Sponsored Projects Office, University of California, Berkeley
Proposal Checklist for Principal Investigators
Issues to Consider When Applying for Funding
Issue
Action
Proposal Package
box 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.  
 
box 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.  
 
box Collaborative Subagreement(s) If a proposal includes a collaboration with an outside entity, the potential subawardee must provide a an institutionally endorsed Subrecipient Commitment Form, statement of work, budget and budget justification, and other material, depending on the nature of the agreement. See Subaward Set Up and Monitoring procedures. One copy of Subrecipient Commitment Form, statement of work, budget and budget justification, and other required forms and documents from each subawardee(s).
box 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.
box 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.  
box 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. 		 
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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.
box Federal Contract Amounts >$650,000 Small Business Utilization Required When a federal contract proposal exceeds $550,000 up to 10/1/2010 and $650,000 effective 10/1/2010 and later, the PI must work with the Campus Supplier Diversity Program Coordinator to develop a Small Business Subcontracting Plan included in the package submission to SPO. One copy of the following: Master Subcontracting Letter signed by Supplier Diversity Program Coordinator and the PI; Master Subcontracting Notice to the Federal Agency signed by the Supplier Diversity Program Coordinator; Addendum A: Plan detail; and Addendum B: Potential Small Business Vendors list.
box 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 Federal Financial Disclosure form. One copy of each Federal Financial Disclosure for NSF, PHS, or other agencies that have adopted the federal requirements.
box Human Stem Cells Research involving human stem cells must have the approval of the Stem Cell Research Oversight Committee (SCRO).  
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Human Subjects

 

 Research involving human subjects must have the approval of the Committee for Protection of Human Subjects (CPHS). Submit protocol to CPHS.

box 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.  
box 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.  
box 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.  
 
box 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.
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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.

 
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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.
box Space - New or Renovated Chairs/directors must approve plans to build new or renovate existing department space. Provide cost estimate on PRF.
box 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.  
box 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 of the following:
  • One copy of signed original or scanned concurrence letter(s), or
  • An email clearly describing the commitment from the third party sent directly to the SPO RA, or
  • An email clearly describing the third-party commitment forwarded to the SPO RA by the PI/Dept with a “Cc” to the third party.
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    Proposal Submission
    Item
    		Description
    What and When to Submit
    box 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.
    box 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 or more working days before agency deadline (see VCR Policy on Late Proposal Submissions to SPO).
    box Proposal Prepare proposals according to sponsoring agency guidelines. One copy, with original signed Proposal Review Form.

    Submit: Five or more working days before agency deadline (see VCR Policy on Late Proposal Submissions to SPO).
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    Electronic Proposal

    		Follow agency guidelines for electronic submission; check for special computer requirements; plan ahead and allow adequate time for submission.

    Grants.gov "Apply" at Berkeley
    proposalCENTRAL at Berkeley    		 One printed copy, and original signed Proposal Review Form, in addition to electronic submission

    Quick Guide to Proposal Review and Submission: Electronic Proposals
    NSF FastLane Proposal Submission to SPO
    Special Instructions for NIH Grant Proposals

    Submit: Five or more working days before agency deadline (see VCR Policy on Late Proposal Submissions to SPO).
    box 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.
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