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Subaward Request Form Instructions

The Subaward Request Form is to be used when a UC Berkeley (UCB) Principal Investigator (PI) wishes to issue a new Subaward or amend an existing Subaward. This form is used for out-going subawards only. Subaward Requests are handled by SPO’s team of Subaward Specialists. (Note: Incoming Subawards are processed by SPO Contract and Grant Officers.)

Submission of the Subaward Request Form by the CSS/Department Research Administrator (RA) assigned to work with the PI’s department/unit is considered evidence of the PI’s approval of the information provided on the Subaward Request Form. Incomplete forms with be returned for correction to the person that submitted the form.

The Subaward Request Form is not to be completed by the Subrecipient institution. Prior to the submission of the form, the Subrecipient PI and Subrecipient Institution should have agreed to the Statement of Work, Budget and Justification provided with the form.


Submitting the Form and Required Documents

The Subaward Request Form and all required documents must be emailed to sposubrequest@berkeley.edu. A separate request form and a separate email is required for each Subaward requested. (This allows SPO to track the request forms submitted.)

Include the 8-digit Subaward Number, the UCB PI’s Name, and the type of subaward request (New vs. Amendment) in the subject line of each email.

For example: “00009999, John Smith, NEW” or “00008888, Jane Doe, AMEND

The Subaward Request Form and all required documents should be combined into one PDF document, whenever possible.

(Note: When attaching an electronically-signed Multiple Campus (MCA) Commitment Form, Subrecipient Commitment Form or FDP Pilot Subrecipient Project Information sheet to the Subaward Request Form, the e-signature may be lost. To prevent this, “Print” the electronically-signed form to a read-only PDF, then attach it to the Subaward Request Form.)


Completing the Subaward Request Form

To facilitate the fastest processing of your Subaward Request, please ensure that the Subaward Request Form is completed correctly, as follows:

Date Completed

Enter the date you completed this form. If the form was returned to you for correction, or if you are sending a revised form to SPO, please change this date to the date the form was revised.

Sponsor Information

Complete this section for both New Subaward and Subaward Amendment requests.

  • Name: Provide the name of the sponsor that has awarded UCB funds to support the Subaward (e.g. National Institutes of Health, National Science Foundation, Bill & Melinda Gates Foundation, etc.). (Guidance: This is found in Phoebe Search, under “Sponsor” and also on the Phoebe Award Summary.)
  • Phoebe Proposal Number: Provide the Phoebe proposal number assigned to the original proposal for the funds received. (Guidance: This is found in Phoebe Search, under “Funded Proposals” and also on the Phoebe Award Summary.)
  • Sponsor Award Number: Provide the unique award identifying number assigned to the prime award by the Sponsor. (Guidance: This is found in Phoebe Search, under “Sponsor Award Number” and also on the Phoebe Award Summary.)
  • SPO Award Number: Provide the unique award identifying number assigned to the prime award by SPO. (Guidance: This is the 9-digit number that appears at the top of the Phoebe Search award record, e.g, 099999-002. It is also found on the Phoebe Award Summary.)
  • Fund: Provide the BFS Fund number for the award. (Guidance: This is found in Phoebe Search, under “BFS Fund” and also on the Phoebe Award Summary.)
  • Overall Project Period: Provide the start and end dates for the overall prime award period of performance. These dates should reflect the start and end dates assigned by the Sponsor. (Guidance: This is found in Phoebe Search, under “Period” and also on the Phoebe Award Summary.)

UC Berkeley Information: UC Berkeley Principal Investigator/Project Director

Complete this section for both New Subaward and Subaward Amendment requests.

