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Welcome to the Outgoing Subaward Team.  Our main focus is to prepare and generate all outgoing subawards. Below outlines the process for requesting and executing a new subaward agreement, amending an existing subaward agreement, and monitoring subawards through SPA.

For a PDF version of our web procedures and additional information on Issuing and Amending Outgoing Subawards, see the Issuing and Amending Outgoing Subaward Procedure (PDF).

Is it a Subaward, Supplier or Consultant?

At Time of Award

  1. If a proposal is awarded and a subaward was included, SPA’s outgoing Subaward Team is notified by the SPA Award Team.
  2. The SPA subaward team will develop a subaward agreement with the organization(s) you intend to collaborate with.
  3. SPA’s Compliance Analyst will evaluate the subrecipient's risk of noncompliance with Federal statutes, regulations, and the terms and conditions of the subaward for purposes of determining the appropriate subrecipient monitoring, which may include additional terms and conditions that require more frequent reporting, additional supporting documentation to be submitted with invoices, restrictions on the use of funds.
  4. SPA uses universally approved subaward templates to expedite the process. However, each subaward is prepared to ensure appropriate terms and conditions are delivered to the subrecipient organization.
  5. The UVM Principal Investigator and/or their Grant Administrator will be asked to review the budget and statement of work for accuracy and provide feedback on reporting requirements and any other programmatic conditions that should be incorporated into the subaward prior to release of any subaward.
  6. Upon approval of the UVM PI, the subaward is delivered by email to the subrecipient’s Sponsored Project Administration (or equivalent) for review and signature.

Subrecipient Monitoring

Subrecipient monitoring at the University of Vermont is shared responsibility between Sponsored Project Administration, the Principal Investigator, and the department staff.

Principal Investigator do have the primary responsibility for overseeing performance of the work being conducted by the subrecipient, collecting and reviewing subrecipient performance reports, reviewing and approving subrecipient invoices and ensure any problems with performance are escalated in a timely manner.

For more details see: PI - Subrecipient Monitoring Responsibilities (PDF)

Subaward Payments

In summary,

With each invoice SPA will provide the PI and Unit Administrator with the Subaward Invoice Payment Certification Form (PDF), which must be completed and returned.

PIs should not approve invoices where the subrecipient is not performing or expenditures are significantly different than budgeted or expected.

Do not approve if the expenditures appear to be unallowable or unreasonable.

If you questions about a subrecipient’s invoice, contact your department’s fiscal staff and/or your designated SPA Financial Analyst.

Subaward Amendments

  • Changes in the circumstances of a subaward may require and amendment/modification to the agreement.
  • If this occurs, the UVM Principal Investigator should contact SPA's Outgoing Subaward Specialist to determine what action may be required.
  • These changes might include a change in the period of performance, a change in the amount of funding, change in key personnel, or an early termination.

Subawards to Foreign Institutions

Foreign institutions that will be receiving federal funds as a subrecipient must be registered in U.S federal System for Award Management (SAM) and have a DUNS number. SAM registration is free and must be renewed annually. In order to register with SAM, foreign subrecipients must also obtain a NATO Commercial and Governmental Entity (NCAGE) code.

Indirect (F&A) Cost Rates with Foreign Institutions

  • Except for NIH (see below), the Uniform Guidance allows foreign subrecipients to use their federal approved negotiated F&A rate, or if they do not have a federal approved F&A rate they may use 10% of modified total direct costs, exclusive of tuition and related fees, direct expenditures for equipment, and subawards in excess of $25,000.

  • NIH Indirects Policy:  With the exception of the American University of Beirut and the World Health Organization, which are eligible for full F&A cost reimbursement, F&A costs under grants to foreign and international organizations will be funded at a fixed rate of 8% of modified total direct costs, exclusive of tuition and related fees, direct expenditures for equipment, and subawards in excess of $25,000.

Please always read the sponsor’s guidelines on allowable F&A costs for foreign institutions.

Educational Opportunities

For subaward education opportunities, please visit SPA’s Education and Learning Opportunities.

If your department would like a workshop on outgoing Subawards, please email Molly Epstein, Outgoing Subaward Specialist.

Questions?

If you have any questions about outgoing subawards, please contact SPA's Outgoing Subaward Specialist.

Updated 04/25/19

For Assistance

Contact Molly.Epstein@uvm.edu for assistance with Outgoing Subawards.