Step 6: Manage My Award

Post-Award Phase

 

I need to find information about my grant

 

Non-financial information
  • Use Phoebe Search to look up non-financial information about your contracts, grants, and other agreements (including Material Transfer, Data Use, and Software Agreements and Non-disclosure Agreements). In Phoebe Search, you will find the most up to date information about your award, including the amount funded, the start and end dates, and the agreement and amendment documents, nd subcontract documents (if applicable). These documents are all available to you to view and download.
Financial information
  • Use PI Portfolio to look up financial information about your contracts and grants, including fund balances, expenses, and budgets.
I need to find information about my gift funds.

 

When a new fund is established for the incoming gift, you will receive a fund setup alert via email. This fund alert will contain the following:

  • Chartstring for new fund
  • Fee type (Research Administrative Fee)
  • Fund/gift purpose
  • Spending guidance
  • PI reporting obligations that were detailed in the funder’s gift terms (for example: recognition of funder in publications, open source publishing, use of funder’s name/trademark guidance, other)

Once the gift arrives, you can typically expect to see the gift reflected in the fund the following month. The UDAR Gift Services team can assist with tracking down a transaction: gifthelp@berkeley.edu.

Please work with your Berkeley Regional Services Research Administrator to view the gift in your PI Portfolio. If you do not see an expected gift on the ledger, it is possible you have not submitted all required documentation to UDAR via the Research Gift Intake Form.

How do I manage my award finances?

 

Berkeley Regional Services provides day to day fund management support for your grant and contracts.  Visit BRS Services for more information.

  • To contact your post-award Research Administrator, use Phoebe Search and search for your name.  Click on your name to find your pre- and post-award research administrator(s).

The Contract and Grant Accounting office provides overall support for your contracts and grants, including invoicing, financial reporting, and closeout.  Visit CGA’s page on Managing your Award Finances.

  • Once the award is set up, CGA will send out invoices according to the terms of the funding agreement.  Visit CGA’s page on invoicing for more information.
  • CGA also will automatically send out financial reports to sponsors according to the terms of the agreement.  
My sponsor wants to add funds to my research project

 

Berkeley Regional Services will help you to submit a Phoebe proposal for the additional funding. Visit BRS Services for more information.

Identify and contact your post-award Research Administrator with Phoebe Search. Search for your name, then click on your name to find your pre- and post-award research administrator(s).

Sponsored Projects Office will negotiate amendments to your grant for Federal, State, non-profit, and other governmental entities (including foreign governmental and non-profit organizations).

Industry Alliances Office will negotiate amendments to your grant for industry sponsors (including foreign companies) and under Small Business Innovation Grants and Small Business Technology Transfer grants.

I need to receive or send materials or data


Incoming Material Transfer Agreements. If you need to obtain research materials, like cell lines, plasmids, circuit kits, etc. from a university, company, or other organization, the IPIRA Industry Alliances Office (IAO) will help you with the Material Transfer Agreement. Visit the IPIRA website to download the request form. Send the completed form along with the agreement (if you were provided one) to mta@berkeley.edu.

Outgoing Material Transfer Agreements. If you need to send out research materials from your lab, like cell lines, plasmids, circuit kits, etc. to a collaborator or another university, company, or other organization, the Office of Technology Licensing (OTL) will help you with an outgoing Material Transfer Agreement. Visit the IPIRA website to submit your request. 

Data Use Agreements and Software Agreements

  • Incoming Data Use Agreements 
    • If you need to obtain data, datasets, or software for your research project, the IPIRA Industry Alliances Office (IAO) will help you with the data use, data transfer, and software agreements. Visit the IPIRA website to download the Data and Software Agreement request form. Send the completed form along with the agreement (if you were provided one) to mta@berkeley.edu.
  • Outgoing Data Use Agreements 
    • If you need to send out data, datasets, or software to collaborators or other universities, companies, or entities, the IPIRA Office of Technology Licensing (OTL) will help you with outgoing data use, data transfer, and software agreements. Visit the IPIRA website to submit a data or software agreement request.
  •  Research Data Portal 
    • Berkeley’s Research Data Portal points researchers, research staff, and support personnel to the campus offices and resources that can help. Short pieces of guidance offer expertise on topics of data security and data management, and links to detailed information steer researchers and staff alike to data, technologies, tools, and services that can make the research effort a success. 
I need a confidential disclosure agreement or non-disclosure agreement (CDA, NDA)


To request review and execution of a Confidential Disclosure Agreement (CDA) or Nondisclosure Agreement (NDA) please fill out IPIRA's Concierge Form. We will contact you shortly.