  • Name: Provide the name of the UCB Principal Investigator (PI), as assigned by the Sponsor. If multiple PIs are assigned by the Sponsor, provide the name of the Lead PI.
  • Department: Provide the name of the UCB PI’s Department/Unit. This also should include the name of the PI’s School and, if applicable, Division or Program (e.g. School of Public Health, Division of Epidemiology).
  • Phone: Provide the UCB PI’s UCB phone number. (This should not be a personal or cell phone number.)
  • Email: Provide the UCB PI’s “berkeley.edu” email address. (This should not be a personal email account.)
  • Address: Provide the UCB PI’s mailing address, including Mail Code (if applicable) and zip+4. (Guidance: If the UCB PI would like to be copied on email negotiation correspondence with the Subrecipient, please add a note to this effect, at the bottom of the “Address” field.)

UC Berkeley Information: Post-Award Financial Administrator

Complete this section for both New Subaward and Subaward Amendment requests.

  • Name: Provide the name of the UCB post-award Financial Administrator whom the Subrecipient should be told to contact for financial matters (such as to obtain the BearBuy PO number for the Subaward, or for follow-up questions about invoicing). This person will be named in the Subaward document as UCB’s Financial Contact. (Guidance: This person is typically the UCB PI’s post-award Research Administrator, but may also be the pre-award Research Administrator, or Program Manager, depending on individual Department’s processes. Please do not name the SPO Subaward Specialist or Authorized Official.)
  • Position/Title: Provide the position or title of the UCB Financial Administrator. (e.g. “Research Administrator,” “Project Director,” etc.)
  • Phone: Provide the UCB Financial Administrator’s UCB phone number. (This should not be a personal or cell phone number.)
  • Email: Provide the UCB Financial Administrator’s “berkeley.edu” email address. (This should not be a personal email account.)
  • Address: Provide the UCB Financial Administrator’s mailing address, including Mail Code (if applicable) and zip+4.

Subawardee Information

Complete this section for both New Subaward and Subaward Amendment requests.

Issue New Subaward

Check the “Issue New Subaward” box and complete this section only if you are requesting a New Subaward that has not yet been established (e.g. for Year 1 funding). If you are requesting an Amendment to an existing Subaward, leave this section blank.

  • Initial Subaward Period: Complete this box to indicate the initial budget period (e.g. Year 1) to be funded for the Subaward. (Note: SPO’s policy is to issue an initial award for budget periods of 12 months or less.)
    • Initial Subaward Period Start Date: This should be the date the Subrecipient will start work on the project. This date may not precede the start date of UCB’s Prime Award from the Sponsor.
    • Initial Subaward Period End Date: This should be the end date of the initial budget period (e.g. the end of Year 1). This date may not exceed the end date of UCB’s initial budget period on the Prime Award.
    • Initial Subaward Period Funding: This should be the amount of funding to be awarded to the Subrecipient, for the initial budget period (e.g. Year 1). This amount must match the total shown on the attached Budget.
      (Note: If the PI wishes to award only a portion of the funds for the initial budget period (e.g. 50% of the Year 1 Budget) but you are including a Budget showing the full funding amount, please include an explanation in the space on the back of the form; indicate the schedule and/or conditions under which the remaining funds for the initial budget period will be awarded. For example: “50% of Year 1 funds are being awarded at this time. The remaining 50% will be awarded by amendment, pending UCB’s receipt of Subrecipient’s IRB approval.”)
  • Entire Subaward Period: Complete this box to indicate the entire period (e.g. Years 1-5) that is anticipated to be funded for the Subaward.
    • Entire Subaward Period Start Date: This should be the date the Subrecipient will start work on the project. This date may not precede the start date of UCB’s Prime Award from the Sponsor.
    • Entire Subaward Period End Date: This should be the end date of the last budget period (e.g. the end of Year 5). This date may not exceed the end date of UCB’s Prime Award from the Sponsor.
    • Entire Subaward Period Funding: This should be the amount of funding to be awarded to the Subrecipient, for the entire subaward (e.g. Years 1-5). This amount must match the total shown on the attached Budget.

Amend Existing Subaward

Check the “Amend Existing Subaward” box and complete this section only if you are requesting an Amendment to an existing subaward (e.g. for Year 2 funding, for a no-costs extension, etc.). If you are requesting a New Subaward, leave this section blank.

