New Subaward Request

This page provides guidance on completing each section of a New Subaward 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 Subrecipient’s original proposal or to the Prime Award records, click “View existing subaward record” 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

Institution type

Specify the Subrecipient’s Institution type by selecting:

  • Institution of higher education (excluding for-profit), if the subrecipient is a college or university that is not a for-profit institution.
  • Other if the subrecipient is anything else.

To determine the Subrecipient’s institution type:

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 new subawards, this is usually the person who signed the Multiple Campus (MCA) Commitment Form, Subrecipient Commitment Form or FDP Pilot Subrecipient Project Information sheet. Use the ZIP+4 in the address.


Subrecipient Commitment Form

You must upload a Multiple Campus (MCA) Commitment Form, Subrecipient Commitment Form, or FDP Pilot Subrecipient Project Information sheet, completed and signed by the Subrecipient’s Authorized Official within the past 12 months.

For industry subawards requests, you will see an option to reference the form that was included with the proposal instead of uploading a copy.


Statement of Work

You must upload the Subrecipient’s Statement of Work, which includes a clear description of the work to be performed and, if applicable, any proposed timelines and deliverables.

For industry subawards requests, you will see an option to reference the Subrecipient’s Statement of Work that was included with the proposal instead of uploading a copy.


Dates

For easy reference, the Prime Award begin and end dates are displayed at the top of this section.

Entire subaward period

Use this box to indicate the entire anticipated subaward performance period (e.g. Years 1-5).

  • Start Date: Enter the date the Subrecipient will start work on the project. This date may not precede the start date of UC Berkeley’s Prime Award from the sponsor.
  • End Date: Enter the end date of the last budget period (e.g. the end of Year 5). This date may not exceed the end date of UC Berkeley’s Prime Award from the sponsor.

Initial authorized budget period

Use this box to indicate the initial budget period (e.g. Year 1) to be funded for the subaward. (Note: SPO policy is to issue an initial authorized budget period of 12 months or less.)

  • Start Date: Enter the date the Subrecipient will start work on the project. This date may not precede the start date of UC Berkeley’s Prime Award from the sponsor.
  • End Date: Enter the end date of the initial budget period (e.g. the end of Year 1). This date may not exceed the end date of UC Berkeley’s initial budget period on the Prime Award.

Amounts

Entire anticipated subaward amount

Enter the anticipated amount of funding to be obligated to the Subrecipient for the entire subaward (e.g. Years 1-5). This amount should match the total shown on the attached budget.

Initial subaward obligation amount

Enter the amount of funding to be awarded to the Subrecipient for the initial budget period (e.g. Year 1). This amount should match the initial amount shown on the attached budget. If the PI wants to award only a portion of the funds for the initial budget period, include an explanation in the “Comments” box below, (e.g. “50% of Year 1 funds being awarded now; more funds to be obligated later, once received from Sponsor.”).

Working capital advance request

Check this box and enter the Amount of working capital advance, if the UC Berkeley PI wants to issue a funding advance for the Subrecipient. 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, below.)


Subaward budget forms

Budget

You must upload the Subrecipient’s budget. If the budget is made up of several documents, compile them into a single document.

For industry subawards requests, you will see an option to reference the Subrecipient’s budget that was included with the proposal instead of uploading a copy.

Budget Justification

You must upload the Subrecipient’s budget justification.

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.”

For industry subawards requests, you will see an option to reference the Subrecipient’s budget justification that was included with the proposal instead of uploading a copy.


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).

This Subaward is being awarded as a result of a Request-for-Proposal (RFP) process issued by UC Berkeley

Check this box if the subaward is a result of an RFP issued by UC Berkeley.

If the box is checked, also upload:

  • the UC Berkeley Request for Proposal (RFP) (required),
  • the UC Berkeley award letter to Subrecipient (required), and
  • the UC Berkeley terms and conditions (if applicable).

Special Reporting Instructions

Enter requirements for any interim and final reports you want to receive from the Subrecipient, including reporting due dates or timelines.

Other Special Instructions

Use this section to provide any other special instructions to be included in the subaward,  such as special invoicing requirements, or UCB Program Manager contact information and instructions.


Other documents

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

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.

For industry subawards requests, you will see an option to reference other documents included with the proposal instead of uploading copies.


Comments

Use this optional section to provide any general comments, instructions or clarifications directed to SPO, such as explanations of unusual funding scenarios.


Complete

When the Subaward Request is finished, click the Complete button at the bottom. If any 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.