I need to issue a subaward or subcontract


What is a subaward?

  • A subaward is an agreement with a third-party organization performing a portion of a UC Berkeley research project or program. The Sponsored Projects Office has a lot of resources for campus PIs on the subaward process and best practices for working with subrecipients.
  • Subaward Guide and FAQs
  • Working with Subrecipients
How do I monitor my subrecipient?
  • It is the responsibility of the PI or their delegate to ensure the work/expenses included on the subawardee invoice has been performed in accordance with the terms of the subaward. Guidance for monitoring subrecipients is provided on the SPO website: https://spo.berkeley.edu/guide/subrecipient_monitoring.pdf
Request a new subaward or subaward amendment 
  • The Sponsored Projects Office issues subawards under federal, state, other governmental, or non-profit sponsors, including non-US governmental sponsors. Work with your Berkeley Regional Services Research Administrator to collect the required documents from the subrecipient and to complete a Phoebe Subaward Request. Your BRS RA will route the subaward request to SPO. Questions regarding SPO-managed subwards are submitted to subawards@berkeley.edu.
  • The Industry Alliances Office issues subawards under for-profit companies, including non-US industry sponsors, and Small Business Innovation or Small Business Technology Transfer (SBIR/STTR) awards. Work with your Berkeley Regional Services Research Administrator to collect the required documents from the subrecipient and to complete a Phoebe Subaward Request. Your BRS RA will route the subaward request to IAO. Questions regarding IAO-managed subwards are submitted to iao_subawards@berkeley.edu.
Subaward resources
My research award is ending... what’s next?


Fund and spending close-out

  • Berkeley Regional Services Research Administration staff will help you verify expenses and will work with Contract and Grant Accounting to close the grant fund. For more information, visit BRS Services webpage.
Final reporting requirements
  • Final technical report. You are responsible for the submission of any final technical reports required under the terms of an award in the form required by the sponsor. Awards can vary, so you should consult your award terms to determine what reports are required and when you need to submit them. For more guidance, see Progress Reports / Final Technical Reports.
  • Final financial report. Most contracts and grants require a final report of the award's costs. Contracts & Grants Accounting (CGA) will submit the Final Financial Report to the sponsor in accordance with award terms. Visit CGA’s webpage for more information about award close-out.
  • Invention reporting. Inventions can be disclosed throughout the award, and some research grants also require a final invention report.  If you disclose an invention during or after a research grant, the Office of Technology Licensing (OT) will notify the sponsor about the invention.  Submit an Invention Disclosure Form to the IPIRA Office of Technology Licensing.
SPO/IAO subrecipient closeout. You are also responsible for ensuring that each subrecipient has submitted all required reports and deliverables to UC Berkeley prior to making a final payment to the subrecipient.  Please visit SPO's Subaward Close-out webpage for more guidance.  Your Berkeley Regional Services Research Administrator will help you to ensure that you have received all final reports and invoices from the subrecipient.  Use this checklist to ensure you have received everything you need from your subrecipient.

Disclose My Invention or Software. Submit an Invention Disclosure Form to the IPIRA Office of Technology Licensing whenever you feel you have discovered something unique with possible commercial value, ranging from a new material, device, research tool, software, or mouse model, to a novel algorithm, or even a new use for an FDA-approved drug. For additional information or to discuss your idea, contact OTL

 

Compliance and Integrity

My research uses vertebrate animals.


Office for Animal Care and Use (OACU)

The Office for Animal Care and Use (OACU) oversees the use of live vertebrate animals in research, teaching, and education.

My research may use human subjects.


