Subawards

 

Incoming Subaward

An incoming subaward is when a sponsor provides funding to another entity (Pass-Through Entity or PTE) and then that entity issues a subaward to UNM (subrecipient) in order for UNM to compete a portion of the project.

 

Outgoing Subaward

An outgoing subaward is when the sponsor provides funding to UNM as the prime awardee. UNM will then act as a Pass-Through Entity (PTE) to issue a subaward to another entity in order for that entity to complete a portion of the work.

     Documents needed for a NEW Outgoing Subawards:

  • Letter of Intent (LOI) or subrecipient PHS 398 Face Page signed by an authorizing official
  • Subaward Scope of Work (SOW)
  • Detailed budget (ie: PHS 398 Form Pages 4 and/or 5 – as appropriate)
  • Budget Justification that ties into the detailed budget line items
  • Subrecipient’s federally negotiated rate agreement – if applicable

 

     Compliance Considerations

When issuing a subaward there are many different compliance areas to consider before a subaward agreement can be issued. OSP works closely with various compliance offices to ensure UNM follows the many rules and regulations that may govern the funding associated with this work. A few example areas that will need to considered:

  • If federal funds are being passed through, is the subrecipient registered in SAM.gov to receive federal funding?
  • Assessment of Financial Risk completed with Contract & Grant Accounting. Depending on the risk level of the subrecipient more restrictive terms may need to be added to the subaward agreement.
  • Has the subrecipient ever been debarred or suspended?
  • Will human subjects or animals be used to carry out the work needed by the subrecipient? If so, appropriate protocols must be in place prior to the subrecipient engaging in these specific types of research.

 

     Subaward Modification

Sometimes after a subaward is issued, it will need to be modified. These modifications can occur for various reasons from additional time and/or funding to changes in the PI or SOW. If ever you need to modify the original subaward agreement, utilize the Subaward Request Form to initiate this action with your assigned OSP contact. 

Track progress made on your individual project using our Smartsheet Tracker. 

 

Useful Links:

Subrecipient vs. Consultant/Vendor

Subaward Request Form

Smartsheet Tracker - Subawards