Manager must complete the Questions tab before you can submit your Material Request to IAO.

To fill out the questions, click the Show button on the General Questions panel. See Preparing Your MTA/DUA Request: Questions Tab for the text of the questions and some links to guidance.

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Attachments and Notes tab

Attachments panel

Use this panel to upload your MTA/DUA request files. Unsigned Word documents are preferred.

• Attach a copy of the provider’s Material Transfer Agreement or Data Use Agreement, and select “Material/Data Transfer Agreement” as the file type.
• Attach a copy of any compliance documents, such as a CPHS protocol approval letter, or Data Management Plans, and select “Compliance Documents” as the file type. Please specify the type of document you are uploading.
• Attach a brief description of how the materials or data will be used and select “Other” as the file type. For the description, add “Description of material use” or equivalent.

Person Attachments panel

Use this panel to upload financial disclosure documents and other documents directly relating to the PI if required. For each attachment, use the Person drop-down menu to select the PI, 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 MTA to IAO.

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Financial tab

Field Name	Description
Dept ID	Add your 5-digit Dept ID (formerly Org Code) from BFS. [required to submit] Note: See Controller’s Office 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. For MTAs and DUAs, this is usually $0. [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 and add 0% (IDC is not assessed on MTAs or DUAs). [required to submit] note: see Facilities and Administrative (Indirect Cost) Rates for information

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Permissions tab

The Principal Investigator (PI) and Co-Principal Investigator(s) will have full access to view and make changes to the MTA/DUA request. If others need to be able to work on an MTA/DUA request, use the Permissions tab to search for that person and assign a role to them. The Aggregator role should be used if the person needs full access to edit the MTA/DUA request. You may add others as additional aggregators; do not remove yourself while doing this. This way, multiple people will be able to work on the MTA/DUA request.

If the material requestor is not the PI or Co-PI, add that person (lab manager, etc.) as the aggregator so that they will have full access to the Phoebe record and can answer the Questions tab, Special Review tab, and provide any other important or pertinent information to the Phoebe record.

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Proposal Summary tab

The Proposal Summary tab provides high-level information about the MTA/DUA request from information completed on other tabs.

When the PI is approving the MTA/DUA request, the Proposal Summary tab also provides certification language and the option to approve or return the MTA/DUA request.

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Proposal Actions tab

The Proposal Actions tab includes several panels and buttons that allow you to perform functions related to your MTA/DUA request or others. When you are working on an MTA/DUA request, you can validate and check for errors, cancel the record, copy a record, see who has worked on an MTA/DUA request and what steps need to be taken next, route a record to others, and submit or approve an MTA/DUA request. 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 MTA/DUA request 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 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 MTA/DUA request when there are warnings but no errors.

Copy to New Document

When you want to work on new MTA/DUA request similar to an existing Phoebe record, 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 MTA/DUA request.

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 MTA/DUA request. 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 MTA/DUA request 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 MTA/DUA request is submitted to IAO, the ad hoc recipient(s) will receive the MTA/DUA request 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 MTA/DUA request and view at least the summary screen and then approve (or disapprove) the MTA/DUA request.
• FYI (For your information): MTA/DUA requests 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 MTA request, navigate to the Proposal Actions tab, and click the Acknowledgement button.

After an MTA/DUA request has been submitted to IAO, PIs, other approvers, and others with access to the MTA/DUA request will be able to route the MTA/DUA request 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 an MTA/DUA request, you may see the following buttons at the bottom of the Proposal Actions screen. Some buttons are only available when preparing an MTA/DUA request, some are only available to approvers. (Note that Disapprove is a final action that will prevent the MTA/DUA request 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