Office for Protection of Human Subjects (OPHS)

Human subject research review and approval. The Committee for Protection of Human Subjects (CPHS) must review and approve all faculty, staff, and student research activities involving human subjects, regardless of funding source or whether the activity is funded. The Office for Protection of Human Subjects (OPHS) determines exemptions. 

Policy requires that I submit conflict of interest forms for my research.


Conflict of Interest (COI)

Many funding agencies require disclosures of conflicts of interest in order to demonstrate objectivity in research.  

What is conflict of interest? Conflict of interest is a situation in which an investigator’s outside financial interest(s) or obligation(s), real or perceived, have the potential to bias a research project or cause harm to human subjects participating in a research project.

Financial disclosure requirements. See a comparison of federal, state, and university requirements and policies for disclosing outside financial interests which may bias, or appear to bias, research.

Conflict of Interest Committee. Get additional COI information and resources.

Process for completing COI forms. Your Berkeley Regional Services Research Administrator will provide you the necessary forms during the proposal submission process.  If you need to access the forms directly, you can access them on the Sponsored Projects Office forms page.

My research may have export control requirements or issues.


What is export control?

Export control laws. Federal regulations control the conditions under which certain information, technologies, and commodities can be transmitted overseas to anyone, including U.S. citizens, or to a foreign national on U.S. soil. Export control laws are implemented by the Department of Commerce through Export Administration Regulations (EAR) and the Department of State through International Traffic in Arms Regulations (ITAR).

Getting help: 

  • Submit an Export Control Service Request Form for assistance with an export control matter. This will ensure that your request/question is noted, time stamped, and tracked. For follow up questions after submitting the form, please contact ec-team@berkeley.edu.
  • Contact ec-team@berkeley.edu for assistance with any of the following:
    • Shipping an export control item internationally. Controlled Items are found in two areas:
    • Travel to a federally sanctioned country.
    • Travel internationally with university equipment.
    • Paying individuals based in a sanctioned country.
    • Online instruction of students from sanctioned countries.
    • Collaborating on research with individuals from sanctioned countries.
    • Vetting visitors, partners, and sponsors for restricted entity status.
    • Vetting individuals who could be on a restricted persons list.
    • Sharing technology or technical data to foreign persons on U.S. soil or abroad.
    • Do's and don'ts
    • Frequently asked questions.

 

My research uses biological materials or controlled substances.


Environment, Health, & Safety (EH&S) guidance and services. Environment, Health, & Safety (EH&S) provides guidance and services to the campus community that promote health, safety, and environmental stewardship, including:

My grant requires Responsible Conduct of Research (RCR) training.


RCR training. The Responsible Conduct of Research Officer offers classroom courses and online programs for faculty, post-docs, and graduate students, including RCR and RRR (Rigor and Reproducibility in Research) training.

Grants requiring RCR and Rigor and Reproducibility in Research (RRR) written plans. Contact the RCR Program Manager for writing assistance and materials.

How do the University of California Principles of Research affect my research?


The Principles Regarding Rights to Future Research Results in University Agreements with External Parties. The Principles Regarding Rights to Future Research Results in University Agreements with External Parties (pdf) policy establishes the fundamental parameters for negotiating agreements with external parties to address rights and obligations associated with future university research results. This policy applies to any UC agreement with others that addresses future research results, whether that agreement is administratively managed as a contract or grant, a procurement, a sales and services contract, or is in another form.

What Standards of Ethical Conduct apply to my research?


Code of conduct. Pursuit of the University of California mission of teaching, research, and public service requires a shared commitment to the core values of the university as well as a commitment to the ethical conduct of all University activities. In that spirit, the Standards of Ethical Conduct are a statement of our belief in ethical, legal, and professional behavior in all of our dealings inside and outside the university. The UC standards of ethical conduct were adopted by the Regents of the University of California, May 2005.

Where can I find campus guidance related to foreign influence?


Foreign influence has become an increasingly relevant and important topic in research awards and proposals. Please visit the Research Administration and Compliance office’s International Connections and Foreign Influences website for guidance on foreign influence topics.