Introduction

The University of Iowa issues outgoing subawards/subcontracts 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 in accordance with the prime award policies. The PI is responsible for determining the budget of each subaward, and monitoring the subrecipient's performance on the project, reviewing all subrecipient invoices for payment, overseeing the budget and scope of work is in compliance with UI and sponsor policies and the terms of the prime award. Grant Accounting Office (GAO) and Accounts Payable work with the risk assessment, invoices, and payment.  See ‘Outgoing Subaward Roles and Responsibilities’ below for more information.

There are times when work performed by a third party (Subrecipient) will not include funding from an external award, but that work will require the Subrecipient to perform human or animal studies under an external award.  These are called “Zero-Dollar” Subawards and are required to flow down the UI or award terms and conditions, as well as ascertain the Subrecipient’s compliance with the appropriate human subject and animal care regulations. There are times when a UI department would like to issue a subaward/subcontract to a third party but pay them using internal UI funds (a non 500 or 510 account). Currently, our OGS Request Module is not set up to handle requests for these two situations, please send an email to dsp-contracts@uiowa.edu if you are interested in issuing a Zero Dollar Subaward or a Subaward utilizing internal UI funds.

News and Updates

eDSP Outgoing Subaward (OGS) Module.  For instructions on using the OGS Module system for making a request, visit the OGS Request Module page.

We have an updated Subrecipient Information Form (formerly Form I) (Open with Adobe to render form correctly) for new OGS requests.  Please use this form for each request for an outgoing subrecipient.

Outgoing Subaward (OGS) Roles and Responsibilities

For an overview of the University of Iowa responsible parties involved in the outgoing subawards, please review this Outgoing Subaward Overview Process Flowchart.  This flowchart corresponds with the links below, which provide a detailed description of each party’s roles and responsibilities. Please click on the corresponding link for a specific role and responsibility. 

Outgoing Subaward Process

Preparing to Request a Subaward

Before a new subaward or amendment can be requested, a few items must first be in place:

  • Subrecipient Budget (link to sample budget templates)
    • Subrecipient Budget must follow the format required and approved per the Prime Award in accordance with the type of subaward requested (e.g., cost-reimbursable, fixed price, or fixed rate/capitation). Link to PHS 398 budget forms
      • Subrecipient F&A cost rates: Must be clearly outlined in the detailed budget and within the limit allowed by the prime sponsor for the prime award project and supported by appropriate documentation. If the project is federally funded, confirm that the Subrecipient has a federally approved fringe benefit and F&A rate if those costs are included in the budget. In the event that a federally negotiated F&A and/or fringe rates does not exist, the Subrecipient may utilize the de minimis rate for the project, which is a maximum of 10% MTDC (e.g., capitalized equipment, GRA tuition, patient care costs, and participant support costs). The University of Iowa does not negotiate F&A rates with subrecipients; the limits specified above apply.
      • If the prime sponsor has a restriction on the F&A rate for the project or for the type of subrecipient, 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. 
      • Provisional F&A rate agreements are generally not accepted as approved indirect cost rate agreements, if a Subrecipient is requesting the use of a Provisional F&A rate, additional review and approvals are required of DSP, GAO, and the prime sponsor. 
      • *Note: Please review the sponsor’s grants policy statement and terms of your award for any additional considerations or restrictions
  • Subrecipient Budget Justification
    • Include a detailed budget justification corresponding to the detailed budget
  • Subrecipient Statement of Work (link to sample SOW template/outline)
    • Subrecipient Statement of Work should clearly outline the responsibilities of the Subrecipient’s performance of the project.
  • UI Subrecipient Information Form (formerly Form I) (Open with Adobe to render form correctly) for all NEW and competitive renewal subaward requests
  • Outgoing  Subaward Conflict of Interest in Research Form (formerly Form B), if applicable and not previously provided/completed at the proposal stage
  • Other information as required for the particular project

Initiating a Subaward Request (New and Amendment)

A new subaward or amendment to a current subaward is requested through the specific project found on the DSP Research Tracker.  To initiate the subaward request:

  • Search for the project in the DSP Research Tracker
  • Select the ‘Project’ view
  • Expand ‘Outgoing Subawards’ at the bottom of the page
  • Select ‘Initiate a New Subaward or Amendment’ and follow the wizard
  • For more details on completing the request, visit the eDSP Subaward Request Module

If you have questions about outgoing subawards, please email DSP or call 319-335-2123. 

Resources

Classes and Videos

  • Additional Information on Roles and Responsibilities

 

Forms