Subawards

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Subawards are issued by the university for collaborative grant activities involving personnel at other institutions. The subrecipient will be responsible for managing the technical and administrative aspects of its part of the project being performed for the university under the prime award. Subawards are not issued for the procurement of normal, routine services or goods, these are handled through Procurement Services. See the table below for assistance in determining whether the situation requires a subaward or is a vendor relationship.

Sub vs. Vendor Table

 Subrecipient

Vendor

Performs part of the “scope” of the project.

Provides goods and services to many different customers.

Uses the funds to carry out a portion of the scope of work of the lead institution’s project.

Provides goods and services that are ancillary to the operation of the project.

Selected for expertise or related research experience necessary to complete the project.

Operates in a competitive market to provide goods and services requested.

Responsible for compliance and flow down requirements of the prime award.

Not subject to compliance or reporting requirements of the prime award.

Has input into the decision making process regarding the direction of the research project.

Completes work based on customer specifications.

Authors or co-authors publications.

Not applicable.

May present papers/results of research at conferences.

Not applicable.

May seek patent protection for inventions.

Not applicable.

Retains title to Intellectual Property Rights.

Work for Hire – Rights belong to buyer.
SIU as Subrecipient

If SIU is included as a subrecipient in another institution’s proposal, the following must be provided and approved by OSPA prior to submission to the lead institution:

  • Completed and signed proposal/award checklist
  • Approved OSPA budget and justification
  • Clear scope of work (for SIU portion only)
  • Any other documents required by the lead institution and/or funding agency

Upon receipt of these documents, OSPA will provide a signed letter of intent to participate in the project (if funded) to the lead institution. OSPA must receive these documents one business day before the date required by the lead institution.

SIU as Lead Institution

If you are including a subaward in your proposal, the following must be included in the proposal package:

  • Justification for subawardee selection (clearly identified in the proposal text).
  • Subaward total costs as a line item in the OSPA and agency budget. When preparing the overall project budget, include the total costs of each subaward, including the appropriate subcontractor’s indirect costs, as one line item in the OSPA budget.   
  • An approved formal proposal from the subrecipient, which must include:
    • A letter of intent signed by the authorized official of the subrecipient’s institution.
    • A clear scope of work to be performed by the subrecipient.
    • A corresponding budget and budget justification on the same forms as required by the prime agency.

When required, subrecipients may need to provide additional information, such as:

  • Biographical sketches of key personnel
  • Current and pending support of key personnel
  • Representations and certifications
  • Detailed budget information
  • Negotiated facilities and administrative cost agreement