State and Federal Subcontracts

Subrecipient proposal elements must conform to the sponsor requirements for UCSF's prime proposal and in the required sponsor format. For foreign subrecipients, all documents required must be provided in English.

1. Subrecipient Commitment Form if the subrecipient is not another UC campus
   • If subrecipient is part the FDP Expanded Clearinghouse then a Letter of Intent signed by an Authorized Institutional Official may be provided instead. 
2. Statement of Work (SOW): Describe the work to be conducted by the subrecipient, define the deliverables, if applicable, and outline the time frame in which they are to be delivered. The SOW may also define all personnel and their responsibilities. It should be accurate and concise as to what, when, and if appropriate, how your organization will accomplish the work to be performed.
3. Budget and Budget Justification: Prepared in accordance with applicable sponsor guidelines and forms. Total costs will include the subrecipient’s direct costs for the project and indirect costs, if applicable. If the budget includse indirect costs, it must also include the calculation of the indirect costs.
4. Subrecipient's federally-negotiated F&A rate agreement, if applicable.
5. Multiple PD/PI NIH Assurance Form, (NIH, if applicable). 
   • This form is designed to comply with the requirements of NIH Notice NOT-OD-06-054; NIH requires that when multiple PD/PIs are proposed in an application, a written assurance be retained for all named PD/PIs and retain by the Prime Institution. If the subrecipient PI will be named as a PI/PD in UCSF’s proposal, this assurance must be signed and returned with the proposal packet and collected prior to submitting progress reports. 

• Biosketches (NIH) or CV, as applicable, for all key personnel
• Facilities and Resources (NIH)
• Equipment (NIH)
• Letters of Support, if applicable

Effective August 1, 2012, for all Public Health Service (PHS)-funded subawards the University is required to monitor subrecipient compliance with the PHS Financial Conflict of Interest regulations.  PHS Agencies include: NIH, CDC, FDA, HRSA, AHRQ, IHS, SAMHSA, and ATSDR.  

The UCSF Subrecipient Commitment Form (Section B.6) helps identify whether the subrecipient has a PHS compliant conflict of interest policy.  For subrecipients that have certified compliance through the FDP Clearinghouse, the signed SCF will confirm the compliance. For subrecipients that do not have a PHS compliant conflict of interest policy, UCSF requires that the subrecipient adopt one before a subaward can be issued. The resources below are provided to help with the adoption of a PHS compliant policy on conflict of interest. 

• Public Health Service FCOI regulations
• FAQs re: “Responsibility of Applicants for Promoting Objectivity in Research for which PHS Funding is Sought (42 CFR Park 50 Subpart F)
• Checklist for Policy Development related to the 2011 Revised Financial Conflict of Interest (FCOI) Regulation
• FDP “Model Financial Conflict of Interest Policy” (for potential adoption by Subrecipients who do not yet have an internal FCOI policy in places)

The UCSF Subrecipient Commitment Form helps identify whether the subrecipient meets the audit requirements of Uniform Guidance, Subpart F.  If a subrecipient does not receive an audit or has audit findings, UCSF may require the entity to complete an Audit Certification and Financial Status Questionnaire prior to establishment of a subaward.