  • Extend End Date: If you want to extend the end date of the Subaward (e.g. to add another year or to add a no-cost extension), check the “Extend End Date” box. Note that if you are increasing funding for the next project year, you should also extend the Subaward end date to match the end date of that next project year.
    • New End Date: Enter the new end date for the Subaward. This date may not exceed the end date of UCB’s authorized budget period.
  • Increase Funding: If you want to add funds to the Subaward (in addition to the amount that was awarded in the original agreement or in previous amendments), check the “Increase Funding” box.
    Note that a revised Budget and Justification must accompany your amendment request if:
    • The Subaward is being funded incrementally, you are adding the next year’s funds, and the Budget for these funds was not previously included in the Subaward agreement; or
    • There has been a change to the Subrecipient’s Budget (i.e. a change from the Budget that was included in the initial agreement, or in most recent previous amendment).
    (See, also, the “Attaching the Required Documents” section below.)
    • Amount to Add: Provide the new funding amount being added to the Subaward. This amount must match the total shown in the amendment Budget.
      (Note: If the PI wishes to award only a portion of the funds for the budget period (e.g. 50% of the Year 2 Budget) but you are including a Budget showing the full funding amount, please include an explanation of this in the space on the back of the form and indicate the schedule and/or conditions under which the remaining funds for the initial budget period will be awarded. For example: “50% of Year 2 funds are being awarded at this time. The remaining 50% will be awarded by amendment, pending release of additional prime award funds.”)
      (Important: Carry-forward funds are not considered new funding being added to the Subaward. Budgets for new funding should not include carry-forward funds.)
    • New Total: Provide the new total of funds awarded to date. This should be the sum of previous amounts awarded under this Subaward plus the new funding amount specified above. (e.g. If you are adding Year 2 funds, the “New Total” amount will be the Year 1 funding amount, plus the new Year 2 funds.)
  • Decrease Funding: If you want to reduce funds from the Subaward, check the “Decrease Funding” box.
    Note that a revised Budget and Justification must accompany your amendment request. (See, also, the “Attaching the Required Documents” section below.)
    • Amount to Remove: Provide the amount being removed from the Subaward.
    • New Total: Provide the new total of funds awarded to date. This should be the sum of previous amounts awarded under this Subaward less the amount you are removing.
      (Important: For Cost-Reimbursement Subawards, it is not necessary to decrease Subaward funding in order to de-obligate unspent balances from a Subaward at the end of the Subaward Period of Performance. Any funds not invoiced by the Subrecipient automatically revert to UCB at the close of a Subaward. Contact subcontracts@berkeley.edu, if you have questions about whether or not a particular subaward is a cost-reimbursement award.)
  • Increase and Decrease Funding: If you need to both add new funds to a subaward (e.g. add Year 2 funds) and, at the same time, reduce funds from the subaward (e.g. remove unspent Year 1 funds), follow the instructions in both the “Increase Funding” and “Decrease Funding” sections above. The “New Total” amount you enter into both sections should match, and should reflect the cumulative new total of funds awarded to date, including both the increase and decrease of funding.
  • Approve Carry Over of: Check the “Approval Carry Over of” box only if the Subaward terms require carry-over approval. (Note: If the Subaward agreement terms allow for automatic carry over, the Subrecipient is allowed to spend previous years’ funds without approval.)
    • Any Remaining Funds: Check this box if you want to allow the Subrecipient to spend carry-forward funds of any remaining amount. (Guidance: You should use this option if the UCB PI has approved the Subrecipient carrying forward any/all of their previously unspent balance; especially if the exact amount of the unspent balance is still undetermined.)
    • Only $: Check this box if you would like to restrict the Subrecipient’s spending of carry-forward funds to a specific amount. Provide the specified amount that you will allow the Subrecipient to carry-forward. (Guidance: You should use this option if the UCB PI wants to retrieve a portion of the Subrecipient’s previously unspent balance. If this is the case, you should also complete the “Decrease Funding” section, to indicate that the Subrecipient’s award is being decreased by the portion of their unspent balance that the UCB PI is not allowing them to spend.)
    If the Subaward terms currently require annual carry-over approval, and the UCB PI would like to allow for automatic carry-over going forward, check the “Other” box, under “Special Circumstances” (see below), and request that the carry-forward restriction be removed from the Subaward terms. (Note: Allowing automatic carry over in the Subaward is contingent upon the Sponsor’s terms also allowing automatic carry-over).

