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Proposals with Sub-Agreements (UO prime)

I.    At the Proposal Stage

When the UO will include an organization as a Sub-recipient on a UO proposal and intends to issue a sub-award to that organization for their portion of the work, the following steps must be followed:

  1. The PI, working with his/her DGA and Pre-Award SPA, should determine whether the scope of work (SOW) of the sub-recipient would qualify as a Subrecipient/Subaward relationship or a Contractor/Vendor relationship. [Uniform Guidance: 2 CFR §200.330 Subrecipient and contractor determinations].
  2. If the SOW qualifies under Uniform Guidance as a sub-recipient, the Pre-Award SPA will verify in SAM that the potential sub-recipient or subcontractor has no exclusions (debarred/suspended).
  3. Once the sub-recipient has been cleared in SAM, the PI or DGA should obtain the six documents below from the proposed sub-recipient and submit to the Pre-award SPA a minimum of 10 days before the sponsor deadline:
    1. Sub-recipient Commitment Letter, signed by sub-recipient's authorized official
    2. Statement of Work
    3. Budget
    4. Budget Justification
    5. F&A Rate Agreement (if a federal prime sponsor, sub-recipient should submit a current federally negotiated agreement or if unavailable, may request 10% de minimus)
    6. Subrecipient Certification Form

II.    At the Post-Award Stage

Once an award has been received:

  1. The PI or DGA must complete the Request for New Sub-Agreement or Subagreement Amendment Form and submit to the Post-Award SPA.
  2. The Post-Award SPA will work with the PI and DGA to get a completed and signed Subrecipient Certification Form
    (if not already received) including any applicable documentation.
  3. Once the completed Certification form and all required documentation has been received, the Post-Award SPA will forward the sub-agreement request to the SPS Finance Team for audit review and SAM recertification.
  4. When the Finance Team has completed their review, the sub-agreement request is forwarded to the SPS Contracts Team who will then create and negotiate the sub-agreement with the sub-recipient.

NOTE: The UO is responsible for the financial and programmatic monitoring of sponsored project funds awarded to the UO from which UO issues as a sub-award or sub-contract. All terms and conditions flow from UO, as the prime funding recipient, to the Sub-Recipient.