Office of Criminal Justice Grants

Third-Party Subrecipient Determinations

The determination checklist indicated I was entering into a relationship with a SUBRECIPIENT, what do I do now?

Now that you have determined your contractual service relationship is with a third-party subrecipient, your organization is now considered a "pass-through entity". As a pass-through entity you are now responsible for ensuring your subrecipient adheres to the terms and conditions of the federal award and the rules and regulations governing federal grants. Following the steps below will help ensure you maintain compliance for both you and your third-party subrecipient.
 

Step 1: Third-Party SAM Registrations and EEO Certifications
Many of the compliance requirements you were required to complete with your application flow down to any third-party subrecipient you contract with. As a pass-through entity, you are now responsible for ensuring your third-party subrecipient maintains active registrations and certifications in order to receive reimbursement. 

SAM Registration
As a tiered recipient of federal grant funds, your third-party subrecipient must register in SAM.gov and must maintain an active registration through the life of the award. OCJG will not be able to reimburse you for any expenses without your third-party having their own active SAM registration. They may complete their registration by visiting: https://sam.gov/content/entity-registration. As a pass-through entity, you should maintain a printed copy of their active SAM registration in your grant file and provide it upon request to OCJG. 

EEO Certifications
All recipients of federal funds must comply with Equal Employment Opportunity (EEO) Certification provisions. It is recommended for all recipients and subrecipients to create an account through the Office for Civil Rights (OCR) EEO Reporting Tool  and complete annual certifications and plans through the portal. However, recipients and subrecipients are able to complete the PDF EEO Certification in lieu of using the portal. EEO Certifications expire one year from the date signed. As a pass-through entity, you should maintain a printed copy of their active SAM registration in your grant file and provide it upon request to OCJG. 
 
Step 2: Develop and Execute your Third-Party Subaward Agreement

There are numerous compliance requirements and conditions that must be passed down to your third-party subrecipient. In order to ensure the compliance requirements of third-party subawards, OCJG developed the Third-Party Subaward Compliance Checklist that must be completed and submitted to OCJG for review, along with a copy of your executed third-party agreement. 

In addition to completing and submitting the compliance checklist above, you must complete the Third-Party Certificate of Subaward and incorporate it into your official records with your provider. This form assures compliance with the pass-through entity provisions outlined in 2 CFR 200.332(a)(1). This form must be completed and provided to OCJG at the time of monitoring. 

As a recipient/subrecipient of federal funds, you are responsible for ensuring your agreements comply with the required provisions. If you have an existing contractual agreement with your subrecipient, you  must ensure the agreement is modified to incorporate and comply with the relevant elements outlined in the compliance checklist. Failure to ensure your agreements meet the federal contracting compliance requirements will result in a finding on your award at the time of monitoring.
 

Step 3: Complete the Third-Party Subaward Risk Assessment
Federal guidelines require pass-through entities to perform a "risk assessment" on each subaward they issue to gauge the recipient's risk of noncompliance with federal rules, regulations, and the terms and conditions of the executed award.  In order to streamline this process, OCJG requires all recipients entering into third-party subrecipient relationships with providers to complete the Third-Party Risk Assessment form. This form should be completed at the time the third-party subaward is executed and must be maintained and provided to OCJG at the time of monitoring. 
 
Step 4: Complete the Third-Party Subaward Monitoring Questionnaire
Pass-through entities are required to monitor the compliance of their subawards, not only for programmatic/performance aspects, but for financial and general administrative compliance as well. Once your third-party subrecipient is well underway and conducting activities, you should conduct the Third-Party Subaward Monitoring. While OCJG acknowledges each organization may have its own "contract" monitoring processes and tools, we require our recipients to use our Third-Party Subaward Monitoring Questionnaire to monitor the activities of their subrecipient. This form should be completed and provided to OCJG upon request. 

In the event you notice areas of concern during the monitoring of your third-party provider please contact your assigned Grant Specialist C (GSC), or the CPR Unit Supervisor, for further guidance. 


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