| Proposal Policies |
| Proposal
Submission Policy The Sponsored Projects Office coordinates submission of proposals and acceptance of awards for grants and contracts at the University of California, Berkeley. Externally funded grants and contracts come to Berkeley from many sources, including federal agencies, the State of California, other state and local governments, foundations, and corporations. Employees who receive salary from Berkeley or who use University resources or facilities must submit their proposals for externally funded grants and contracts via SPO. |
| PI
Status Qualified members of Berkeley’s faculty are authorized to serve as principal investigator or project director (PI or PD) and may submit proposals to outside agencies to seek funds for research or other projects. At Berkeley, voting members of the Academic Senate may serve as PI; others may serve only by special exception to policy. Berkeley’s policies on PI status is available here. |
| Internal
Review Each proposal brought to SPO for administrative review and forwarding to a funding agency should be accompanied by a Proposal Review Form. The PRF is Berkeley’s internal review form that authorizes the proposal submission with the signatures of the project’s PI or PD, the administering department’s chair or director, and the appropriate dean. |
| How
to Submit A single review copy of the proposal may be submitted to SPO on paper, on computer disk, or by e-mail. Departments may retain the original-signature proposal until the SPO staff has completed the review. After SPO review and signature, the administering department can submit the proposal directly or can request that the SPO staff mail it. Also see the Proposal Checklist for Principal Investigators. |
| Funding Sources |
|
Berkeley subscribes to the Community of Science (http://fundingopps.cos.com/) and IRIS (http://www.library.uiuc.edu/iris/) funding opportunities databases, that may be used to search or browse program announcements from federal and regional government sponsors, foundations, and other organizations. SPO provides help with searches and runs individual funding searches for Berkeley faculty. The Research Advocate newsletter lists upcoming funding opportunities and keeps the Berkeley research community informed of policy developments nationally and within the University. SPO's web site has additional resources on funding program information: http://www.spo.berkeley.edu/funding.html. |
| Financial Disclosure |
| State
of California law requires disclosure of financial interest in the sponsor
if the proposal is for a research project to be funded by a non-governmental
source. The disclosure form (Statement
of Economic Interests for Principal Investigators—Form 700-U) should
accompany the proposal and Proposal Review Form to the Sponsored Projects
Office. The UC Office of the President maintains a list of exempt
non-governmental entities.
Applicants to the National Science Foundation and Public Health Service agencies (including the National Institutes of Health) must disclose project-related financial interests for themselves and all other project investigators at the proposal submission stage. This requirement also applies to subcontracts from PHS/NIH or NSF 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). See the campus Conflict of Interest Committee web site for more information: http://researchcoi.berkeley.edu/. |
| Proposal Preparation |
| Format
If the funding agency does not provide forms or other guidelines, the proposal should include such items as a cover page, an abstract, a technical narrative, a budget and budget justification, and a curriculum vitae and list of recent publications for the PI. |
| Budget
The proposal budget should be organized to fit the existing University of California sub-budget categories for direct costs: salaries, employee benefits, supplies and materials, equipment, etc. Include indirect costs as a dollar amount separate from the total direct costs. Cost sharing or matching should be specified in the budget if required by the funding agency. See Proposal Budget Basics for more information. |
| Indirect Cost Rates (Facilities and Administrative Cost Rates) |
| Salary and Benefit Projections |
| Standard Proposal Information | |
| Type of institution: | public, nonprofit educational institution exempt under Section 501(c)(3) of IRS code |
| Institutional name and address: | The Regents of the University of California c/o Sponsored Projects Office 2150 Shattuck Avenue, Suite 313 University of California, Berkeley, CA 94704-5940 |
| IRS employer identification number: | 94-6002123 1946002123A1 (12-digit version) |
| Institutional Review Board (IRB) Federal Wide Assurance number: |
Committee for the Protection of Human Subjects FWA00006252 |
| Institutional Animal Care and Use Committee (IACUC) Animal Welfare Assurance number: |
Animal Care and Use Committee A3084-01 |
| Dun and Bradstreet DUNS numbers: | 12-472-6725 (Berkeley campus) 00-398-5512 (Office of the President) |
| County: | Alameda |
| Political districts (Berkeley campus): | U.S. Congressional District: 9th State Assembly District: 14th State Senate District: 9th |
| Cognizant federal audit agency: | Douglas Szucs, Audit Manager HHS Office of Inspector General, Office of Audit Services 90 - 7th Street, Suite 3650 San Francisco, CA 94103 415/437-8360 |
| Contract and grant officer: | check with SPO representative Sponsored Projects Office 2150 Shattuck Avenue, Suite 313 University of California, Berkeley, CA 94704-5940 510/642-0120 (telephone), 510/642-8236 (facsimile) |
| Checks should be made payable to: | The Regents of the University of California |
| Checks for contracts or grants should be sent to: |
Extramural Funds Accounting ATTN: John Ellis, Interim Director 2195 Hearst Avenue, Room 130 Mail Code 1103 University of California Berkeley, California 94720-1103 |
| North American Industry Classification System (NAICS): | Code Number 61131 |
| Contractor Establishment Code (CEC): | 87-402-396D |
| Federal Interagency Committee on Educational Institutions (FICE) code: | 001312-8 |
| Commercial and Government Entity (CAGE) code: | 50853 |
| Executive Order 12372: | Applications for a specified list of federal programs must be submitted to the State of California Clearinghouse. See http://www.spo.berkeley.edu/Procedures/eo12372.html. |