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Step 4: Submit My Proposal

Pre-Award Phase

 

My proposal is ready... now what?


Overview

  • Berkeley Regional Services provides research administration support in proposal development and award accounting administration.
  • The Phoebe System is a comprehensive contracts and grants system that includes proposal routing, award information, document management, and more. Phoebe Search gives you access to information about all your proposals, awards, and related agreements (like nondisclosure agreements or material transfer agreements) with a searchable interface. Phoebe Proposal is the system for approval and routing of all proposals on campus. CalNet login is required to access Phoebe Search and Phoebe Proposal.
  • Sponsored Projects Office reviews and submits proposals and negotiates awards for Federal, State, non-profit, and other governmental entities (including foreign governmental and non-profit organizations). 
  • The Industry Alliances Office reviews and submits proposals and negotiates awards funded by for-profit companies, including non-US industry sponsors, and subawards under Small Business Innovation or Small Business Technology Transfer (SBIR/STTR) awards.
  • Authorized Organizational Representatives (AOR) have delegated authority on campus to submit proposals and accept awards. The campus AORs reside in SPO and IAO. 
Working with Berkeley Regional Services
  • Contact Berkeley Regional Services (BRS) for help completing the budget and administrative sections of your proposal. They will also help you to enter the proposal into the Phoebe system and the sponsor proposal submission system (like Fastlane for NSF or NSPIRES for NASA). 
  • Notify BRS at least ten business days before the proposal deadline to initiate the proposal development. This timeline will allow your research administrator to iterate the budget with you and to develop the other administrative sections prior to the SPO/IAO deadline. In addition, some BRS Regions have a Proposal Request Form to complete to notify the region of your intent to submit a proposal. 
  • Once the proposal is uploaded to Phoebe, you will approve it, and it will automatically route to the Chair or Dean. After they approve the proposal, it will automatically route to SPO or IAO, depending on the sponsor.
  • Note that the technical sections of a proposal can be submitted to Phoebe in draft form, but the administrative sections should be final.
Review and submission
  • Submission process. UC Berkeley policy requires all proposals to be submitted through Sponsored Projects Office (SPO) or Industry Alliances Office (IAO) before the proposal is submitted to the sponsor. If you have a question about whether your proposal can be submitted another way, contact your Berkeley Regional Services Administrator for assistance and determination.   
  • Submission deadline. Under the Vice Chancellor of Research Proposal Submission Policy, proposals must be submitted to Phoebe a minimum of four business days before the sponsor’s deadline, allowing SPO/IAO time to review and submit finalized proposals. All administrative sections of the proposal must be final. In addition, all technical sections must be final at least eight business hours prior to the sponsor’s deadline. Any exceptions to this timeline must be approved by the VCR. See FAQs about the VCR proposal submission policies. 
  • Institutional Review. SPO and IAO will only complete an institutional review to ensure that proposals are compliant with University of California policy and to identify issues that could cause risks to the University. Please see the Berkeley Regional Services Memo and SPO Memo for more information.
  • Checklist. Review the SPO Quick Guide to Proposal Review and Submission, which outlines major considerations in proposal submission.
  • Submission of your proposal to the sponsor. Once SPO or IAO has reviewed and approved your proposal, it will be time to submit the proposal to the sponsor. Some sponsors require that the Authorized Organizational Representative submit the proposal (for example, NSF and NIH), and others allow the PI to submit directly to the sponsor. Your Berkeley Regional Services Research Administrator will indicate in Phoebe whether SPO or IAO will submit the proposal, or if you can submit it to the sponsor yourself.
How will I interact with SPO and IAO while my proposal is under review?
  • If you have any questions about your proposal during SPO/IAO review, reach out to your SPO or IAO contact. You can find who is reviewing your proposal through a Phoebe search by proposal number, or your name and sponsor name. You can also ask your Berkeley Regional Services research administrator for help.
  • SPO staff list
  • IAO staff list 
How do I submit a proposal for a gift?

Unlike grants where the proposals are submitted via Phoebe by the PI and BRS and the administering office then submits the proposal to the funder, faculty can submit gift proposals directly to the funder. The University Development & Alumni Relations Office (UDAR) Fund Management team does not need to pre-approve the proposal for submission to the funder, however they are happy to do so should you have any questions regarding the proposal, application, or call for submissions. **NOTE if you are unsure if your proposal will be awarded as a gift, please contact your Berkeley Regional Services Research Administrator.

Once the gift or award letter arrives, UDAR Fund Management must accept the gift via the Research Gift Intake Form. Please send questions to fundhelp@berkeley.edu.

Per the campus Gift Acceptance Policy and Standing Order 100.4(dd) and DA2631 – Delegation of Authority – To Solicit and Accept Gifts, only UDAR staff have delegated authority to accept gifts. Below are a few things to look for in the funder’s application portal, that indicate that a UDAR staff member should be engaged:

  • The portal requests that you authorize terms & conditions. Only a staff member with delegated gift acceptance authority can accept gift terms & conditions. Please reach out to fundhelp@berkeley.edu
  • The funder requests a signature from an authorized signer or campus representative with authorization to sign. Only a staff member with the appropriate delegated gift acceptance authority can sign. Please submit the letter or documentation for signature via the Research Gift Intake Form.
The sponsor has questions about my proposal post-submission.


