Contents

• Campus Policy on Submission of Extramural Proposals Through SPO
• Proposal Policies
• Sponsored Projects Responsibilities
• Proposal Preparation and Submission
  • Electronic Proposals
  • Hard-Copy Proposals
• Resources

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.

The Sponsored Projects Office serves as the only Berkeley Campus office delegated to propose, accept, or execute extramural awards from government and nonprofit sponsors, on behalf of the Regents of the University of California.
http://www.universityofcalifornia.edu/regents/bylaws/so1004.html

It is the responsibility of the Sponsored Project Office to properly protect the University and to appropriately assist the faculty by ensuring that extramural proposals are consistent with University and sponsor policies.

In order for SPO to meet these responsibilities, complete proposals must be received in SPO at least five (5) working days prior to the date due at the agency (see VCR Policy on Late Proposal Submissions to SPO).

When reviewing proposals the following issues must be considered prior to submission (this is not to be considered an all inclusive list):

• Have all components of the proposal been checked for completeness and accuracy? The PI is responsible for ensuring the completeness and accuracy of all components of extramural proposals. It is the policy of the Sponsored Projects Office to administratively review all aspects of UC Berkeley proposals prior to institutional endorsement for submission to extramural sponsors. Review of PI-committed person-months in the National Science Foundation Current and pending Support Section is a component of the SPO administrative review.
  
  
• Is the individual submitting this proposal an eligible PI? If not, have appropriate approvals been sought? Only qualified members of the Berkeley faculty and academic community are authorized to serve as PI or PD, according to Berkeley Academic Senate policy.
  http://vcresearch.berkeley.edu/principal-investigator-status
  
  
• Has the department or ORU guaranteed the appropriate facilities, infrastructure, and space in order to conduct this project? The signature of the appropriate cognizant dean or director on the Proposal Review Form is required to verify that proposed needs are approved.
  
  
• Does the project involve human subjects, the use of animals, custom antibodies? Have the appropriate protocols been submitted to the oversight committees?
  http://rac.berkeley.edu/compliancebook/introduction.html
  
  
• Does the project involve the use of biohazardous materials? Has Environment, Health & Safety been notified? Do these materials need to be registered and users screened?
  http://rac.berkeley.edu/compliancebook/introduction.html
  
  
• Is there a promise of cost sharing on the proposal? If so, is there documentation of such commitment from an appropriate authorized official?
  
  
• Are subcontractors involved in the projects? Are there a budget and a statement of work from the subcontractor/subawardee? Is there documentation of concurrence by the appropriate officials at the subawardee's organization?
  
  
• Are there any restrictions on the publication of the results of the proposed work? Has the sponsor required that they approve or accept the content of the publications or technical deliverables? The University cannot accept any fundamental limitations on the freedom to publish.
  http://spo.berkeley.edu/Policy/ucmemos/publish.html
  http://www.ucop.edu/research/policies/ucpols.html
  
  
• Is the project intended to be classified, secret or in anyway restricted by the federal government, corporation, or other funding organization? It is against University policy to accept such awards.
  http://spo.berkeley.edu/Policy/ucmemos/publish.html
  
  
• Does the sponsor require that foreign nationals be listed and named at the time of the proposal or award? Is the sponsor asking for a background check on members of the project team? It is the University policy that discrimination in employment based on citizenship is unacceptable.
  http://www.ucop.edu/raohome/cgmemos/00-05.html
  
  
• Does the sponsor insist on ownership of the intellectual property (IP) or the data that results from the research project? The IP and all original data belong to the Regents of the University and cannot be owned by the sponsor.
  http://www.ucop.edu/ott/genresources/pat-pol_97.html
  
  
• Have standard indirect cost rates been applied? If not, have the appropriate approvals been obtained? It is the policy of the University to recover the full costs of doing research. If other than the fully negotiated indirect cost rate is sought, approval must be obtained, from the Office of the President, through SPO. Has that approval been sought and granted?
  http:spo.berkeley.edu/Policy/fa.html
  
  
• Does the sponsor require that the University take on third party liability when undertaking the research activities? The Regents of the University expressly prohibit doing so.
  http://www.ucop.edu/raohome/cgmanual/chap21.pdf (see section 21-430)
  
  
• Does the PI or other key personnel have a potential financial conflict of interest if this project is awarded? If so, have the appropriate disclosures been included with the proposal?
  http://researchcoi.berkeley.edu
  
  
• Does this proposal need to be submitted electronically or by paper? If submission is electronic, has it been prepared properly and does SPO have access to it?
  
  
• Does the total contract value for this federal contract proposal exceed $650,000? If yes, the PI must work with the Campus Supplier Diversity Program Coordinator, Roesia Gerstein rgerst@berkeley.edu to develop and submit a Small Business Subcontracting Plan stating the dollar amounts that the PI and team commit to spend with certain categories of small businesses throughout the course of the contract.
  http://businessservices.berkeley.edu/procurement/diversity/campus

• Prepare proposals according to sponsoring agency guidelines.
• Provide SPO with one original completed Proposal Review Form (PRF) and one copy of the complete proposal.
• Submission to SPO: Five working days before agency deadline.

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.
• Provide SPO with the fully signed original with the proposal.

Electronic Proposals

Proposals submitted through NSF’s FastLane or Grants.gov must be submitted electronically by SPO. SPO also is responsible for submitting other types of electronic proposals if the proposal can only be submitted by an authorized representative of the University.

• Follow agency guidelines for electronic submission; check for special computer requirements; plan ahead and allow adequate time for submission.
• Provide SPO with one original completed PRF and one printed copy in addition to electronic submission.
• For National Science Foundation proposals, see NSF FastLane Proposal Submission to SPO and the chart below.
• For National Institutes of Health grant proposals, see Special Instructions for NIH Grant Proposals and the chart below.
• Submission to SPO: Five working days before agency deadline.

The following matrix quickly shows the different steps for NSF, NIH grants, and other electronic proposals, including subawards.

Some electronic submission systems do not require an authorized representative to submit the proposal. These submissions fall into three basic categories. The following chart describes SPO’s role in each type of submission.

Hard-Copy Proposals

SPO is responsible for reviewing and approving the hard-copy proposal before the proposal is submitted, but it is the responsibility of the PI/Department to mail the hard-copy proposal to the funding agency by the published submission/receipt deadline. If the PI/Department provides a completed and signed FedEx air bill, SPO will submit the proposal via FedEx upon request.

Proposal Checklist for PIs
SPO Web Site: Procedures and Forms
SPO Web Site: Policies