The Principal Investigator and corresponding department hold critical responsibilities in the outgoing subaward process, as outlined here.

Prior to Proposal Submission

• Determine whether the collaboration will be treated as a subaward (carrying out an intellectually significant portion of the Federal award, creating a financial assistance arrangement) or a contractor agreement (UI purchase order; obtaining goods and services, creating a procurement relationship).
  • Refer to “What is the difference between a Subaward, a Consulting/Professional Services Agreement, and a Contractor/Fee for Service Purchase Order?”.
• Select subrecipients based on technical expertise and potential ability to perform the scope of work successfully, within the infrastructure of the prime award. 
  • Refer to "Initiating a Subaward - Choosing a Subrecipient"
• Document the rationale for selection of the specific entity selected.

At Proposal Submission

• The PI/department negotiates the statement of work and budget with the Subrecipient. 
  • The Statement of Work should conform to the requirements of the prime award, such as performance measures required by the prime sponsor.
  • The Budget should follow the format required of the funding announcement and correspond to the type of subaward allowed in the funding announcement (e.g., cost- reimbursable, fixed price, or fixed rate/capitation).   
    • Allowable indirect cost rate is included for the Subrecipient per the terms of the prime award applicable to the type of work of the Subrecipient. 
• Include the Subrecipient's budget, justification, and statement of work and any other required information in the UI's proposal. See "Subrecipient's  Budget requirements" for additional details.
• Include each intended Subrecipient on the UIRIS Routing Form known at proposal stage.
• If the UI is applying to a sponsor with a conflict of interest in research policy requirement and the Subrecipient is not listed on the FDP FCOI Institutional Clearinghouse, send the Outgoing  Subaward Conflict of Interest in Research Form (formerly Form B) to the Subrecipient. See DSP Proposal Routing Form for additional instructions.

After Project is Funded

Initiate the Subaward Request

• Initial Stage
  • If needed (e.g. the prime award budget is other than proposed), the PI/department will re-negotiates the statement of work and budget with the Subrecipient before submitting the eDSP Outgoing Subaward (OGS) Request. 
    • The Statement of Work should conform to the requirements of the prime award, such as performance measures required by the prime sponsor.
    • The Budget should follow the format required of the prime award and type of subaward (e.g., cost-reimbursable, fixed price, or fixed rate/capitation).
      • Allowable indirect cost rate is included for the Subrecipient per the terms of the prime award applicable to the type of work of the Subrecipient. For entities that participate in the FDP Expanded Clearinghouse, this information may also be available there.
  • Subrecipient Information Form (Formerly Form I) should be completed for all NEW or Competitive Renewal subawards before submitting the eDSP Subaward Request.
  • For more information on the Outgoing Subaward Process, click here
• eDSP OGS Request Module
  • Initiate request through the DSP Research Tracker
  • For more information on completing the request, click here
• Select Vendor (i.e. Subrecipient)
  • If the subrecipient is new and not in the database, the Subrecipient will need to register online at this link.  This is required in order for the subrecipient's invoices to be paid from our purchasing system.
  • If the subrecipient is in database, but a new address is needed, e-mail the Purchasing Vendor File Team (VFT), purchasing-vendor@uiowa.edu, with subrecipient name, vendor number, new address, phone, and contact person.

Advance Payment

• If there is a request for an Advance Payment to the Subrecipient, please review the Advance Payment requirements and instructions 

Review the Subaward Agreement

• Upon receipt of the automatic e-mail with the subaward link, PI/Department should review the subaward to confirm the terms.
• Notify dsp-contracts@uiowa.edu if changes are needed for the draft subaward.
• Assists DSP if the Subrecipient questions the scope of work, budget, or other project specific terms.
• Upon receipt of the automatic e-mail with the fully signed subaward link, review the subaward to confirm the terms.
• Notify dsp-contracts@uiowa.edu if changes are needed.

Monitor Performance, Progress Reports, Invoices/Financial Reports, Compliance 

• PI is responsible for monitoring compliance with the terms of the subaward and the prime award. PI is responsible for monitoring the Subrecipient's performance of the work.
• PI is responsible for collecting Subrecipient progress and invention reports, documenting their review*, and locally retaining (in the PI’s or departmental records) those subrecipient reports as part of the regular record retention schedule required for the prime award**. *e.g., an email back to the subrecipient indicating the report has been reviewed and is acceptable, or annotating on the report itself “Reviewed, Approved” with PIs’ signature and date. **Generally the record retention period for federally funded awards is three years after project completion.
• Notify dsp-contracts@uiowa.edu if there are concerns regarding performance or if the subaward needs to be revised for any reason.
• PI or delegate is responsible for reviewing invoices/financial report for consistency with the subaward budget, and for monitoring performance of the work and compliance with the terms of the prime award. PI confirms this through the "Receipt" of a voucher in the e-Pro system. The PI should immediately contact Grant Accounting (GAO) with questions about invoices.
• Notify GAO immediately if invoices should be held due to performance issues or for any other reason.
• Notify Accounts Payable (AP) with a copy to GAO immediately if an invoice payment should be placed on hold, please reference the Subaward or PO number.