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Instructions |
Overview The Proposal Review Form (PRF) must be completed, signed and submitted with every proposal. Do not omit any sections of the PRF that apply to the project as this could delay processing and approval of the proposal. If you have any questions about how to fill out a particular section of the PRF contact your SPO or IAO representative. To submit an “on time” proposal for review deliver the PRF form, the hard copy proposal (and electronic if applicable), and all required documentation to the Sponsored Projects Office or Industry Alliances Office at least five full business days prior to the Sponsor’s deadline. Note: Hard copies of NSF FastLane proposals and supplements are not required by SPO; see NSF FastLane Proposal Submission to SPO. All late proposals must be approved by the VCR. See the Vice Chancellor for Research Policy on Late Proposal Submission Policy for instructions on how to obtain a Late Proposal Exception. |
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VCR Five Day Proposal Submission Policy Proposal Tip: Contact your SPO RA to check for high volume proposal deadlines and submit your proposal early to avoid submission delays! |
Deadline Box 1. Agency Deadline. Please provide the deadline information for the program you are applying to. SPO will need to know the submission date, time (Pacific time), and method of submission as required in the program announcement. Please use “Target Date” field if there is no set Agency Deadline, or you wish to request an earlier return date due to special circumstances. NOTE: If this is a subaward proposal, please include the Agency Sponsor’s Deadline as the “Agency Deadline” and the Lead Institution's internal proposal review deadline as the “Target Date” in the Deadline box. 2. DRAFT technical section. Please indicate if you are planning to submit a draft technical section in accordance with the VCR Policy on Late Proposal Submissions, and include the deadline for submission of the final technical section. This date/time must be arranged with your SPO representative. |
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Proposal Tip: For BFS chartfield information you may need to consult with your department. |
Principal Investigator Information: Each UC Berkeley proposal must have a designated Principal Investigator (PI) that either holds automatic PI Status through a Qualifying Title (see FAQ), or by Exception. Please provide the requested information for the PI, Academic Unit, and Administrative Unit that will be responsible for the conduct of the project. Unless otherwise indicated, all fields in this section must be completed. |
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Proposal Tip: Always include a copy of the program announcement or a weblink to the program page with your proposal. |
Sponsor Information Agency Sponsor. Please indicate if this proposal is being submitted directly to the Agency Sponsor, or if this is a subaward proposal that will be included as part of the Lead Institution’s proposal. Agency Sponsor information is required for all proposals, however not all fields may apply to the program you are applying to. At minimum you must provide the Agency Sponsor’s name and the Program Name/Solicitation Number. Please complete all other fields as applicable to your program. Lead Institution: If this is a subaward proposal, please provide the requested information as available. NOTE: When available, Agency Contact information should always be included with proposals submitted to IAO for review. |
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Proposal Tip: Allowable costs vary between sponsors. Always review the program announcement for agency specific requirements and formatting. |
Project Type and Budget 1. Proposal Type. This is a required field. Please provide all information requested. For BFS chartfield information you may need to consult with your department. The information requested in this section will help to identify what type of project you are proposing and assist you with determining the correct Indirect Cost Rate for your project. 2. Indirect Cost Rate. This is a required field. Please provide all information requested. IDC is also commonly referred to as Indirect Costs, Overhead, Facilities & Administration (F&A), or General & Administrative (G&A). Any deviation from the Standard UCB Rate requires an exception to University policy. If you are using the Sponsor’s rate, and it is not published either in the program announcement or on the Sponsor’s website, please check with your SPO representative prior to submitting the proposal for review. 3. This budget includes outgoing subawards. This is a required field. A subaward is an agreement with a third-party organization performing a portion of a UC Berkeley research project or program. (This does not include vendors that commonly provide goods and services). Please list each subaward, and provide a subrecipient commitment form for each. 4. Please check any applicable special financial commitments that are included in the project budget. See Cost Sharing Basics and Program Income guidance for more information. 5. Budget prepared by. This is an optional field. Complete per departmental guidelines. |
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Committee for Protection of Human Subjects Stem Cell Research Oversight Committee Office of Environment, Health & Safety Conflict of Interest Committee Proposal Tip: Consult with EH&S on proposals involving projects that will require significant space and/or laboratory alterations. |
