Research Security
Starting on what date must the Principal Investigator and all covered individuals complete research security training before submitting a proposal for a Department of Energy assistance award?
May1st, 2025
What is the Office of Management and Budget (OMB) 'super' circular called that provides guidance on administrative requirements, cost principles, and audit requirements for grants and contracts awarded by the federal government?
The Uniform Guidance, 2 CFR 200
What Indirect Cost Rate should be used for proposal to the State of California for an on-campus project that begins September 1, 2025?
35% MTDC
When does a pre-proposal or Letter of Intent (LOI) need to be reviewed by SPO/IAO?
If the pre-proposal or LOI includes an AOR signtuare, a detailed budget, or a cost sharing commitment.
What indirect cost rate do we use with industry?
a) the posted Sponsor policy, so long as it is documented
b) the full indirect cost rate
c) 20% of total direct costs
d) whatever the PI agrees to with the company
b) - unlike funding from fed or non-profits, UCB is required to collect full IDC on industry awards. Less that full IDC would be consider private use of UC resources.
What is the term for the process of identifying and mitigating potential threats to the integrity of the research enterprise from foreign influence or cyber intrusion?
Research Security Risk Management
What are the final closeout documents in eRA Commons?
There are three: 1) the final Federal Financial Report, 2) the final Invention Statement and Certification, and 3) the final Progress Report.
What personnel related charges are eligible for cost share fulfillment on non-federal/State of CA projects?
Salary, benefits (CBR), GAEL, and UCRP as well as the applicable IDC on said personnel charges. GAEL and UCRP cannot be claimed as cost share fulfillment on federal awards, but can be on non-federal & State of CA awards.
**If it can't be charged to the sponsored award, it can't be used as cost share fulfillment!**
If a PI or Co-PI has paid effort on a federal award that is reduced by more than 25% of the effort committed in the funded proposal, federal regulations require what action to take place?
Prior approval must be obtained form the sponsor for a formal reduction in effort
What are the minimum requirements for a proposal to industry?
SOW, budget, justification, and 700U form, and if applicable, a 700 addendum
Which federal policy requires research institutions to disclose foreign collaborations and support in federally funded research proposals, in the form of trengthening disclosure requirements and establishing standardized processes for reporting information related to current and pending support, biosketches, and progress reports?
National Security Presidential Memorandum 33.
What do you do if you receive a notice of termination directly?
Forward the notice of termination to spoawards@berkeley.edu.
What does ' fund reversion' mean in regards to State awards?
a) funds may become inaccessible before the award end date
b) Unless otherwise specified as following, fund reversion dates are three years from fiscal year end of year funded.
c) both of the above
[C] both of the above
a) funds may become inaccessible before the award end date
b) Unless otherwise specified as following, fund reversion dates are three years from fiscal year end of year funded.
Effort reporting is required for which type of employees?
a) Only faculty members
b) Only administrative staff
c) Employees whose salaries are charged to federally sponsored projects
d) All employees
[C] Employees whose salaries are charged to federally sponsored projects
Is it required for IAO to review all faculty nondisclosure agreements?
No, IAO will only enter into agreements on behalf of faculty when they are conducting university business that IAO handles: teaching, research, and public service (this exclused personal consulting and other non-university business). While it is not a policy that PIs have to go through IAO (they can sign as an individual), we strongly encourage it for a couple reasons: (i) companies often want the NDA with the university on behalf of the researcher, and (ii) because we do not want the PI to take on personal liability for their university work.
Which U.S. law provides funding to strengthen domestic semiconductor manufacturing and requires compliance with research security standards for recipients of funding?
The CHIPS and Science Act of 2022
If you observe a possible error with IDC charges on your award, you should:
a) don't worry until closeout, it's probably just equipment
b) notify the PI that they have extra direct costs to spend
c) review with your supervisor and contact CGA if correction is needed.
[C] review with your supervisor and contact CGA if correction is needed.
True or False: When I submit my Closeout Concurrence Form I'm all done.
False: Accruals must be actualized, the COA inactivation report should be cleared and the chartstring must be monitored for additional activity until the project is finalized
Tracking voluntary committed cost share is not required.
FALSE--The key word here is voluntary! Voluntary committed cost share must still be tracked and reported.
Who can serve as the primary PI on a SBIR/STTR proposal and award?
Only the company individuals can serve as PI, but Berkeley's PI will be the PI of the subaward. While some agencies allow UCB to be the main PI, we should not be accepting responsibility and using university resources for a for-profit company's benefit.
Name two of the four key elements of a research security program under NSPM-33
1) Cybersecurity
2( Foreign Travel Security
3) Research Security Training
4) Export Control Training
When does CGA draw funds on LOC awards?
a) at begining of award
b) when PI asks CGA to draw
c) after costs have posted to the ledger
d) any of the above
[c] after costs have posted to the ledger
Are you required to use the CMA template when the proposal is in response to an RFP?
No. In order to be responsive to the RFP, PIs/RAs should follow the proposal format requested in the RFP. At award stage, SPO will work with the agency/PI/RA to convert the proposal into the CMA format or seek an exception to the requirement from UCOP.
Is Form 700-U required for all non-governmental funding projects?
No, Form 700-U is only required for research projects funded by non-governmental entities not on the exempt list. There is a list of “Exempt Organizations” — non-governmental entities whose support does not trigger the requirement for a Principal Investigator (PI) to file a 700-U form. You can view the list here: https://www.ucop.edu/research-policy-analysis-coordination/policies-guidance/conflict-of-interest/list-of-non-governmental-entities-exempt-from-disclosure-requirement.html
What is a cNERF and what does it mean?
A cNERF refers to a commercial non-exclusive, royalty-free license, which means that the university will grant a license to the sponsor that will be (i) non-exclusive, meaning others may also have non-exclusive licenses, (ii) royalty-free, which means the sposnor will not pay royalties on any products they sell which incorporate the invention, and commercial, which means they can sell and offer for sale products that incorporate UC Berkeley's invention.