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When the prime award is processed in Sponsored Projects & Contracting Services (SPCS) and assigned a UAccess Financials account number, the SPCS Subawards Team will send a notification to the University of Arizona principal investigator and business/finance office detailing the next steps in issuance of the subaward to the subrecipient institution. The communication will include reference to the UAccess Research Subaward ID and Negotiation ID. If it is known that a subaward will be issued but communication from the SPCS Subawards Team has not been received, notify SPCS Subawards of the pending issuance of the outgoing award and proceed with the following steps:
The business/finance office completes the Subaward Initiation Form. The following forms, which were completed during the proposal stage, are submitted to SPCS Subawards with the Subaward Initiation Form:
- Subrecipient Commitment Form (if the subrecipient is an FDP Expanded Clearinghouse participant, only the first page of the subrecipient commitment form is required)
- Subaward Budget Negotiation Documentation Form
- Subaward Sole Source vs. Competitive Bid Request Form
- Subrecipient W-9
Also required are:
- The subrecipient’s detailed scope of work to include deliverables and milestones, budget and budget justification
- If the prime award is NASA funded, the NASA Assurance of Compliance – China Funding Restriction affidavit is required
The business/finance office sends the required documents to the SPCS Subawards Team via email at SPS-Subawards@email.arizona.edu or to the contact indicated in the subaward notification correspondence. Please reference the UAccess Research Subaward ID and Negotiation ID provided in the SPCS Subawards Team’s initial communication. Missing or incomplete documents may delay the processing of the subaward.
Upon receipt of the Subaward Initiation Form and other required documents, the SPCS Subawards Team begins the various required compliance checks on the potential subrecipient:
- Financial audit checks based on OMB Uniform Guidance (2 CFR 200), Subpart F.
- Compliance requirement checks (Export Control, Conflict of Interest, sam.gov registration, etc.)
- Compliance check for debarred/suspended entities and individuals
- Complete risk assessment of subrecipient to establish risk level. Each risk level conveys a different set of responsibilities for the principal investigator and business/finance office as defined in the Subrecipient Monitoring Guide
The SPCS Subawards Team drafts the new subaward agreement. The SPCS Subawards Team initiates the following actions at this step in the subaward generating process:
- Determine the most appropriate type of subaward agreement to be drafted
- Government/prime award mandated compliance requirements are flowed down to the subrecipient
Once the subaward agreement has been drafted, the draft will be provided to the business/office and/or principal investigator for approval. Approval is obtained via signed form SC-227. Upon receipt of the signed SC-227 form, the SPCS Subawards Team sends the subaward to the subrecipient for review and signature. Additional negotiation of the subaward terms may be necessary and require further principal investigator and business/finance office involvement. Upon final agreement between the University of Arizona and the subrecipient, the SPCS Subawards Team will obtain a partially signed agreement from the subrecipient and direct the business/finance office to initiate the Requisition.
Once a partially signed agreement has been obtained, the SPCS Subawards Team will direct the business/finance office to initiate the UAccess Financials Requisition.
- The first $25,000 of each subaward should be entered as a separate line item under object code 3350
- The remaining amount of the subaward should be entered as another line item under object code 3340
Please reference the Subaward ID and/or Negotiation ID, previously provided by the SPCS Subawards Team, in the Requisition.
Instructions and details can be viewed via the Subaward Requisition & PO Amendment Training link. The Requisition must be approved by the business/finance office (depending on the individual business/finance office this could be one or several approval actions in UAccess Financials). It will then route to SPCS for review and approval. The SPCS Subawards Team is the last approval action required before the requisition is established as a Purchase Order by Procurement & Contracting Services.
When the Requisition has routed to the SPCS Subawards Team, the SPCS Subawards Team will approve the Requisition in UAccess Financials. The Requisition is then routed to and approved by Procurement & Contracting Services (PACS) for Purchase Order (PO) assignment. When the PO is assigned and approved, the Contract & Research Support Program (CRSP) office will fully execute the subaward. Once all steps are complete, the SPCS Subawards Team provides a fully-executed subaward to the subrecipient and the University of Arizona business/finance office.
When the agreement is fully executed, University of Arizona subaward management begins. The principal investigator and the business/finance office should review the Subrecipient Monitoring Guide for detailed information about their subrecipient monitoring responsibilities, which leads into the next section - Subaward Management.