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:
- 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].
- 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).
- 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:
- Sub-recipient Commitment Letter, signed by sub-recipient's authorized official
- Statement of Work
- Budget Justification
- 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)
- Subrecipient Certification Form
II. At the Post-Award Stage
Once an award has been received:
- The PI or DGA must complete the Request for New Sub-Agreement or Subagreement Amendment Form and submit to the Post-Award SPA.
- 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.
- 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.
- 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.