Responding to sponsor questions. Sponsors may express an intent to fund a proposal but require additional steps before the award phase, e.g. revised budgets and/or clarifications of other sections. NIH has a formal “Just-in-Time” phase, for example. For any requests following proposal submission, be sure to contact SPO/IAO and your Berkeley Regional Services Research Administrator to ensure campus policy is followed. SPO/IAO can help to submit revised budgets, compliance documents, and more on your behalf, and they can also respond to sponsor requests that are outside policy.
 

 

 

Compliance and Integrity

My research uses vertebrate animals.


Office for Animal Care and Use (OACU)

The Office for Animal Care and Use (OACU) oversees the use of live vertebrate animals in research, teaching, and education.

My research may use human subjects.


Office for Protection of Human Subjects (OPHS)

Human subject research review and approval. The Committee for Protection of Human Subjects (CPHS) must review and approve all faculty, staff, and student research activities involving human subjects, regardless of funding source or whether the activity is funded. The Office for Protection of Human Subjects (OPHS) determines exemptions. 

Policy requires that I submit conflict of interest forms for my research.


Conflict of Interest (COI)

Many funding agencies require disclosures of conflicts of interest in order to demonstrate objectivity in research.  

What is conflict of interest? Conflict of interest is a situation in which an investigator’s outside financial interest(s) or obligation(s), real or perceived, have the potential to bias a research project or cause harm to human subjects participating in a research project.

Financial disclosure requirements. See a comparison of federal, state, and university requirements and policies for disclosing outside financial interests which may bias, or appear to bias, research.

Conflict of Interest Committee. Get additional COI information and resources.

Process for completing COI forms. Your Berkeley Regional Services Research Administrator will provide you the necessary forms during the proposal submission process.  If you need to access the forms directly, you can access them on the Sponsored Projects Office forms page.

My research may have export control requirements or issues.


What is export control?

Export control laws. Federal regulations control the conditions under which certain information, technologies, and commodities can be transmitted overseas to anyone, including U.S. citizens, or to a foreign national on U.S. soil. Export control laws are implemented by the Department of Commerce through Export Administration Regulations (EAR) and the Department of State through International Traffic in Arms Regulations (ITAR).

Getting help: 

  • Submit an Export Control Service Request Form for assistance with an export control matter. This will ensure that your request/question is noted, time stamped, and tracked. For follow up questions after submitting the form, please contact ec-team@berkeley.edu.
  • Contact ec-team@berkeley.edu for assistance with any of the following:
    • Shipping an export control item internationally. Controlled Items are found in two areas:
    • Travel to a federally sanctioned country.
    • Travel internationally with university equipment.
    • Paying individuals based in a sanctioned country.
    • Online instruction of students from sanctioned countries.
    • Collaborating on research with individuals from sanctioned countries.
    • Vetting visitors, partners, and sponsors for restricted entity status.
    • Vetting individuals who could be on a restricted persons list.
    • Sharing technology or technical data to foreign persons on U.S. soil or abroad.
    • Do's and don'ts
    • Frequently asked questions.

 

My research uses biological materials or controlled substances.


Environment, Health, & Safety (EH&S) guidance and services. Environment, Health, & Safety (EH&S) provides guidance and services to the campus community that promote health, safety, and environmental stewardship, including:

My grant requires Responsible Conduct of Research (RCR) training.


RCR training. The Responsible Conduct of Research Officer offers classroom courses and online programs for faculty, post-docs, and graduate students, including RCR and RRR (Rigor and Reproducibility in Research) training.

Grants requiring RCR and Rigor and Reproducibility in Research (RRR) written plans. Contact the RCR Program Manager for writing assistance and materials.

How do the University of California Principles of Research affect my research?


The Principles Regarding Rights to Future Research Results in University Agreements with External Parties. The Principles Regarding Rights to Future Research Results in University Agreements with External Parties (pdf) policy establishes the fundamental parameters for negotiating agreements with external parties to address rights and obligations associated with future university research results. This policy applies to any UC agreement with others that addresses future research results, whether that agreement is administratively managed as a contract or grant, a procurement, a sales and services contract, or is in another form.

What Standards of Ethical Conduct apply to my research?


Code of conduct. Pursuit of the University of California mission of teaching, research, and public service requires a shared commitment to the core values of the university as well as a commitment to the ethical conduct of all University activities. In that spirit, the Standards of Ethical Conduct are a statement of our belief in ethical, legal, and professional behavior in all of our dealings inside and outside the university. The UC standards of ethical conduct were adopted by the Regents of the University of California, May 2005.

Where can I find campus guidance related to foreign influence?


Foreign influence has become an increasingly relevant and important topic in research awards and proposals. Please visit the Research Administration and Compliance office’s International Connections and Foreign Influences website for guidance on foreign influence topics.