Special Circumstances

Complete this section, as needed, for both New Subaward and Subaward Amendment requests.

  • Working Capital Advance: If the Subrecipient’s financial resources are insufficient to begin work on the project without a funding advance, the UCB PI may request that the Subrecipient receive a working capital advance by checking the “Working capital advance requested” box.
    • Amount: Specify the amount to be advanced to the Subrecipient.
    (Note: Such requests will be evaluated on a case-by-case basis by the SPO Subaward Risk Team. Working capital advances typically do not exceed 90 days of subaward costs. Iif costs in excess of a period of 90 days is being requested, a written justification for this variation should be appended to the Subaward Request Form.)
  • Other: Complete this section to request any other changes to the award, such as a change in Subrecipient PI, addition or change of reporting requirements, changes to the terms of the agreement, early termination of subaward, etc. You may continue in the space on the back of the form, or attach additional pages if needed.
  • Special Invoicing Instructions: Use this space to request any special invoicing instructions you would like included in the Subaward. Some examples of special invoicing conditions are:
    • Informational Copies: Per UCB Policy, Subrecipients will be directed to submit invoices directly to ucinvoice@berkeley.edu, according to the instructions provided by the UC Berkeley Accounts Payable Office (for non-UC institutions), or directly to the Contracts amd Grants Accounting Office (for other UC Institutions). In addition, you may request that Subrecipients send informational copies of invoices to an administrative contact within the UCB PI’s Department.
    • Alternate Invoicing Schedules: Subrecipients will generally be asked to submit invoices monthly. If you would like to request that the Subrecipient send invoices at different intervals, such as quarterly or according to a deliverables schedule, please specify this.
    • Partial Invoice Payments: Subrecipient invoices will generally be paid in full. If you would like a portion of the invoice payments to be held back, contingent upon some condition such as completion of a particular task, please specify this.

Subawardee Contact Information: Subawardee Principal Investigator/Project Director

Complete this section for both New Subaward and Subaward Amendment requests.

  • Name: Provide the name of the Subrecipient’s Principal Investigator/Project Director (PI).
  • Department: Provide the name of the Subaward PI’s Department. Please avoid acronyms whenever possible.
  • Phone: Provide the Subaward PI’s phone number.
  • Email: Provide the Subaward PI’s email address.
  • Address: Provide the Subaward PI’s mailing address, including zip+4.

Subawardee Contact Information: Subawardee Authorized Official

Complete this section for both New Subaward and Subaward Amendment requests.

  • Name: Provide the name of Authorized Official at the Subrecipient Institution, to whom the agreement should be sent. (Guidance: For new subawards, this will be the name of the person who signed the Multiple Campus (MCA) Commitment Form, Subrecipient Commitment Form or FDP Pilot Subrecipient Project Information sheet. For Subaward Amendments, this will be the name of the person provided in the Subaward agreement as the Authorized Official or the Contact for Business Matters.).
  • Position/title: Provide the Subrecipient Authorized Official position/title.
  • Phone: Provide the Subrecipient Authorized Official phone number.
  • Email: Provide the Subrecipient Authorized Official email address.
  • Address: Provide the Subrecipient Authorized Official mailing address, including zip+4.

Subawardee Reporting Requirements

Complete this section for both New Subaward and (if needed) Subaward Amendment requests.

