Required Forms for Outgoing Subawards

These documents are required for any outgoing subaward issued from UCLA OCGA. Proposal Stage documents are required for the review prior to endorsement of a proposal containing a Subaward or a Multi-Campus Agreement (MCA). Required for new, renewal, and supplemental proposals.

FDP Expanded Clearinghouse - Changes to Use of Subrecipient Commitment Forms
UCLA is participating in the national FDP Expanded Clearinghouse, which began on August 18, 2016. In order to reduce the administrative burden related to incoming and outgoing subawards, pilot participant central offices will be relying on institutional information from profiles housed on the FDP website, instead of institutional information from individual Subrecipient Commitment Forms. Subrecipient Commitment Forms typically require completion of institutional information about our F&A rates, fringe benefit rates, audit status, COI policy status, Federalwide Assurances, etc.

If UCLA is receiving a subaward from, or issuing a subaward to, another FDP Expanded Clearinghouse participant institution, we should discontinue Subrecipient Commitment Forms. Instead of the Subrecipient Commitment Form, participants will be asked to fill-out a short Letter of Intent. The list of FDP Expanded Clearinghouse participants is available on the UCLA FDP Expanded Clearinghouse Letter of Intent below and also on the FDP website. If an institution is not a part of the FDP Expanded Clearinghouse, UCLA should continue to do business as you have in the past (sending or receiving subrecipient commitment forms, if needed.)

Proposal Stage

Subrecipient to provide either:

• FDP Expanded Clearinghouse Subrecipient Letter of Intent (If Subrecipient is a participant in the FDP Expanded Clearinghouse); OR
  
  Required documents with Letter of Intent:
  • Subrecipient's Statement of Work (SOW)
  • Subrecipient's Line Item Budget and Budget Justification
  • Cost Share Budget and Justification (if applicable)
• Subrecipient Commitment Form (If Subrecipient is NOT a participant in the FDP Expanded Clearinghouse)
  
  Required documents with the Commitment Form:
  • Subrecipient's Statement of Work (SOW)
  • Subrecipient’s Line Item Budget and Budget Justification
  • Cost Share Budget and Justification (if applicable)
  • Federal Negotiated Indirect Rate Agreement (if applicable)
  • Federal Negotiated Fringe Benefit Rate Agreement (if applicable)
  • PHS Financial Disclosure Form for Investigators for Subrecipient Entities (if applicable)
  • Certificate of Compliance (if applicable)
  • Financial Audit Management Questionnaire (if applicable)
  • List of FFATA most highly compensated officers (if applicable)

UCLA PI to provide:

• Subrecipient vs. Contractor Determination Checklist (Attachment A)
• Fair & Reasonable Cost-Analysis for Subawards to For-Profits under Grants and Cooperative Agreements (Attachment AA)

If Multi-Campus Award (MCA) with sister UC campus:

• Multi-Campus Award (MCA) Commitment Form
  
  Required documents with the form:
  • UC participating campus' Statement of Work (SOW)
  • UC participating campus' line item budget and budget justification

Award Stage

• OCGA Subaward Checklist
  • Copies of subrecipient compliance documents: Human Subjects, Animal Subjects, Stem Cell, etc.
• MCA Checklist
• Copies of Proposal Stage documents as well as UCLA OCGA Award Snapshot

Subaward Management

• Sample Subaward Invoice
• Subaward Invoice Ceritfication
• Please see Subaward Agreement for list of required reports (Invoices, Technical Progress, Patent Disclosures, and any other required reports)

Close-Out Stage

UCLA PI to provide:

• Subaward Final Close-out Certification (Attachment D)
  Please see Subaward Agreements and Amendments for list of required reports (Final Invoice, Final Technical, Final Patent, and any other required reports that UCLA PI/Department should collect).