Send a Subaward Request to SPO

Funds are not automatically forwarded to a subrecipient once a Prime Award has been awarded (fully executed) to UC Davis. The PI must send a request to the Sponsored Programs Office that the subaward be sent.

• • This is because the PI knows best when subrecipient involvement is to begin on a project.
    • This said, if subrecipient involvement is to begin in Project Period 1/Year 1, it is good practice for the PI/Department Administrator to do the steps below immediately after notification that the Prime Award has been fully executed.

Click link to jump down to the relevant section:

 

Step 1: Complete a Subaward Request Form

In most cases, a sponsor’s prior approval will be required if the request to engage a subrecipient was not included in the original proposal to the sponsor. PIs are responsible for initiating such prior approval requests by contacting their Sponsored Programs Office (SPO) awards analyst, and are also responsible for obtaining the countersignature of their authorized sponsor official as required. Subawards may not be issued until all necessary sponsor approvals are obtained.

After receiving notification from SPO that the Prime Award has been awarded/fully-executed, complete a Subaward Request Form.

• • Subaward Request Form Instructions.

Helpful resources:

• • Subawards FAQs
  • Learn: Subawards – webpage with FAQs, written materials, how-to videos, and links to eCourses and instructor-led trainings

Step 2: Gather/prepare applicable required documents

For subaward amendment requests (jump down to section)

For new subaward requests, the following documents must accompany the Subaward Request Form:

• • Subrecipient Commitment Form:
    • You must provide an appropriate subrecipient commitment form completed and signed by the subrecipient’s Authorized Official within the past 12 months.
      • 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.
  • Mini-Audit Questionnaire:
    • Required if the subrecipient has indicated “No” in Section D – Audit Status of the Subrecipient Commitment Form.
    • The completed questionnaire must be signed by the Subrecipient’s Authorized Official within the past 12 months.
  • Subrecipient’s statement of work:
    • This should include a clear and detailed description of the work to be performed, the proposed timelines, and deliverables.
  • Subrecipient’s budget and justification:
    • At minimum, a budget for the initial budget period (e.g. Year 1) is required.
    • A Budget that includes the entire performance period (e.g. Years 1-5) may be provided
      • If this is done, the entire performance period budget will be included in the subaward, unless the UCD PI requests otherwise.
        • If the budget for the entire performance period is included in the initial Subaward agreement, the UCD PI will not need to provide budgets for future year amendments, unless there are changes to the budgets for those years.
  • Sole Source Justification Form:
    • For federal projects. If the subrecipient was not included in the proposal approved by the federal sponsor OR the subrecipient was not selected via a competitive bid, a Sole Source Justification Form must be completed if the request is for a “subcontract” under a prime award contract.
  • Subrecipient Conflict of Interest (COI) disclosure:
    • For subrecipients that do not have a PHS- or NSF-compliant conflict of interest policy, the subrecipient must either implement a compliant conflict of interest policy or agree to abide by UCD policies and complete the required Financial Disclosure forms before a subaward can be issued:
      • eCOI – Financial Conflict of Interest Disclosure Forms (PHS, Form 700-U, Form 800)
      • UC Davis PPM 230-07
    • Section C of the Subrecipient Commitment Form helps identify whether the subrecipient has a compliant conflict of interest policy.
    • For subrecipients that have certified compliance through the FDP Clearinghouse, the signed FDP Subrecipient Pilot – Supplemental Project Information Form will confirm the compliance.

For subaward amendment requests, the following documents, when applicable as indicated below, must accompany the Subaward Request Form:

• • Subrecipient’s statement of work (SOW):
    • Provide a revised SOW only if there has been a change to the SOW that was previously included in the subaward agreement.
  • Budget and budget justification:
    • Provide a revised budget and justification only if:
      • The subaward is being funded incrementally, you are adding the next year’s funds, and the budget for these funds was not previously included in the subaward agreement; or
      • There has been a change to the subrecipient’s budget (i.e. a change from the budget that was included in the initial agreement, or in the most recent amendment); or
      • The subaward funding amount is being decreased, or unspent carry-forward is being removed from the subaward budget.
  • Mini-Audit Questionnaire:
    • If a Mini-Audit Questionnaire was required as part of the initial subaward request package and more than 12 months have passed since it was originally signed, you must provide an updated completed questionnaire signed by the subrecipient’s Authorized Official.

Step 3: Email materials to the Subaward Team

Email the completed and signed Subaward Request Form and all required documents to the Subaward Team at [email protected].

• • The attached documents should be current or applicable to the period of performance for which you are subcontracting.

Incomplete request forms will be returned to the sender and will delay processing of subaward(s).

Step 4: Work with SPO during subaward review

Check your email for correspondence from the Sponsored Programs Office (SPO) regarding the proposal.

• • Emails may come directly from your assigned SPO analyst, [email protected] or [email protected] (do not reply to this email address).

View the Subaward in Cayuse SP to determine its status, the assigned SPO analyst and any outstanding items.

• • Handbook for Accessing Subawards in Cayuse SP
  • Cayuse SP Handbook for Department Contract & Grant Staff, Principal Investigators and Approvers

Other subaward stages

• • Outgoing Subawards – Overview of all subaward stages
  • Prepare a proposal with subawards – If a proposal is to include a subaward to a subrecipient (or subawards to subrecipients), the information indicated on this page should be included in the proposal.
  • 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.