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
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
- Outgoing Subawards Fri June 12, 2015: View PowerPoint
- Outgoing Subawards Class - Proposal Stage, May 10, 2017: View PowerPoint
- Outgoing Subawards Class - Award Stage, May 24, 2017: View PowerPoint
- Initiating a Subaward
- Advance Payments
- Revising an Existing Subaward
- Subaward, Professional Services Agreement or Fee for Service (Contract or Purchase Order)?
- Subawards and Fee for Service Agreements with Another UI Department
Checklists
Forms
- Subawardee Statement of Work-
Statement of Work Template
- Reporting Requirements - Subaward Compliance and Reporting Requirements- Required for all subawards
- Audit Certification and Financial Status Questionnaire
- Subaward Amendments - Subaward Amendment Request Form
- Conflict of Interest in Research (Outgoing Subaward Institution)
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 )