UC Berkeley Policy on Requirement to Submit Proposals and to Receive Awards
The memos below from past Vice Chancellors for Research at UC Berkeley make it clear that all proposals must be reviewed/approved by the Sponsored Projects Office or the Industry Alliance Office prior to submission to the sponsor. Failure to involve the appropriate office can result in the sponsor issuing an award for a project that has not been approved by the institution. Such “after-the-fact” awards risk being declined, and even if the award is accepted, it may be delayed until a corresponding proposal is processed through Phoebe.To avoid this problem, principal investigators are directed to SPO guidance on how to create corresponding proposals for after-the-fact awards.
Memo - Vice Chancellor for Research Office, University of California, Berkeley - February 6, 2006
Sender: Beth Burnside, Vice Chancellor for Research
To: All Academic Titles, Deans, Directors, Department Chairs
Subject: UC Requirement to submit all proposals and to receive all awards for grants and contracts
Since December 1994, it has been University of California policy that all employees who receive any part of their salary through the University, or whose activities use any University resources or facilities, must submit all proposals and receive all awards for extramural support through the appropriate central office, i.e. Sponsored Project Office (SPO) or Industry Alliances Office (IAO). This requirement is necessary to insure that all extramurally funded projects are screened for their compliance with relevant University, state, and federal policies and guidelines, and to insure the appropriate exercise of UCB's fiscal responsibility for all extramural awards.
The purpose of this memorandum is to update and replace the Cerny memorandum of January 3, 1995, implementing the December 15, 1994 UC policy on proposal submission and award acceptance. This policy can be viewed at http://www.spo.berkeley.edu/Policy/grantpolicy.html.
Although this policy remains in effect, there have been an increasing number of cases where faculty have submitted proposals directly to funding sources rather than sending them through SPO or IAO. The authority to implement and carry out the proposal submission policy for the Berkeley campus has been delegated to me as the Vice Chancellor for Research. On behalf of the campus administration, I am writing to strongly reiterate that it is absolutely essential that all UCB faculty and staff comply with UC policy by submitting all grant or contract proposals for extramural funding and accepting all grant or contract awards through SPO or IAO.
Effective immediately, the campus will refuse to accept any grant or contract for extramural funding that has not been appropriately submitted through SPO or IAO. If SPO or IAO receive an award document for a proposal not formally and appropriately submitted through SPO or IAO, the award will be declined. Exceptions may be made only in highly exceptional cases and must be approved in advance and in writing by the Chancellor.
If you have any questions about this memorandum, please contact my office. Thank you, in advance, for protecting Berkeley's research enterprise by helping us make sure that UC, state, and federal requirements are fulfilled.
Vice Chancellor for Research, and
Professor of Cell and Developmental Biology
Memo - Office of the Chancellor, University of California, Berkeley - January 3, 1995
BERKELEY: OFFICE OF THE CHANCELLOR
January 3, 1995
DEANS, DIRECTORS, DEPARTMENT CHAIRS, ADMINISTRATIVE OFFICERS:
SUBJECT: Policy on the Requirement to Submit Proposals and to Receive Awards for Grants and Contracts Through the University
This memorandum transmits the new University of California Policy on the Requirement to Submit Proposals and to Receive Awards for Grants and Contracts through the University. This policy is effective immediately.
This new policy states that all employees who receive any part of their salary through the University, or whose activities use any University resources or facilities, must submit their proposals for extramural support through the appropriate local contracts and grants office. Exceptions to this policy may be granted by the Chancellor in unusual circumstances on a case by case basis. If an exception to policy is made, the name of the University shall not be used by the external party under any circumstances.
The authority to implement and carry out this policy for the Berkeley campus has been delegated to me, as the Vice Chancellor for Research. Implementation will begin immediately and will include all currently funded extramural awards, renewals and continuations of current awards, and all new proposals. All currently funded awards must be transferred to the campus if projects involve any effort, salary recovery, use of University resources or facilities, or name the Berkeley campus as the performance site. These transfers must be in process by February 15, 1995. Exceptions will be considered on a case by case basis; however, there will be no blanket exceptions for an organization or individual. Fellowships made directly to a student, post-doctoral fellow, or faculty member will not be affected by this policy.
Any request for exception should be made in writing to the Vice Chancellor for Research, with a copy of the proposal attached. Requests must be reviewed and approved by the appropriate department chair or unit director. Justifications should include a detailed description of the activities to take place outside normal employment and a clear distinction of the difference between service to the University and service to be provided to the external party.
If you have any questions about this new policy or how to request an exemption, please contact Joyce Freedman, Director of the Sponsored Projects Office, at 642-8110.
Joseph Cerny, Vice Chancellor for Research
Memo - Office of the President, University of California - December 15, 1994
University of California
Office of the President
December 15, 1994
POLICY ON THE REQUIREMENT TO SUBMIT PROPOSALS AND TO RECEIVE AWARDS FOR GRANTS AND CONTRACTS THROUGH THE UNIVERSITY
It is the policy of the University of California that employees who receive any part of their salary through the University, or whose activities use any University resources or facilities, must submit their proposals for extramural support through the appropriate local contracts and grants office. Awards must be made to The Regents of the University of California.
This requirement is necessary to insure that all research and other extramurally funded projects conducted by University employees, or with the use of University resources or facilities, are approved by the appropriate University contract and grant office and comply with relevant University policies and guidelines, including but not limited to those governing:
- integrity in research;
- appropriateness of the activity to the University;
- protection of human and animal subjects and the environment;
- use of University facilities;
- adherence to personnel policies;
- compensation plans;
- intellectual property;
- conflicts of interest;
- recovery of direct and indirect costs;
- liability insurance and indemnification; and
- medical malpractice coverage.
In the case of projects to be conducted by the University in collaboration with other organizations, the University can be either the prime contractor or a subcontractor. In all cases, all resources required for the conduct of the portion of the work which will be directed by University employees must be included in the award to the University.
Exceptions to the requirement to submit proposals and awards through the University may be granted by Chancellors in unusual circumstances on a case by case basis, after consideration of the policy areas cited above, when it is in the best interest of the University. When an exception is granted, there must be a clear distinction between service to the University and service to the external party; relevant personnel policies shall be followed; the name of the University shall not be used by the external party; and in no case shall the University assume liability for a third party's action without the approval of The Regents as required by the Bylaws and Standing Orders of The Regents.
UCOP source: Requirement to Submit Proposals and to Receive Awards for Grants and Contracts through the University (12/14/1994)