When drafting the subaward, SPO will review the Prime Award to determine UCB’s reporting requirements to the Sponsor. SPO will then include reporting requirement terms in the Subaward document that allow UCB to provide the required reports to the Sponsor.

Whenever possible, SPO will build in time (e.g. 30 days) between the receipt of the Subrecipient’s reports and the due date of UCB’s reports to the Sponsor. This will allow the UCB PI time to integrate the Subrecipient’s reporting information into UCB’s reports to the Sponsor. If the UCB PI wants to specify particular Subrecipient reporting timelines or due dates, provide a description of those in the space provided. The UCB PI should also attach to the Subaward Request Form, any applicable milestones/deliverables schedule required of the Subrecipient.

This section of the Subaward Request Form may also be used to provide any general comments, instructions or clarifications directed to SPO.


UC Berkeley PI Approval

Important: Please note that SPO does not require the UCB PI to sign or initial the Subaward Request Form. It is assumed that any Subaward Request Form submitted to SPO has been completed under the direction of the UCB PI and that the UCB PI agrees with the information provided therein.

If your Department requires a UCB PI approval signature of the Subaward Request Form, you may have the UCB PI sign at the top of the form next to the “Date Completed.”


Attaching the Required Documents

The Statement of Work, Budget and Justification must be agreed to by the Subrecipient, prior to submission of either a new or amendment Subaward Request to SPO. If the UCB PI needs to change the Subrecipient’s Statement of Work or Budget from what was submitted to the Sponsor in UCB’s proposal, or from what was previously included in the Subaward agreement, the UCB PI must first discuss this with the Subrecipient and make sure the Subrecipient agrees with the changes.

Budgets and Justifications must include the Subrecipient’s direct and indirect costs, calculated using the Subrecipient’s approved facilities and administrative (F&A) and fringe benefit rates, and verifying any committed cost sharing. The Budget and Justification must include the level of line-item detail that was approved by the Sponsor agency

The Statement of Work, Budget and Justification that accompany the Subaward Request Form must be legible and in a type size that is easily readable. Subaward documents may be scanned multiple times during the execution process, which reduces document resolution. For this reason, small type size, colored type, and shading are discouraged, since they may render the documents unreadable after scanning.

For New Subaward Requests, the following documents must accompany the Subaward Request Form:

  • Subrecipient Commitment Form: You must provide 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.
  • Statement of Work: You must provide 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.
  • Budget and Justification: You must provide the Subrecipient’s Budget and Justification. At minimum, a Budget for the initial budget period (e.g. Year 1) is required. A Budget that includes the entire performance period (e.g. Years 1-5) may be provided; if this is done, the entire performance period budget will be included in the Subaward, unless the UCB PI requests otherwise. If the Budget for the entire performance period is included in the initial Subaward agreement, the UCB PI will not need to provide Budgets for future year amendments, unless there are changes to the Budgets for those years.

For Subaward Amendment Requests, the following documents must accompany the Subaward Request Form:

  • Statement of Work: Provide a revised Statement of Work only if there has been a change to the Subrecipient’s Statement of Work that was previously included in the Subaward agreement.
  • Budget and Justification: Provide a revised Budget and Justification only if:
    • The Subaward is being funded incrementally, you are adding the next year’s funds, and the Budget for these funds was not previously included in the Subaward agreement; or
    • There has been a change to the Subrecipient’s Budget (i.e. a change from the Budget that was included in the initial agreement, or in most recent previous amendment); or
    • The Subaward funding amount is being decreased, or unspent carry-forward is being removed from the Subaward Budget.
    Sponsor approval may be required for Budget revisions that reflect a change in the Subrecipient’s Statement of Work, or that move funds above a Sponsor limit for certain line items, or to/from Sponsor-restricted line items (such as participant costs and travel). Consult the Prime Award to determine any restrictions on moving funds, and if Sponsor approval is needed, contact the SPO CGO to obtain Sponsor approval, before submitting your Subaward Amendment request.

