Berkeley eProtocol FAQs

Frequently Asked Questions

1. Who can access eProtocol?

Berkeley eProtocol uses CalNet authentication. Anyone with a CalNet ID and password can access the system. Persons not affiliated with UC Berkeley must be entered in the Human Resources Management System by the PI’s department to obtain a CalNet ID to access Berkeley eProtocol.

2. Who can create or edit a protocol?

Those listed in the protocol as Principal Investigator, Co-Principal Investigator, Student or Postdoctoral Investigator, Administrative Contact, and Other Contact can create and edit a protocol. Those listed as Other Personnel will only have viewing access to the protocol.

For instructions on how to create a protocol, see the eProtocol Quick Guide for Investigators.

3. Who can submit the protocol?

A protocol may be submitted by a Principal Investigator or Faculty Sponsor, Co-Principal Investigator, Student or Postdoctoral Investigator, Administrative Contact, or Other Contact. However , before the eProtocol system will permit the protocol to be submitted, the Principal Investigator or Faculty Sponsor must log into the system and check the appropriate box in the Assurance section of the protocol. This requirement exists as an electronic substitute for an ink signature from the Principal Investigator or Faculty Sponsor.

Note: If a Student or Postdoctoral Investigator is listed, s/he will also need to log into the system and check the Student or Postdoctoral assurance box before the protocol can be submitted.

For instructions on how to submit a protocol, see the eProtocol Quick Guide for Investigators

4. Who can be listed as Principal Investigator (PI) or Faculty Sponsor?

The person listed on the protocol as Principal Investigator (PI) must be an employee of UCB (usually with an academic appointment) who is eligible under University policy to submit proposals for extramural support of a research, training, or public service project, and to perform research involving human subjects.

All Academic Senate faculty members, and a few other categories listed in the policy, have PI status by title (i.e., as part of their appointment). Those who do not have PI status by title may be granted status by exception through the Office of the Vice Chancellor for Research.

The PI on the grant or award funding the research must be listed in the Personnel Information section of the protocol in order to edit the application to attach the funding information in one of the following roles: Principal Investigator or Faculty Sponsor, Student or Postdoctoral Investigator, Co-Principal Investigator, Administrative Contact, or Other Contact.

5. Why does eProtocol say that the PI listed is not eligible?

eProtocol checks the name of the PI on the protocol against a list of people who are eligible to be Principal Investigators. This list was taken from the Sponsored Projects Office contracts and grants database when eProtocol was launched and it does not include all persons who have PI status. The PI may need to be added to the list. If you receive a message that says “Please add a Principal Investigator or Faculty Sponsor who is eligible to be a PI” and you believe that it is an error, please contact OPHS at ophs@berkeley.edu.

6. How can I add a person who is not appearing in the Personnel Information section when I search for them by name?*

Search in the UC Berkeley Directory for the person you are trying to add. Once you have found their listing, locate the “UID” listed at the bottom of the webpage; note that UIDs are different from both Student IDs and Employee IDs.

*Note: Only UC Berkeley personnel may be added to the Personnel Information section in eProtocol.

See How can I add a person who is not appearing in the Personnel Information section when I search for them by name? further guidance.

7. How are the personnel roles in eProtocol defined?

Principal Investigator (PI)
The Principal Investigator is the person who has primary responsibility for the design, execution, and management of a research project and is involved in the project in a significant manner. The PI is also responsible for the protection of the rights and welfare of the human subjects and adherence by all study personnel to CPHS requirements, as well as applicable university policies, state statutes, and federal regulations.

Faculty Sponsor
The Faculty Sponsor is a faculty member who has Principal Investigator status and agrees to sponsor the research of a student or postdoctoral investigator. The Faculty Sponsor is responsible for overseeing the protection of the rights and welfare of the human subjects and adherence to CPHS requirements, as well as applicable university policies, state statutes, and federal regulations.

