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We need your questions to expand the FAQ. Please send your questions, no matter how small, to your SPO Research Administrator. Thank you! If you are having issues using the form, you may need to update Adobe Acrobat Reader on your computer. Google Chrome has issues with Adobe interactive forms. Try using Explorer or Firefox if you are having issues with the forms. |
Proposal Review Form FAQ
What has changed? New Format – Although much of the information has remained the same we have changed the way that the form is organized to be more intuitive, and to communicate information in a more meaningful way. To do this we have expanded the form to two pages in order to accommodate a more readable font size. Also, fields that relate to each other have been grouped together so that administrators and investigators new to proposal submission at UC Berkeley can more easily understand what information we are asking for. Tool Tips – We have added tool tips (or mouse overs) to fields that are commonly misinterpreted, or fields where administrators and investigators may want a quick reminder while filling out the form. Place your cursor over the entry field to see if there is a tool tip (it may take a moment to show up). Drop Down Menus – In several areas we have replaces check boxes with drop down menus. This allows us to provide more categories that may more accurately reflect the nature of the proposed project, while at the same time keeping the form uncluttered and easily readable. Note Fields – It is not possible to create a form that incorporates all possible situations, while keeping it useful for everyday department purposes. To help compensate for this, we have included fields specifically for the PI and the department to communicate additional information as need to SPO and each other. Key Personnel – This is a new field for the PRF and has been added to enable the department and SPO to review the effort commitments of Key Personnel at the time of proposal. As with many fields on the PRF, this is a necessary first step we take to comply with Federal requirements. This does represent a new area of compliance for the University, so we have incorporated this information into the PRF in order to minimize the additional administrative burden on the department. Please note that we only need this information for people listed as Key Personnel, and not all personnel on the project. Addenda – We have created the Expanded Personnel Form to accommodate large projects with more than five Key Personnel. We have also created an Expanded Signature Page for interdepartmental projects, and projects with multiple Co-PIs. What is meant by “Principal Investigator” status? A Principal Investigator is an individual who has been granted the ability to officially solicit or apply for extramural support for research, training, or public service programs or projects in the name of the University with the prior approval of the Board of Regents or an authorized Officer or official of the University. Who has Principal Investigator status? Eligibility to serve as a Principal Investigator is based on the following criteria: Eligibility by Appointment:
Eligibility based on a Specially Designated Title:
Eligibility through exception approved by the Chancellor or his delegated representative:
What is the difference between an on campus and an off campus project? An on campus project is conducted using UC Berkeley facilities. Off campus projects are projects that are conducted at facilities not owned and or leased by the University. If the project is conducted in leased space and lease costs are directly charged to the project then the off campus rate must be used. Indirect costs (or facilities and administrative costs (F&A), or overhead) represent project expenses that cannot be easily identified with any specific sponsored project but are incurred for common or joint objectives related to all sponsored projects at UCB. For example, it would not be feasible to calculate and charge every sponsored project an exact amount for space and utilities used or for the amount of staff time associated with processing payroll for project employees. Instead the university determines a rate to charge all sponsored projects for the use of its facilities and administrative support services. What documentation do I need to provide if I’m not using the standard UCB indirect cost rate? If your agency sponsor has an established indirect cost policy that is lower than UCB’s standard indirect cost rates, you will need to provide a copy of the published policy. If it appears in the program announcement, or the sponsor’s web site, you can just provide a copy with the proposal. If there is no published policy, please contact your SPO research administrator for guidance. In some cases a reduction in the approved F&A rate is possible if the project is viewed as a “vital program.” If you are requesting a campus vital interest waiver for you project, please include a memo outlining the basis for your request with the proposal when you deliver it to SPO. Again, please contact your SPO research administrator for additional guidance. What documents are needed from my subrecipient? UCB requires that the following documents be included in order for a named subrecipient, to be included as part of a principal investigator’s proposal to the sponsor. Proposals will not be endorsed by institutional officials until these elements are on file.
If the prime is a contract:
What is the format for a subrecipient’s proposal? Subrecipient proposal elements are expected to conform to the sponsor requirements for UCB’s prime proposal. PIs are responsible for ensuring that they request all materials from their subrecipients in the correct format. Any exceptions to the requirements outlined above should be discussed with your SPO Research Administrator. If appropriate and acceptable documentation is not provided in a timely manner, SPO may be unable to endorse and submit the proposal. Additional information on UCB’s responsibility’s when issuing subawards is available at the Subaward Set Up and Monitoring page on the SPO web site. Some funding agencies require the grantee institution to demonstrate its financial commitment to the project, or the commitment of other funding sources, by sharing the project costs. Due to the limited resources available to the university, and the added administrative burden to the PI, department, and central accounting offices (EFA), it is University of California policy that cost sharing should be included in a proposal only when the sponsor requires cost sharing as a condition of applying for an award. Cost sharing must be documented in the same way as other charges. Unfulfilled cost sharing commitments or lack of documentation may result in a reduction of costs allowed against the sponsored project and a return of funds to the agency. Who needs to approve my cost share? SPO must confirm that all cost sharing is allowable and approved, so committed cost share in a proposal must be approved by someone with binding authority for the specific funding source. For example, if you are committing departmental 19900 funds it must be approved by the Chair, Director, or Dean. If you are committing funds from another non-federal project grant, you must have approval from the funder. If the PI is committing his own discretionary funds, no additional approval is required. The Sponsored Projects Office (SPO) has been entrusted with the authority, on behalf of the Berkeley campus and the University of California, to certify that contract and grant proposals to government and nonprofit sponsors are consistent with University policies and promises made in proposals can be honored if the grant is awarded. In order to do this we use the PRF as an internal review form and formal documentation of the PI and Administrative Unit’s authorization to submit the proposal to the sponsor. The PRF must have the signatures of the project’s PI or PD, and the Administrative Unit’s Chair or Director, or Dean for SPO to consider the proposal to be approved for submission. Some departments or projects require additional signatures.
Where can I find more information on University policies and procedures? There is a great deal more information available to you about proposing and accepting awards through UCB that you can find on the following web sites, but please always feel free to contact your SPO Research Administrator for guidance.
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