Optional Attachments: The following documents may also be attached to the Subaward Request Form, if applicable or needed:

  • Deliverables schedule for Subrecipient.
  • Special reporting forms or procedures that will be required of the Subrecipient.
  • Verification of IRB or IACUC approval, if required for Subaward execution.
  • Resource/Data Sharing Agreement, if included in Prime Award proposal and applicable to Subrecipient Scope of Work.
  • Data Use Agreement/Materials Transfer Agreement, if applicable to Subrecipient Scope of Work and already established between UCB and Subrecipient.
  • Subrecipient’s indirect cost rate agreement.
  • Other documentation to help clarify the Subaward.

Incomplete Requests

An incomplete Subaward Request Form (or one submitted without all the required attachments) will be returned to the submitter, without further review and will delay issuance of the subaward. If you receive a returned Subaward Request Form, please fix the issues addressed in the return email, and resubmit the full request with required documents to sposubrequest@berkeley.edu.


Follow-Up

The Subaward Specialists at SPO use the subcontracts@berkeley.edu email address to correspond with UCB PIs, Department Research Administrators and Subrecipient institutions, regarding any Subaward Request that is in process.

You may receive follow-up emails from one of the Subaward Specialists, with questions or requests for additional information or documents. Such emails will come from the subcontracts@berkeley.edu email address, and you should respond back to that same email address with the documents or information you were asked to provide.

You may also initiate emails to the subcontracts@berkeley.edu email address, if you have questions about the status of a Subaward that is in process. Before doing so, however, please check the Subaward’s status in Phoebe Search to see if the information provided there can answer your question.

When sending emails to subcontracts@berkeley.edu about a specific subaward, please always remember to include the 8-digit subaward number, in the email subject line.

Important: If you receive a partially-executed agreement from a Subrecipient, please forward that email directly to subcontracts@berkeley.edu.


Quick Checklists

New Subawards

Required? Subaward Request Form
  Yes Date Completed (complete all information)
  Yes Sponsor Information (complete all information)
  Yes Subawardee Information (complete all information)
  Yes UC Berkeley Principal Investigator/Project Director (complete all information)
  Yes Post-Award Financial Administrator (complete all information)
  Yes Issue New Subaward (complete all information)
    Special Circumstances – Working Capital Advance (complete if needed)
    Other (complete if needed)
    Special Invoicing instructions (complete if needed)
  Yes Subawardee Principal Investigator/Project Director (complete all information)
  Yes Subawardee Authorized Official (complete all information)
    Subawardee Reporting Requirements (complete if needed)
    Attachments
  Yes (MCA) Commitment Form, Subrecipient Commitment Form or FDP Pilot Subrecipient Project Information sheet
  Yes Subrecipient Scope of Work
  Yes Subrecipient Budget and Justification
    Submission
  Yes Email to sposubrequest@berkeley.edu. Subject Line: [SUBAWARD NO], [UCB PI NAME], NEW

Subaward Amendments

Required? Subaward Request Form
  Yes Date Completed (complete all information)
  Yes Sponsor Information (complete all information)
  Yes Subawardee Information (complete all information)
  Yes UC Berkeley Principal Investigator/Project Director (complete all information)
  Yes Post-Award Financial Administrator (complete all information)
  Yes Amend Existing Subaward (complete applicable information)
    Special Circumstances – Working Capital Advance (complete if needed)
    Other (complete if needed)
    Special Invoicing instructions (complete if needed)
  Yes Subawardee Principal Investigator/Project Director (complete all information)
  Yes Subawardee Authorized Official (complete all information)
    Subawardee Reporting Requirements (complete if needed)
    Attachments
  If changed Subrecipient Scope of Work (attach if changed)
  If changed Subrecipient Budget and Justification (attach if changed)
    Submission
  Yes Email to sposubrequest@berkeley.edu. Subject Line: [SUBAWARD NO], [UCB PI NAME], AMEND