Subaward Amendment Request

This page provides guidance on completing each section of a Subaward Amendment Request.

Return to Phoebe Subaward Request for general guidance on the system.


Prime award information

The information displayed is taken from the Phoebe award record.

If you need to refer to the subaward’s prior documents or the Prime Award records, click “View existing subaward record and documents” to access those records in a new browser window.


UC Berkeley contacts

Principal Investigator

The UC Berkeley PI contact information displayed is taken from the campus directory. If the PI’s mailing address information should be different in the subaward, enter the appropriate PI mailing address in the available box.

Postaward Financial Administrator

A Postaward Financial Administrator may already be listed. If not, select from the available options by clicking the down-arrow. If the appropriate person is not listed in the available options, delete the wrong name from the field, and enter the correct person’s name.

The Postaward Financial Administrator will be the UC Berkeley contact person whom the Subrecipient is told to contact for financial matters (such as to obtain the Subaward PO number, for financial reporting, or for questions about invoicing).


Subrecipient information

Subrecipient Principal Investigator/Project Director

Enter the appropriate name and contact information. Use the ZIP+4 in the address.

Subrecipient Authorized Official

Enter the name and contact information of the Authorized Official, at the Subrecipient institution, who is authorized to negotiate subawards. For subaward amendments, this person will be named in the subaward agreement as the Authorized Official or the Contact for Business Matters. Use the ZIP+4 in the address.


Subrecipient Commitment Form

Use existing Subrecipient Commitment Form

Check this box if neither the budget nor Statement of Work are being supplemented.

Updated Subrecipient Commitment Form

If either the budget or Statement of Work are being supplemented, upload an updated Subrecipient Commitment Form.


Statement of Work

Change to Statement of Work

  • Check the Replace current option, if you are replacing the subaward’s previous Statement of Work with a revised one.
  • Check the Supplement current option, if you are adding a supplemental or additional Statement of Work to the subaward.
  • Check the No change option, if the Statement of Work is not changing.

New Statement of Work

Upload a new Statement of Work, if you checked either the Replace Current or the Supplement current option above.


Dates

For easy reference, the Prime Award period, and the Current Subaward budget period end date are displayed at the top of this section.

Extend End Date

Check this box if you want to extend the subaward end date (e.g. add another year or add a no-cost extension).  Then enter the New authorized budget period end date. This date may not exceed the end date of UC Berkeley’s authorized budget period.

Remember, if you are increasing funding for the next project year (below), you should also extend the subaward end date to match the end date of that next project year.


Amounts

For easy reference, the subaward’s current obligated amount is displayed at the top of this section.

Use this section to request changes to the subaward obligated amounts. Note that you can choose multiple options, such as if you need to add new funds (Increase future obligated funding) to a subaward (e.g. add Year 2 funds) and, also reduce funds (Decrease previous obligated funding) from the subaward (e.g. remove unspent Year 1 funds).

Decrease previously obligated funding

Check this box if you want to deobligate funds from the subaward.

  • Amount to subtract: Enter the amount to deobligate from the subaward.
  • Dates or other description of budget period(s) to decrease: Enter a brief description of the budget periods from which funds are being deobligated (e.g. “deobligating Year 1 unspent funds” or “reducing funding for current budget period 6/1/2020 – 5/31/2021”).
  • See Subaward budget forms below for guidance on attaching budgets and justifications.

Increase future obligated funding

Check this box if you want to obligated additional funding to the subaward.

  • Amount to add: Enter the amount of additional funds to be obligated to the subaward. This amount should match the total shown in the subaward budget.
  • Dates or other description of budget period(s) to increase: Enter a brief description of the budget period for which funds are being obligated (e.g. “Year 2 funds” or “6/1/2020 – 5/31/2021 funding”.) If the PI wants to award only a portion of the funds for the budget period, also include a brief explanation, (e.g. “50% of Year 2 funds being awarded now; additional funds to be obligated later, once received from Sponsor.”)
  • See Subaward budget forms below for guidance on attaching budgets and justifications.

New total amount

Enter the new total amount of funds obligated, to date. This should equal the “Current obligated amount” shown at the top of this section, less any decreases requested above, plus any increases requested above.

