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Submission Matrix

For guidance regarding required Conflict of Interest (COI) compliance documentation, please refer to the Conflict of Interest webpage.

If you are submitting…

New Proposal

Required:

If Applicable:

Optional:

Renewal Proposal

Required:

If Applicable:

Optional:

Continuation Proposal

Required:

If Applicable:

Optional:

Supplemental Proposal

Required:

If Applicable:

Optional:

Back-In Award

Required:

If Applicable:

Revised Budget

Required:

If Applicable:

No-Cost Extension (NCE)

Required:

If Applicable:

Request for Approval to Spend (RAS)

Required:

If Applicable:

Deobligation

Required:

If Applicable:

New Subaward

Required:

Modification to a subaward

Required:

 

Explanation

OR Information Sheet (green sheet)

Datasheet

The datasheet is generated by the department contract and grant administrator in ORBiT. See the Department Liaison User Manual for instructions on creating the datasheet.

Statement of Work (SOW) vs. Project Summary

A SOW specifies what the Principal Investigator will do and sometimes how it is to be done in relation to the project. The SOW can stand alone as the project text depending on the specific proposal call, whereas a project summary can serve as an abstract or brief overview that outlines what will follow in the proposal text.

OR Copy of Proposal

An application for funding that contains all information that is necessary to describe project plans, staff capabilities, and funds requested, can often incorporate the statement of work. May include Detailed Budget and Budget Justification. (Initially sent as Pre-review copy and final version sent as part of "Finals")

Detailed Budget

A budget that provides line items for each project expenditure separated into categories such as Salaries, Benefits, Travel, Participant Support, Equipment, Supplies, and Other Direct Costs. Must detail indirect cost rate and the base calculations. See Budget Preparation for more information.

Budget Allocation

Budget Justification

A budget justification provides sufficient detail to justify that the expenses requested in the Detailed Budget are easily identifiable to and benefit the specific project as a direct cost. Another purpose of the budget justification is to further explain costs that need to be itemized, i.e. travel or communication costs.

Commitment Memo

When a project contribution is included in a proposal, a commitment memo is required for project contribution categories UC Cash and Third Party Contributions. A commitment memo can be in the form of a letter or email, but must come from the control point of the source of funds being provided (i.e. department, ORU, or College). Please note that a PI is not the control point and cannot commit funds on their own project.  The memo must include the following information:

  1. Approval (via direct email address or signature) for funds committed by the control point
  2. The quantified amount being committed
  3. The specific costs the funds will cover, if applicable
  4. Identifiable proposal information (example: ORBiT record number, PI name, Project Title, etc)

Faculty and/or Staff Release Time Memo

A release time memo for faculty with a 9‐month academic appointment will be required only when an individual’s total combined commitment to all extramurally funded projects reaches or exceeds 49% of their 100% appointment. A release time memo for a staff member is required at all times, without regard to the level of effort dedicated to the project.  A memo can be in the form of a letter or email but must come from the individual’s direct Supervisor. If the PI is the staff member’s supervisor, a Release Memo will need to be completed by the applicable Department Chair.  The release memo must include the following information:

  1. Approval (via direct email address or signature) for funds committed by the direct Supervisor
  2. The percent time released to the project
  3. Identifiable proposal information (example: ORBiT record number, PI name, Project Title, etc)

Guidelines

A full copy of the guidelines specific to the proposal is required. If standard agency guidelines apply do not send a copy. If there are no applicable guidelines, please check the "No Agency Guidelines" box on the OR Information Sheet.

eFinals (Electronic Finals)

A full electronic copy of the proposal, revised budget, proposal file update, NIH just-in-time, or subrecipient documents.  eFinals instructions and procedures are found in the UCSB Departmental Finals Procedures.

NIH/PHS PI Assurance Form

Exception to Serve as PI (Form 99)

Subrecipient Commitment Form

Fair & Reasonableness Cost Analysis Part A-1 (Grants)

Fair & Reasonableness Cost Analysis Part A-2 (Contracts)

Project Contributions Form

Project Contributions are resources that are contributed to a sponsored project over and above the support requested of or provided by the extramural sponsor of that project.  Should a proposal include a project contribution, this form should be completed to the extent possible.

Award Letter/Contract/Modification

Should the department/PI receive an award letter/contract/modification, please send the original to OR for processing. Do not sign as authorized representative on behalf of University.

Request for No Cost Extension

Should the department/PI request a No Cost Extension, a copy of the request should be forwarded to OR for review and endorsement. This may be done in email, hard copy, agency form, or letter format depending on agency requirement.

Request for Approval to Spend Funds Form (RAS)

This form is to be used to obtain an account and fund number for an extramurally funded project prior to the receipt of a fully executed grant or contract. Send request to OR with all backup documentation regarding the commitment for funding.

Request to Issue a Subaward Part B

Subagreement Close-out Certification

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Updated: December 14, 2016.