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 or send a hardcopy to 2 GILH.


In early 2018, the Division of Sponsored Programs (DSP) will be launching a new subaward form and process to capture more accurate information about projects and eliminate the need to route forms through the Preq system.

With this in mind, DSP is soft launching a new outgoing subaward form, the UI Subaward Information Form (Form I), which combines two current forms, the ‘Subaward Compliance and Reporting Requirements’ form for new subaward agreement requests and the ‘Audit Certification and Financial Status Questionnaire’ form.

This is the first step for campus as DSP works to complete our new subaward request process and module through the Research Tracker.  The information collected on the Form I is specific to outgoing subawards, which will translate directly to the new subaward request process.  Users will no longer have to navigate a system (the Preq) that is not built for this purpose. 


Here are important dates:

Tuesday, December 5, 2017 – Soft launch of the Form I (not yet required by strongly encouraged to use right away)

Tuesday, January 2, 2018 – Form I will be required for all new outgoing subaward requests


Advantages to campus:

  • Only one form with all of the compliance and contact information
  • Accurate information provided by the subrecipient before a subaward is drafted to ensure the correct offices and personnel are contacted from the start
  • 1-step closer to the new subaward request process through the Research Tracker, replacing the use of the Preq system for outgoing subawards

Here are the requirements of departments:

  1. The Form I is required for all NEW subawards
  2. UI research support staff/PI’s will find the blank form on our website
  3. The partially completed form is to be sent to your subrecipient contact by you for completion
  4. Once the subrecipient returns the completed form to you/the PI, attach it to the Preq request

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

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 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)
                 Grant Accounting Office (GAO)
                 Accounts Payable (AP)

Additional Information on Roles and Responsibilities

                 NCURA's Subrecipient Monitoring Video


Initiating a Subaward (New and Amendment)


Required Documentation for a New Subaward

The following documents are required to initiate a NEW 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.
  • Subrecipient Statement of Work.
    • Attach the statement of work to the Preq.  Click here for a template you can use for the Statement of Work.
  •  Subrecipient 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 Subrecipient 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 Subrecipient is required to provide cost share or matching funds, a cost share budget should also be provided. Attach the budget to the Preq.
  • UI Subaward Initiation Form (Form I)
    • This form must be complete and signed by the subrecpient before the subaward is requested.
  • Subrecipient Conflict of Interested Questionnaire (Form B).  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

Required Documentation for a Subaward Amendment

  • 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 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