Compliance and Special Review Projects involving the use of human subjects, vertebrate animals or custom antibodies, hazardous or controlled substances, or certain other materials must have the approval of the appropriate campus committee. This section of the PRF must be completed by the PI or someone with direct technical knowledge of the project. By signing this form, the PI and Academic Unit representatives are certifying that this section is correct and complete. “Per” signatures should only be used under exceptional circumstances, and are not acceptable unless an approved signature delegation is on file in SPO or a similar letter is provided by the signatory and accompanies the proposal. The designee must have faculty status. Vertebrate animal subjects or custom antibodies Human subjects Human stem cells in research Environmental health and safety issues Use of regulated carcinogens; use of regulated biological materials (recombinant DNA; organisms causing human illness; human blood, body fluids, and tissues); management and/or disposal of hazardous chemicals, radioactive waste, or medical waste; Toxic gases; Radioactive materials and radiation-producing machines, use of Class III-B or Class IV lasers. Materiel Management, 642-0407 Diving Control Board, Division of Diving Control, 642-1298, ucbdiver@berkeley.edu, http://pe.berkeley.edu/scubadiving Scientific diving and/or use of small boats (<26 feet in length) for research. Select agents List of select agents: http://rac.berkeley.edu/bioagents.html. The federal Public Health Security and Bioterrorism Preparedness Act of 2002 and the USA PATRIOT ACT require the registration of certain biological and chemical agents. Disclosure of financial interest National Science Foundation and the Public Health Service (including the National Institutes of Health) or other agencies that have adopted the federal requirements (UC Discovery Grants, UCOP Special Research Programs, the American Heart Association, and the American Cancer Society) require financial disclosure of their applicants. A Federal Financial Disclosure form must be completed and signed by each member of the research team who meets the federal definition of investigator, then submitted with the proposal to SPO. |
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Proposal Tip: Provide information on Key Personnel only, not all project personnel. |
Key Personnel This is a required section. Please list all Key Personnel and specify their role on the project (eg. Co-PI, Collaborator, Fellow and not their job title). Specify how much effort each Key Person will devote to the project, how much effort will be charged to the project, and how much effort has been committed as cost share in the proposal. Attach Expanded Personnel Forms as needed. Faculty that will require release time from teaching to fulfill their effort commitment must indicate this, and include an approval letter signed by the appropriate Department Chair or Dean. (Sabbatical leave is considered release time.) NOTE: This table is intended for Key Personnel only, not all project personnel. Key Personnel include the PI and other individuals who contribute to the scientific development or execution of a project in a substantive, measurable way, whether or not they receive salaries or compensation under the grant. These individuals take part in the decision-making process and have an active role in the design and execution of the project. Consultants also may be considered key personnel if they meet this definition. Named Collaborators. Check box if applicable. Collaborators include both individuals and organizations that are providing expertise, materials, or access to facilities that are neither freely available to the public nor available for a fee. You will be required to provide one of the following from all named collaborators that do not currently hold a UCB appointment prior to SPO approval of the proposal.
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Proposal Tip: Is the PI going to be unavailable at submission time? Use the comment box to list a backup contact for SPO if technical questions arise. |
Administrative Unit Contact Information Please provide proposal and award contact information for your Administrative Unit. You are required to provide at least one contact. Check with your department to see who should be listed. |
Guidance for Review of Proposals by Deans, Directors, and Department Chairs Proposal Tip: It is not necessary for all signatures on the PRF or ESP to be original wet ink signatures. Faxed or scanned copies of signatures are acceptable. Do not use electronic signatures because they cannot be accepted by SPO. |
Authorizing Signatures Principal Investigator/Co-Principal Investigator: By signing this form the PI and Co-PI are certifying that the information contained in the proposal is accurate and that they will accept responsibility for the management of the project, including the monitoring of any sub-awards, if the proposal is funded. Faxed or scanned copies of signatures are acceptable. Do not use electronic signatures. PI’s Chair/Director: By signing this form the Chair/Director is certifying that they have reviewed the proposal and all sections of the PRF and that all commitments listed (personnel effort, voluntary and mandatory cost share, and facilities obligations) are approved. The Chair/Director is responsible for ensuring adequate administrative oversight of the project, including all applicable compliance issues. PI’s Dean: The signature of the Dean is required in accordance with College policy. NOTE: “Per” signatures should only be used under exceptional circumstances, and are not acceptable unless an approved signature delegation is on file in SPO or a similar letter is provided by the signatory and accompanies the proposal. The designee must have faculty status. Co-PI Requirements: Chair and/or dean signatures for the Co-PI (if different from that of the PI) are not required on the PRF. Please provide the name and contact information for this individual on the PRF, and they will be provided with information about the proposal after proposal submission. PIs and Co-PIs are reminded to ensure that the Chair/Dean of the Co-PI aware of the proposal and any Co-PI department commitments prior to submission because proposals unacceptable to the Chair/Dean of the Co-PI may need to be recalled. |