Source: OSP Website

A subaward is an enforceable agreement, issued under a prime sponsored project, between a pass-through entity and a subrecipient for the performance of a substantive portion of the program; these terms do NOT apply to the procurement of goods or services from a contractor (vendor). (See Subrecipient vs. Contractor Guidance).

A Subrecipient (also called a subcontractor or subawardee) is an organization eligible to receive a financial award. A subrecipient’s performance is measured against whether the objectives of the sponsored program are met; subrecipients have responsibility for programmatic decision-making and for adherence to applicable program compliance responsibilities. Subrecipients are responsible for performing a substantive portion of the program, as opposed to providing goods and services.

Best Practices for Managing a Subaward

Proposal Development Stage

Please see additional information on adding subaward agreements during the proposal stage at Including a Subaward.

Just in Time Stage

The department collects both sponsor required and SPA required documents from a subrecipient. If a revised budget is needed, a signed revised Statement of Intent (SOI) should be provided. SPA includes the subrecipient related documents with the JIT package when submitting to the prime sponsor.

Award Stage

Requesting a Subaward

• During the award set up stage, the department notifies SPA If any of the following apply:
  • Subrecipient involvement in the awarded project that was not included in the proposal
  • Changes to the subrecipient’s awarded amount
  • If there is a change, the department may need to obtain revised documents from the Subrecipient
• The dept initiates a request to issue the subaward agreement:
  • The subaward documents are logged in GMAS for review and drafting the subaward agreement
  • After the document is drafted, a member of the OSP Negotiations team will review for compliance with the prime award terms and conditions
  • Once the draft has been reviewed, the Awards Management Portfolio Owner will share with the Department Administrator for review and comment
  • Once everyone has reviewed and approved of the content, the subaward agreement will be sent to the subrecipient by OSP
  • Subawards are issued with a one-year period of performance to ensure adequate monitoring of technical progress and compliance with university and sponsor requirements
• If a subrecipient was not identified at the proposal stage:
  • The department enters a “Subagreement Addition at No Additional Cost” Request (under Changes to Existing Segment) in GMAS
  • The OSP Awards Management team will review Subagreement Addition at No Additional Cost requests once the GMAS request has all required signatures
  • The OSP Awards Management team will submit the request to the sponsor if prior approval is needed

Requesting an amendment to an existing subaward

When a subaward agreement needs to be changed/amended, the department contacts the OSP Awards Management Team Portfolio Owner to request that the amendment be drafted.

Subrecipient Monitoring

The following entities share Subrecipient Monitoring Responsibilities:

• PI & Department/Local Level Managing Unit
• School/Local Unit
• OSP
• University Subrecipient Monitoring Committee (USMC)
• Office of the Provost

For more information, please refer to the OSP Subrecipient Monitoring Policy.

Closeout Stage

During the closeout of a subaward, the PI and the department must ensure that all required reports and deliverables are submitted to the sponsor. This may include technical reports, final invoices, property reports, patent reports, assignment and release forms, or any other documents noted in the Notice of Grant Award (NOGA).

For assistance with final financial reports, please contact the OSP Financial Analyst.

For assistance with non-financial final reports, please contact the OSP Awards Management Team Portfolio Owner.

If there is cost sharing requirement, the PI and the department ensure these requirements have been met by the subrecipient.

If the subaward agreement needs to be amended upon receipt and payment of the final invoice, the department contacts the OSP Awards Management Team Portfolio Owner to amend the agreement accordingly.