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

If you are submitting…

 

Required:

  • Datasheet
  • Statement of Work (SOW)/Project Summary
  • OR Copy of Proposal
  • Detailed Budget
  • Budget Justification
  • Guidelines
  • eFinals

If Applicable:

  • NIH/PHS PI Assurance Form
  • Exception to Serve as PI (Form 99)
  • Project Contributions Form
  • Commitment Memo (for project contributions)
  • Faculty and/or Staff Release Time Memo (for project contributions)
  • Questionnaire for NASA Assistance Proposals
  • PI Certification for ASSISTANCE AWARDS containing the NASA CHINA FUNDING RESTRICTION
  • PI Certification for CONTRACTS containing the NASA CHINA FUNDING RESTRICTION
  • Subrecipient Commitment Form
  • Fair & Reasonableness Cost Analysis Part A-1 (Grants)
  • Fair & Reasonableness Cost Analysis Part A-2 (Contracts)
  • Subrecipient vs. Contractor Determination Sheet
  • Subrecipient's eFinals

Optional:

  • UCSB Standard Cover Page

Required:

  • Datasheet
  • Statement of Work (SOW)/Project Summary
  • OR Copy of Proposal
  • Detailed Budget
  • Budget Justification
  • Guidelines
  • eFinals

If Applicable:

  • NIH/PHS PI Assurance Form
  • Exception to Serve as PI (Form 99)
  • Project Contributions Form
  • Commitment Memos (for project contributions)
  • Faculty and/or Staff Release Time Memo (for project contributions)
  • Questionnaire for NASA Assistance Proposals
  • PI Certification for ASSISTANCE AWARDS containing the NASA CHINA FUNDING RESTRICTION
  • PI Certification for CONTRACTS containing the NASA CHINA FUNDING RESTRICTION
  • Subrecipient Commitment Form
  • Fair & Reasonableness Cost Analysis Part A-1 (Grants)
  • Fair & Reasonableness Cost Analysis Part A-2 (Contracts)
  • Subrecipient vs. Contractor Determination Sheet
  • Subrecipient's eFinals

Optional:

  • UCSB Standard Cover Page

Required:

  • Datasheet
  • Budget Allocation

If Applicable:

  • NIH/PHS PI Assurance Form
  • Statement of Work (SOW)/Project Summary: Update if necessary
  • OR Copy of Proposal: Update if necessary
  • Budget Justification: Update if necessary
  • Project Contributions Form: Update if necessary
  • Commitment Memo (for project contributions): Update if necessary
  • Faculty and/or Staff Release Time Memo (for project contributions): Update if necessary
  • eFinals: Update of necessary
  • Guidelines
  • Questionnaire for NASA Assistance Proposals
  • PI Certification for ASSISTANCE AWARDS containing the NASA CHINA FUNDING RESTRICTION
  • PI Certification for CONTRACTS containing the NASA CHINA FUNDING RESTRICTION
  • Subrecipient Commitment Form
  • Fair & Reasonableness Cost Analysis Part A-1 (Grants)
  • Fair & Reasonableness Cost Analysis Part A-2 (Contracts)
  • Subrecipient vs. Contractor Determination Sheet
  • Subrecipient eFinals: Update if necessary

Optional:

  • UCSB Standard Cover Page

Required:

  • Datasheet
  • Statement of Work (SOW)/Project Summary
  • OR Copy of Proposal
  • Detailed Budget
  • Budget Justification
  • eFinals

If Applicable:

  • NIH/PHS PI Assurance Form
  • Exception to Serve as PI (Form 99)
  • Project Contributions Form: Update if necessary
  • Faculty and/or Staff Release Time Memo (for project contributions): Update if necessary
  • Guidelines
  • Questionnaire for NASA Assistance Proposals
  • PI Certification for ASSISTANCE AWARDS containing the NASA CHINA FUNDING RESTRICTION
  • PI Certification for CONTRACTS containing the NASA CHINA FUNDING RESTRICTION
  • Subrecipient Commitment Form
  • Fair & Reasonableness Cost Analysis Part A-1 (Grants)
  • Fair & Reasonableness Cost Analysis Part A-2 (Contracts)
  • Subrecipient vs. Contractor Determination Sheet
  • Subrecipient eFinals

Optional:

  • UCSB Standard Cover Page

Required:

  • Datasheet
  • Statement of Work (SOW)/Project Summary
  • OR Copy of Proposal
  • Detailed Budget
  • Budget Justification
  • eFinals
  • Award Letter/Contract/Modification

If Applicable:

  • NIH/PHS PI Assurance Form
  • Exception to Serve as PI (Form 99)
  • Project Contributions Form
  • Commitment Memo (for project contributions)
  • Faculty and/or Staff Release Time Memo (for project contributions)
  • Guidelines
  • Questionnaire for NASA Assistance Proposals
  • PI Certification for ASSISTANCE AWARDS containing the NASA CHINA FUNDING RESTRICTION
  • PI Certification for CONTRACTS containing the NASA CHINA FUNDING RESTRICTION
  • Subrecipient Commitment Form
  • Fair & Reasonableness Cost Analysis Part A-1 (Grants)
  • Fair & Reasonableness Cost Analysis Part A-2 (Contracts)
  • Subrecipient vs. Contractor Determination Sheet
  • Subrecipient eFinals

Required:

  • Detailed Budget
  • Budget Justification
  • Statement of Work (SOW)/Project Summary: Update
  • eFinals

If Applicable:

  • Project Contributions Form
  • Commitment Memo (for project contributions)
  • Faculty and/or Staff Release Time Memo (for project contributions)
  • Subrecipient Commitment Form
  • Fair & Reasonableness Cost Analysis Part A-1 (Grants)
  • Fair & Reasonableness Cost Analysis Part A-2 (Contracts)
  • Subrecipient vs. Contractor Determination Sheet
  • Subrecipient eFinals

Required:

  • Request for No Cost Extension

If Applicable:

  • NIH/PHS PI Assurance Form
  • Award Letter/Contract/Modification

Required:

  • Budget Allocation

If Applicable:

  • Award Letter/Contract/Modification

Required:

  • Statement of Work (SOW)/Project Summary
  • Subrecipient Commitment Form
  • Fair & Reasonableness Cost Analysis Part A-1 (Grants)
  • Fair & Reasonableness Cost Analysis Part A-2 (Contracts)
  • Subrecipient vs. Contractor Determination Sheet
  • Request to Issue a Subaward Part B
  • eFinals

Required:

  • Request to Issue a Subaward Part B

Required:

  • Signed RAS Form

If Applicable:

  • Datasheet
  • Animal Subjects approval
  • Human Subjects approval
  • EH&S approval
  • COI approval

Explanation

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.

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.

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. Examples of documents often included are biosketches/CV, Current & Pending, etc.(Initially sent as Pre-review copy and final version sent as part of "Finals")

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.

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.

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)

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)

A full copy of the guidelines specific to the proposal is required. If standard agency guidelines apply do not send a copy. If there is email correspondence between the PI/department and the sponsor regarding submission materials, please include a copy as guidelines.

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.

Form 99

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.

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.

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.

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.