Prepare a Proposal with Subawards

Click icon to jump down to section:

Helpful Resources to Start:

• • Handbook for Submitting a Proposal with Subawards
  • Subaward Checklist for PIs and Department Administrators.
  • Subawards FAQs
  • Learn: Subawards – webpage with FAQs, written materials, how-to videos, and links to eCourses and instructor-led trainings

Step 1: Is it a Subaward?

First determine if the collaborator you propose to work with is truly a subrecipient. Failure to categorize subrecipients and vendors/suppliers properly can cause errors in a proposed budget and lead to delays in providing funds to these entities. For help in determining if your collaborator is a true subrecipient, consult the following references:

• • Table: Subrecipient, Contractor/Vendor, Consultant?
  • Subaward or Contractor (Vendor) Guidance

Step 2: Prepare and Attach Subaward Materials

For each named subrecipient included in a PI’s proposal to a sponsor, the Sponsored Programs Office (SPO) requires the following elements be uploaded in Cayuse SP as Proposal Attachments.

For each subrecipient, please combine all required documents below into one PDF attachment (use Adobe Acrobat feature: Combine Files into a Single PDF).

Subrecipient proposal elements are expected to conform to the sponsor requirements for UCD’s prime proposal and should be in the format required by the sponsor.

• • Commitment Form:
    • Subrecipient Commitment Form – Use this form if the Subrecipient is not included among the list of institutions participating in the FDP Expanded Clearinghouse.
    • FDP Subrecipient Pilot – Supplemental Project Information Form – Use this form if the Subrecipient is included among the list of institutions participating in the FDP Expanded Clearinghouse.
    • Multiple Campus Award (MCA) Commitment Form – Use this form for Subawards to other UC Campuses.
  • Subrecipient’s statement of work (SOW)
    • This should include a clear and detailed description of the work to be performed, the proposed timelines, and deliverables.
  • Subrecipient’s budget and budget justification
    • The subrecipient’s direct and indirect costs should be calculated in accordance with sponsor guidelines using the subrecipient’s approved F&A and fringe benefit rates
      • If the subrecipient does not have a current federally negotiated F&A rate in place they have the following options:
        • Use a de minimis F&A rate of 15% MTDC;
        • Negotiate a F&A rate with their Cognizant Federal Agency;
        • Elect not to charge F&A.
    • Any committed cost-sharing must be verified in writing and signed by an individual with the authority to approve the cost-share.
  • If the proposal is for a Federal contract (not a grant or cooperative agreement):
    • Sole Source Justification – Completion of this form is mandatory when proposing subcontract(s) under a federal contract for sponsored activity and the subcontract is being issued without seeking multiple bids OR if subaward was not included in the original proposal submitted to sponsor under a grant or cooperative agreement. See Uniform Guidance Section 200.324 or the Federal Acquisition Regulation 6.302-1 for additional guidance.
  • Any additional elements that may be required by UCD’s sponsor for inclusion in the proposal. These may include:
    • Mini Audit Questionnaire – section D of the Subrecipient Commitment Form (above) will help determine whether this questionnaire is required.
    • eCOI – Financial Conflict of Interest Disclosures (PHS, Form 700-U, Form 800)

In rare instances, a PI may recognize the need for outside involvement on a project but is either unable to identify the best subrecipient by the time of proposal submission, or is unable to acquire all of the required paperwork from that subrecipient. In these instances:

• • Proposals may be submitted with a subrecipient “To Be Named.”
  • The PI is required to provide documentation of the basis for their subaward cost estimate for the work being performed.
    • PIs will also be responsible for managing any budgetary shortfalls that may result from their inability to accurately predict a subrecipient’s costs.
    • Subrecipients should not be asked to reduce their F&A recovery or to otherwise cost-share because of UCD’s failure to include appropriate costs in our proposal.

Other Subaward Stages

• • Outgoing Subawards – Overview of all subaward stages
  • Send a subaward request to SPO – Once a Prime Award has been awarded (fully executed) to UC Davis, the PI must send a request to the Sponsored Programs Office (SPO) that the subaward(s) be sent to the subrecipient(s).
  • Monitor a subaward – Once a subaward has been sent to a subrecipient, the PI is responsible to monitor it as described on this page.
  • Closeout a Subaward – Once a project with a subaward is complete, it must be closed out.