Cost-neutral budget revision

Check this box if you are revising the subaward budget, but the total obligated amount is not changing. See Subaward budget forms below for guidance on attaching budgets and justifications.

Working capital advance request

Check this box if the UC Berkeley PI wants to issue a funding advance to the Subrecipient. Then enter the Amount of working capital advance.

  • See SPO guidance for more information. (If more than 90 days in costs is being advanced, a written justification must be uploaded to the “Other Documents” section.)
  • See Subaward budget forms below for guidance on attaching budgets and justifications.

Subaward budget forms

Budget detail for any obligated funding must be documented in the subaward, either in existing budgets and justifications already incorporated into the subaward, or in updated, incremental or revised budgets that you upload to your subaward amendment request.

Use existing budget

Check this box if your requested funding changes are documented in a budget that was already incorporated into the subaward. Then check the appropriate option to indicate if the existing budget is located:

  • In the original subagreement; or
  • In a previous amendment. Provide the amendment number.

New Budget

If the subaward budget is changing, or if you are adding incremental funding in a budget that was not previously incorporated into the subaward, upload the New Budget.

Use existing budget justification

Check this box if a budget justification that was already incorporated into the subaward adequately describes the detailed line-item budget, including any current changes. Then check the appropriate option to indicate if the existing budget justification is located:

  • In the original subagreement; or
  • In a previous amendment. Provide the amendment number.

New Budget Justification

If the subaward budget justification is changing, or if you are adding incremental funding in a budget that was not previously incorporated into the subaward, upload the New Budget Justification that accompanies the new budget.

If the budget justification is integrated into the budget document, such that it cannot be easily extracted as a separate document, upload a placeholder-budget-justification document that indicates “See Budget Document.”


Carryover

Check this box if the UC Berkeley PI wants to approve the Subrecipient’s carryover of unexpended funds from a prior budget period. Then enter the Amount to carry over (or “any”) and Provide dates or other description of the budget period from which funds are carrying forward.

Note: Carryover approval is not needed if the subaward terms indicate that carryover is “automatic” or does not require prior approval.

If the UC Berkeley PI wants to change the existing carryover approval terms in the subaward (e.g. “remove automatic carryover”, or “allow carryover without prior approval”), use the Special instructions box to request that change.

Remember that the subaward carryover terms may never be less restrictive than the Prime Award carryover terms. See Working with Subrecipients for more information.


Special instructions

UC Berkeley PI has a financial interest in subawardee

Check this box if the PI or another investigator has a financial interest (of any kind) in the proposed Subrecipient (as defined in UC Business and Finance Bulletin 43, Section III.5).

Changes in reporting instructions

Check this box if the UC Berkeley PI wants to change the reporting instructions included previously in the subaward. Then describe the requested changes to the subaward reporting requirements, including due dates or timelines. If milestones and/or deliverables are being revised, upload a revised milestones/deliverables table in the Other documents section below.

Please provide any other special instructions here

Enter any additional instructions here. Use this section to request any other changes to the subaward, such as:

  • Changes to either UC Berkeley’s or the Subrecipient’s PIs.
  • Changes to the terms of the agreement.
  • Early termination of the subaward.  (Provide the termination effective date and a brief explanation about why the subaward is being terminated early.)
  • Changes to the carryover approvals going forward.
  • Changes to special invoicing.

Other documents

Use this optional section to upload any additional documents that are relevant to the subaward, such as:

  • the Subrecipient’s updated Mini-Audit Questionnaire;
  • a justification for additional >90-days Working Capital Advance;
  • a revised milestones/deliverables table;
  • other documents clarifying or supporting the amendment request.

Only three optional document uploads are available at this time.  If you have more than three optional documents to upload, you may combine multiple documents into one file. Include a brief description of the contents of each uploaded file.


Comments

Use this optional section to provide any general comments, instructions or clarifications directed to SPO.


Complete

When the Subaward Amendment Request is finished, click the Complete button at the bottom. If required information is missing, Phoebe will show a warning in that section. You must fix any errors before the subaward request can be completed.

Once completed, Phoebe sends the request to the SPO or IAO Subaward team. Phoebe Search will show the revised subaward status at the turn of the next hour. The submitted request will appear in your “Completed Tasks” list (see the link on the left side of your “Tasks” list).

See the Follow-Up Process for what happens next.