Proposals/Other Pre-award Transactions

The Sponsored Projects Office will continue to submit proposals to federal sponsors in the normal manner to the extent proposal submission systems (NSF Fastlane, Grants.gov, NSPIRES, etc.) are operable.

New Awards

SPO will process/negotiate awards already received that do not require interaction with sponsor personnel or access to electronic systems that are not available during the shutdown period.

Continuing Federal Projects

Federal agencies subject to the current federal shutdown are issuing instructions to on how to proceed during this period. Such notices are typically received by SPO and the principal investigator (PI), but it is possible that only the PI will receive this information. PIs should therefore forward all shutdown notices to the SPO CGO assigned to work with the PI’s department/unit as soon as possible. PIs can find the name of the CGO assigned to each campus unit by using the search box on the SPO Staff Contact List.

The shutdown notices that have been received thus far are posted on the SPO website. PIs and research administrators (RAs) are responsible for reviewing these notices to learn how the federal shutdown will impact sponsored projects currently sponsored by these agencies. Note: Agency shutdown instructions vary across federal agencies and also may vary among different offices of the same agency.

The following information is provided to the campus to help PIs interpret and manage different types of federal shutdown notices and understand how SPO will handle these notices during the shutdown period.

“Stop Work” or “Suspend Work” Notice for a Specific Award

These are rare, and typically are issued for federal contracts, however such notices may also be used for other types of transactions at the agency’s discretion. These notices will include reference to a particular award by title and/or agency award number.

SPO will process this type of notice as a standard “award modification,” and change the project end date of the project to the effective shutdown date referenced in the agency notice. The PI will receive a Phoebe Award Summary (PAS) notice for this modification labeled “Shutdown Notice.”

Parallel with the processing of the stop work/suspend work notice through Phoebe, the SPO subaward team will provide the Authorized Representative of each active subrecipient under the award with a notice to stop/suspend work.

What should a PI do in response to this type of notice?

  • Send a copy of the stop work or suspend work notice to SPO if SPO was not copied on the notice.
  • Upon receipt of a stop work or suspend work notice, the PI should stop all project work immediately and no expenses should be incurred on the project as of the effective date of the notice until the federal agency rescinds the stop work or suspend work order in writing.
  • Read any additional instructions or guidance received from SPO via email or the Phoebe Award Summary (PAS).
  • Preserve existing project resources and take all actions necessary to minimize costs as well as notify all project personnel about the notice.

Notice to “Stop Work” or “Suspend Work” Under Certain Conditions

These notices are the most common type of notifications received by SPO and/or campus PIs to date. Such notices are typically used for grants and cooperative agreements. These notices may or may not reference a specific project title/award number.

These notices list conditions under which projects funded by the federal agency (are) and (are not) subject to the shutdown. The conditions that typically create the need to suspend or shutdown a project are:

  1. Continuing work on the project requires access to a federal facility impacted by the federal shutdown.
  2. Continuing work on the project requires the participation or oversight of federal agency personnel impacted by the federal shutdown.

If these (or other) conditions listed in the agency’s notice apply to a PI’s project/s, the PI should notify SPO as soon as possible. SPO then will process a standard “award modification,” but SPO will not change the project end date in the system. Instead, the PI will receive a Phoebe Award Summary (PAS) labeled “Shutdown Notice” with instructions that all project work subject to the conditions imposed by the federal sponsor should stop immediately.

Parallel with this action, SPO’s subaward team will provide the Authorized Representative of each active subrecipient under the award with a copy of the shutdown notice received by UC Berkeley with directions to follow the guidance from the agency.

What should the PI do in response to this type of notice?

  • Send a copy of the stop work or suspend work notice to SPO if SPO was not copied on the notice.
  • Commence an orderly shutdown of any work related to the conditions listed by the agency. For example, if the sponsor indicates that project work at a federal facility is not allowed during the federal shutdown, the PI may only carry out project work that does not require access to a federal facility.
  • Notify all project personnel about the notice.
  • Read any additional instructions or guidance received from SPO via email or a Phoebe Award Summary (PAS).

Note 1: If the conditions required to shut down or suspend an award do not apply to all the work funded by the award, the PI may continue work on the project that is not restricted by the conditions of the notice. However, the federal sponsor is not obligated to provide funding above that already obligated for the current budget period.

Note 2: Any charges for work subject to the conditions imposed by the sponsor are not allowable as of the effective date of the notice and cannot be charged to the project until the federal agency informs the PI and/or SPO that shutdown conditions are no longer in effect.

Fund Advances, New Subawards, and Subaward Amendments

SPO will not process requests for fund advances for awards from federal sponsors subject to the federal government shutdown.

SPO will not issue any new subawards under awards from federal sponsors subject to the federal government shutdown.

SPO will issue amendments to existing subawards under awards from these agencies if:

  • The federal sponsor has not issued a stop work or suspend work notice for the specific award made to UC Berkeley. See “Stop Work” or “Suspend Work” Notice for a Specific Award above.
  • The project fund has sufficient resources to pay for the next phase of the subaward without additional funding from the federal sponsor.
  • The subrecipient will comply with the stop work or suspend work conditions imposed by the federal sponsor, e.g., no work at a federal facility and/or no work that requires the participation of federal agency personnel.
  • The subrecipient is willing to carry out the scope of work at their own risk.

Send questions about this guidance to Pam Miller, Executive Director, Sponsored Projects Office, plfmiller@berkeley.edu.