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Subrecipient Monitoring. 02.17.2009. Subaward Definition. A formal binding legal agreement between your institution and another legal entity A portion of your sponsored project's intellectually significant activity is assigned to another entity (“the subrecipient”) to fulfill

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subaward definition
Subaward Definition
  • A formal binding legal agreement between your institution and another legal entity
    • A portion of your sponsored project's intellectually significant activity is assigned to another entity (“the subrecipient”) to fulfill
    • Work is generally performed by the subrecipient’s personnel using their resources, usually at their site
  • The subrecipient takes full responsibility, including intellectual leadership, for a portion of your work statement
  • The award terms and conditions (T&C) you accepted are “flowed down” to the sub, which must also agree to comply with them
    • audit requirements, restrictions on rebudgeting, human and animal subjects approvals, conflict of interest, etc.
decision matrix
Decision Matrix

A subaward may be appropriate if you can answer “yes” to any of the following questions:

  • Does the entity’s statement of work represent an intellectually significant portion of the programmatic effort of the overall project?
  • Does the entity have responsibility for programmatic decision making?
  • Could the entity’s work result in intellectual property developed or publishable results (including co-authorship)?
  • Will the entity need animal and/or human subjects approvals for its portion of the work?
proposal preparation
Proposal Preparation

Subrecipient must submit:

  • Signed Letter of Intent (Commitment Form)
  • Scope of Work
  • Budget
  • Budget Justification
  • Other items as required
fair and reasonable costs analysis forms
Fair and Reasonable Costs Analysis Forms
  • Tools for investigators choosing collaborators
  • Helpful during audits
  • These forms do not need to be submitted to SPA with one exception: federal contracts (Form 2 should be submitted to SPA).

Federal Funding Accountability and Transparency Act

  • SPA collects and sends data to Feds
  • SPA will not pay invoices until the FFATA form is returned by the subrecipient
  • Any FFATA questions/forms received should be forwarded to SPA
subaward issuance
Subaward Issuance
  • Subrecipient Principal Investigator and institutional contact information
  • Statement of Work
  • Budget (including cost sharing if applicable)
  • Technical/financial reporting requirements
  • Payment terms and schedule
  • Subaward performance period
  • Other information as required
determining invoice payment status
Determining Invoice Payment Status

The Job Aid Find A Voucher and Pay Date can be found at www.ospa.umn.edu/subaward/index.htm under “Job Aids.”

finding a subcontract s balance
Finding a Subcontract’s Balance

The Job Aid PO Balances by Project can be found at www.ospa.umn.edu/subaward/index.htm under “Job Aids.”

payment and pi approval
Payment and PI Approval
  • PI monitors subrecipient technical progress
  • PI/Dept. review, monitor receipt of invoices
  • PI reviews and signs invoices

Quick Tips:

  • Invoices may be emailed to the GA
  • PI may email GA with approval, no ink signature necessary
wire transfers and special handling
Wire Transfers and Special Handling
  • Disbursements only allows wire transfers to foreign sites
  • SPA does the wire transfer
  • Special Handling options, such as expedited payment, are available with good reason
requesting a subaward modification amendment
Requesting a Subaward Modification (Amendment)

Modification may need sponsor approval

Notify your GA of proposed modifications

Provide SPA the following (if applicable)

Revised Budget

New Period of Performance

Changes to Scope of Work

Subrecipient PI change


SPA recommends starting close out process three months prior to end date

Final Invoice should be marked “Final”

On Federal projects final invoices and reports should be received in a timely manner

SPA will send a “Subaward Release Form” and will not process payment until received

Late invoices and invoice disputes handled on a case by case basis. Contact your GA.

subaward best practices
Subaward Best Practices

Proper documentation of sub choice (see Fair & Reasonable Cost Analysis Forms)

Timely monitoring of subs progress by PI

PI review and sign invoices

Departmental monitoring of sub invoices

Contact your GA right away if a problem develops


SPA’s Subaward Website: www.ospa.umn.edu/subaward/index.htm

SPA’s Helpline: 612-624-5599

To find Vouchers and Pay Dates in PeopleSoft: Purchasing > Purchase Orders > Review PO Information > Activity Summary

To find PO Balances by Project in PeopleSoft: Purchasing>Purchase Orders>Reports>Req and PO Budgetary Activity