| Issues
to Consider When Applying for Funding |
|
Issue
|
Action
|
Proposal
Package
|
 |
Agency
and Program Rules and Regulations |
Obtain
sponsoring agency guidelines. Before submitting proposals, contact SPO for
assistance with questions about unusual solicitations or agency policies,
compliance issues, or regulations. |
|
| |
|
|
Animal
Subjects or Custom Antibodies |
Research
involving vertebrate animal subjects or using custom antibodies must have
the approval of the campus Animal
Care and Use Committee (ACUC). Submit protocols to ACUC. |
|
| |
|
|
Collaborative
Subagreement(s) |
If a proposal
includes a collaboration with an outside entity, the potential subawardee
must provide a concurrence letter and an institutionally endorsed proposal. See Subrecipient (Subaward) Guidelines. |
One
copy of concurrence letter(s) and proposal from subawardee(s). |
|
|
|
Cost Sharing |
When a proposal
involves cost sharing with university funds or resources, the person authorized
to commit the funds or resources must provide a statement or letter verifying
that the cost sharing can be honored. |
One
copy of letter or statement. |
|
|
|
Current and Pending Support |
If proposal guidelines require a listing of current and pending support, ensure completeness and accuracy of all elements of the report. |
|
|
|
|
Environment, Health and Safety |
Follow Environment,
Health & Safety (EH&S) guidelines when planning to use any
of the following: regulated carcinogens; regulated biological materials;
hazardous chemicals, radioactive waste, or medical waste; toxic gases;
or
radioactive materials and radiation-producing machines, use of Class III-B
or Class IV lasers.
Follow Materiel
Management guidelines for: narcotics or controlled substances. |
|
|
|
|
Exception
to PI Policy |
Only voting
members of the Academic Senate may serve as Principal Investigator on
a sponsored project. Others may serve only by special exception to policy.
Requests for exception are made by the head of the unit to be administering
the award to the Vice Chancellor for Research. |
One
copy of recommendation letter from unit head. |
|
|
|
Financial
Disclosure |
Disclosure
of financial interest is required for proposals to most non-governmental
sponsors, according to State of California law. The disclosure form is
called the Statement
of Economic Interests for Principal Investigators Form 700-U.
Some nonprofit
agencies are exempt from the financial disclosure requirement; exempt
organizations are listed here. |
Two copies
of Statement
of Economic Interests for Principal Investigators Form 700-U for non-governmental
agency. |
| 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.
Applicants to these agencies must fill out the Conflict
of Interest Checklist. |
One
copy of Conflict
of Interest Checklist for NSF or PHS. |
|
|
|
Human Stem Cells |
Research
involving human stem cells must have the approval of the Stem Cell Research Oversight Committee (SCRO). |
|
|
|
|
Human
Subjects
|
Research
involving human subjects must have the approval of the Committee
for Protection of Human Subjects (CPHS). Submit protocol to CPHS. |
|
|
|
|
Indirect
Costs |
Awards are
funded according the established campus indirect
cost rate. |
|
|
Some sponsoring
agencies do not reimburse indirect costs at the full rate. The university
will honor these exceptions when the organization has written guidelines
or will provide a letter stating agency policy on payment of indirect
costs. |
A
copy of the sponsor's written policy or letter. |
| To
request an exception to the campus policy, a letter requesting a waiver
must be sent prior to proposal submission to the Vice Chancellor for Research,
through SPO. |
|
|
|
|
Major Project |
Whenever a proposal budget to a federal sponsor includes clerical or administrative salaries or other expenses, the proposal must establish that the project being proposed meets the A-21 definition of a “major project.” This must be stated explicitly in the budget justification section of the proposal. |
|
|
|
|
Material
Transfer |
When
research will involve biological materials received from another institution,
the provider's material transfer agreement must be signed by the Industry Alliances Office. |
|
| |
|
|
PI
Release Time |
Department
chairs must approve planned faculty release time if 50% or higher PI effort
is shown in the proposal. |
One
copy of approval letter. |
|
|
|
Scientific Diving and the Use of Small Boats for Research
|
Use of SCUBA equipment for research requires a University permit, issued by the Scientific Diving and Small Boat Safety Board. Boaters are encouraged to follow recommendations and complete training prior to undertaking operations. See the Division of Diving Safety for more information. |
|
|
|
|
Select
Agents
|
Federal
laws require that research institutions collect information regarding certain
select agents and register
their presence with the federal government. When a proposal includes select
agents, SPO will forward a proposal copy to Environment,
Health & Safety. |
One
extra copy of proposal and PRF. |
|
|
|
Space
- New or Renovated |
Chairs/directors
must approve plans to build new or renovate existing department space. |
Provide
cost estimate on PRF. |
|
Space
- Rental |
When a project involves leasing off-campus space, Real
Estate Services Office procedures must be followed. The off-campus indirect
cost rate applies to proposals using rented space. |
|
|
|
|
Third-Party
Commitment(s) |
When
a proposal involves a commitment from a third party to cost share, a letter
of concurrence from the third party is required. |
One
copy of concurrence letter(s). |
|
|
Proposal
Submission |
|
Item
|
Description |
What and
When to Submit
|
|
Proposal
Draft |
For
assistance with agency and university policies, compliance issues, and other
proposal issues, send proposal drafts or sections of proposals (i.e., budgets)
to SPO for review. |
One
copy at least 10 working days before agency deadline. |
|
|
Preproposal/White
Paper/Letter of Intent with Required Institutional Signature |
Some
sponsors require a preproposal as part of the proposal review process. Preproposals
that require an institutional signature are submitted through SPO. |
One copy, with original signed Proposal Review Form.
Submit: Five working days before agency deadline to allow time for SPO
review. |
|
|
Proposal |
Prepare
proposals according to sponsoring agency guidelines. |
One copy, with original signed Proposal Review Form.
Submit: Five working days before agency deadline to allow time for SPO
review. |
|
|
Electronic
Proposal |
Follow agency
guidelines for electronic submission; check for special computer requirements;
plan ahead and allow adequate time for submission.
Guidelines for Electronic Proposal Submissions
Grants.gov "Apply" at Berkeley
proposalCENTRAL at Berkeley
Electronic Research Administration - Agency Links |
One printed
copy, and original signed Proposal Review Form, in addition to electronic submission.
Submit: Five working days before agency deadline to allow time for SPO
review.
Guidelines for Electronic Proposal Submissions: Five working days prior to the agency receipt deadline or SPO cannot guarantee review and successful submission of the application. |
|
|
Proposal
Review Form |
The
Proposal Review Form (PRF) is the internal campus document that authorizes
proposal submission with the signatures of the PI(s), the chair or director,
and dean. |
The fully
signed original with proposal. |