Proposals with Sub-Agreements

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 sub-recipient/sub-award relationship or a Contractor/Vendor relationship. [Uniform Guidance: 2 CFR §200.330 Sub-recipient 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. Sub-recipient Certification Form (not required for FDP members)

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 applicable and 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.