Student or Postdoctoral Investigator
The Student or Postdoctoral Investigator is an undergraduate or graduate student enrolled at UCB, or a postdoctoral scholar with a UCB appointment. Student/Postdoc Investigators are not considered eligible by CPHS to be a PI on any research project unless granted exceptional PI status. Student or Postdoctoral Investigators who wish to perform human research at UCB must obtain the sponsorship of a faculty member with PI status.

A Student/Postdoc Investigator has primary responsibility for the design, execution, and management of her/his research project and is involved in the project in a significant manner. S/he is also responsible for the protection of the rights and welfare of the human subjects and adherence by all study personnel to CPHS requirements, as well as applicable university policies, state statutes, and federal regulations.

Note: When a student or postdoctoral investigator conducts a project that is funded by a faculty member (by means of a grant, subcontract, campus fund, etc.), the faculty member retains primary responsibility for the project. In this case, the student or postdoc should be listed in one of the following roles: Administrative Contact, Other Contact, or Other Personnel.

Co-Principal Investigator
The Co-Principal Investigator is an eligible principal investigator who is affiliated with UCB and shares the responsibility and authority for leading and directing a project on which there is more than one principal investigator.

Administrative Contact
The Administrative Contact is a UCB-affiliated individual who has administrative responsibilities on the project and/or is the administrative assistant for the PI. The Administrative Contact could also be one of the study personnel.

Other Contact
The Other Contact is any individual affiliated with UCB whom the PI would like to have listed as another contact.

Other Personnel
Other (Study) Personnel includes any individual affiliated with UCB who is engaged in human subjects research (e.g., recruitment, consent, data collection, conducting human research study procedures, analyzing data, etc.). Note: Unlike all categories above, Other Personnel do not have editing access to the protocol.

8. How will I know if CPHS/OPHS has questions about my protocol or when my protocol has been approved?

eProtocol generates automated emails at each step of the review process. The email notices are only sent to the following personnel: Principal Investigator or Faculty Sponsor, Student or Postdoctoral Investigator, Co-Principal Investigator, Administrative Contact, and Other Contact (Other Personnel will not receive notifications). The emails will include links to relevant instructions (for example, how to respond to comments, how to print the approval letter). These instructions can also be found in the Quick Guide for Investigators.

9. I am having trouble submitting my protocol, what can I do?

Note: eProtocol is designed to permit submission of the application only after the person listed as Principal Investigator or Faculty Advisor has agreed to and checked the Assurance page. If there is a Student/Postdoctoral Investigator listed, this person must also agree to and check the Assurance page.

Step 1 – Before you start, make sure that you are using a web browser that is compatible with eProtocol:

  • Use Mozilla Firefox if your computer is a PC
  • Use Safari if your computer is a Mac

Step 2 – Check that your pop-up blocker is turned off.

Step 3 – Carefully follow the instructions in the Submit Protocol Application Quick Guide and give the system a few extra seconds to process during each step. Note that if you click on a button a second time while the system is processing, this will sometimes cause an error.

If after completing these three steps, you are still unable to submit, please call OPHS.

10. Can I clone (copy) a protocol that was already created in the system?

Yes-the system will allow personnel with editing privileges to clone (copy) a protocol. Please see Clone (Copy) a Protocol quick guide for instructions.

11. What if I have started a Continuing Review application but did not submit it before my study’s expiration date?

If a continuing review application has been started but not submitted before expiration, the application locks and will not be able to be edited. Please contact your reviewing OPHS analyst to reactivate the protocol.

12. Can I submit an Amendment and Continuing Review application at the same time?

The system will not allow a study to have simultaneous Amendment and Continuing Review applications. Instead, begin a Continuing Review application and incorporate proposed amendments within that application as directed. If any Amendment Applications have already been started, you must withdraw them before eProtocol will allow you to begin a Continuing Review application.

13. Can I switch to Exempt or Non-Exempt review once I have submitted my protocol?

No. If it is determined that your study needs to change to Exempt or Non-Exempt review from its original submission, a brand new protocol application under the appropriate level of review will need to be submitted.

14. How long does the review process take for a new protocol application?

The application approval timeline is dependent on the Types of Review.

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