Outgoing Subawards

A subaward is an agreement between UCOP and an outside organization (“subrecipient”) that performs a portion of UCOP’s extramurally-funded sponsored project. (For more information, see the Federal Demonstration Partnership (FDP) Subrecipient vs Contractor Checklist (PDF).)

• Preparing a proposal with a subawardee
• Subaward Initiation and Setup
  

Preparing a proposal with a subawardee

The PI and administering unit should submit the following documentation to RPAC as part of the pre-review proposal submission:

When a UC campus is the proposed subrecipient:

• Multi-Campus (MCA) Commitment Form
• Subrecipient-specific Statement of Work (SOW)
• Subrecipient-specific Budget and Budget Justification
• Any other documents required by sponsor (i.e., certifications, assurances)

When a non-UC entity is the proposed subrecipient:

• Subrecipient Commitment Form (PDF)
• Subrecipient-specific Statement of Work (SOW)
• Subrecipient-specific Budget
• Negotiated Indirect Cost Rate Agreement
• Fringe Benefit Rate Agreement
• Financial Status Questionnaire (PDF) (for-profit/foreign or other subrecipient not subject to A-133/UG Audit)
• Sole Source Justification Form (PDF) – provide this form for each subrecipient, if the prime award will be a contract
• Any other documents required by sponsor (i.e., certifications, assurances)

Subaward Initiation and Setup

Initiating a new subaward

Once RPAC fully executes and processes the prime award and the PI is ready to have a subaward issued, the UCOP unit or PI should complete the Subaward Request Form (PDF) and submit it to the RPAC Contracts and Grants Operations Officer.  RPAC will draft a subaward for the subrecipient and negotiate its terms with the subrecipient’s institutional official.

Before issuing the subaward, RPAC will conduct a risk assessment and ensure that all necessary research compliance approvals are in place.

If a subrecipient was not identified as a part of the prime award proposal, the award terms may require RPAC to seek prior approval from the sponsor before the subaward can be issued.  If prior approval is required, the PI and the unit administrator should work with the RPAC Contracts and Grants Operations Officer to request prior approval or notification of a subrecipient addition. If prior approval is not required, subaward documents can be sent directly to the RPAC Contracts and Grants Operations Officer.

Initiating Subaward Amendment for Modification of an Existing Subaward

During the subaward period of performance, it may be necessary to amend the terms of an existing subaward.  The PI or unit staff can initiate an amendment by completing the Subaward Request Form (PDF), attaching applicable documentation (e.g., revised budgets, dates, scope of work) and submitting it the RPAC Contracts and Grants Operations Officer.  Generally, an amendment is required for these changes:

• Increase or decrease funding
• Revision of the subaward period of performance
• Modification or additional terms and conditions
• PI change for prime awardee or subrecipient
• Change of scope of work or budget
• Carryforward approval if prior agency approval is required