The University of Iowa
Division of Sponsored Programs

Subawards from The University of Iowa

The University of Iowa issues subawards when a portion of the work related to an externally funded project is to be performed by a third party. The Division of Sponsored Programs develops and negotiates the general administrative terms for subawards. The PI is responsible for determining the budget and monitoring subaward performance and payment, including monitoring the budget and scope of work for compliance with UI and sponsor policies and the terms of the prime award. Grant Accounting, Purchasing, and Accounts Payable work with the purchase order, risk assessment, invoices, and payment.

There are times when work performed by a third party (Subawardee) will not include funding from the University of Iowa prime award, but that work will require the subawardee to perform human or animal studies.  These are called “Zero-Dollar” Subawards and are required in order to flow down the terms and conditions of the prime award, as well as ascertain the subawardee's compliance with the appropriate human subject and animal care regulations.  To request a Zero-Dollar subaward, please complete the Zero Dollar Subaward Request Form (for New Agreements or Amendments) and either email to dsp-contracts@uiowa.edu or send a hardcopy to 2 GILH.

Outgoing Subaward Overview Process Flowchart
The flowcharts are an overview process for new subawards and amendments.

UI is a participant in the FDP Expanded Clearinghouse Pilot as of July 7, 2017.  For detailed information, visit www.fdpclearinghouse.org. 
 

Goals of the Pilot (for Pilot members only): 

  • Reduce administrative burden associated with verifying standard information required for subrecipient issuance and monitoring
  • Eliminate swapping of subrecipient commitment forms collecting general institutional information

What this means for UI:  At this point, participation in the FDP Expanded Clearinghouse will primarily impact forms completed and sent by Sponsored Programs and Grant Accounting.

For Departments and PIs: Please note that it is still acceptable, and expected, to collect transaction-specific information from subrecipients such as the statement of work, budget, and forms required for the proposal (biosketches, other support, etc.), as well as a letter of intent/commitment.

If you receive any questions regarding the FDP Expanded Clearinghouse about which you are uncertain, please contact DSP at dsp@uiowa.edu or 319-335-2123.

Outgoing Subaward Roles and Responsibilities

The following links describe the roles and responsibilities of various offices involved in the subaward process.  Click on the link to read more about what a particular office does to establish, monitor, and close-out an outgoing subaward with research collaborators.

                 Principal Investigator (PI)/Department
                 Division of Sponsored Programs (DSP)
                 Conflict of Interest in Research (COIR)
                 Purchasing
                 Grant Accounting Office (GAO)
                 Accounts Payable (AP)

Additional Information on Roles and Responsibilities

                 NCURA's Subrecipient Monitoring Video
                

 
 

Required Documentation

The following documents are required to initiate a subaward:

1.  Preq.  The category code on the Preq should be 99990000, which will bring up the designated Purchasing Agent for subawards.  You must complete the Sole Source Justification if the subaward exceeds $25,000.

2.  Subawardee Statement of Work. Send the statement of work as an attachment to the Preq, labeled with the Req ID number.  Click here for a template you can use for the Statement of Work.

3.  Subawardee Budget. F&A cost rates must be within the limit allowed by the prime sponsor for the prime award project.   If the project is federally funded, confirm that the Subawardee has federally approved fringe benefit and F&A rates if those costs are included in the budget. In the event that federally negotiated F&A and/or fringe rates do not exist, a maximum of 10% MTDC, less equipment, F&A will be allowed, and supporting documentation for fringe benefits must be provided. If the prime sponsor has a lower rate, such as NIH's current 8% rate for foreign subrecipients, the lower rate must apply. If the Subawardee is required to provide cost share or matching funds, a cost share budget should also be provided.  Send the budget as an attachment to the Preq, labeled with the Req ID number.

4.  Audit Certification and Financial Status Questionnaire. The questionnaire is required for all new subawards issued to individuals or entities that are not U.S. accredited institutions of higher education. Send the completed Questionnaire to DSP as an attachment to the Preq.

5.  Subrecipient Questionnaire – Conflict of Interest. Effective August 1, 2012, for all 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 DSP Proposal Routing Form helps monitor whether the subrecipient has a PHS compliant conflict of interest policy.  For subrecipients that have certified compliance through the FDP Clearinghouse, the routing form notifies you of their compliance.  For subrecipients that have not certified on the FDP Clearinghouse, Form B must be completed prior to application submission and must be attached to the DSP Proposal Routing Form.  For complete instructions, please see the Process Map, Form B, and the Outgoing Subaward Conflict of Interest FAQ’s below

6.  Subaward Compliance and Reporting Requirements   The Subaward Compliance and Reporting Requirements form is required for all new subawards and amendments issued under federal awards that are subject to the Uniform Guidance.  Contact DSP if you have questions whether your federal award is subject to the Uniform Guidance.  We recommend use of this form for all outgoing subawards.  Send the Subaward Reporting Requirements form as an attachment to the Preq or Subaward Amendment Request Form.

If you have questions about outgoing subawards, please email dsp-contracts@uiowa.edu or call 335-2123. Outgoing subawards are generally assigned to DSP staff according to the PI's college or unit.  Click here for the DSP staff directory.

Outgoing Subawards: Further Reading/Resources

Checklists

Forms

 

 

 

John Massa put in the extra space at the end of the page so that the text anchors will work properly.  Without the extra space, this anchor will not go to the correct FORM A and FORM B location (above) and will, in fact, go to the wrong location on the page.   This will be very confusing to users attempting to find a form which is mandatory prior to proposal submission.  The same is true for another anchor. Please do not delete the space.  (The problem is caused by the large footer below, which prevents the page from scrolling down sufficiently to get to the anchor.  If you know of another solution, please get in touch at john-massa@uiowa.edu )

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