Getting Started with Subawards - For Subrecipients

Subrecipients

Based upon the project statement of work, collaborators may be determined to be subrecipients or vendors.  For those determined to be subrecipients, a subaward agreement will be issued to the subrecipient under the prime agreement for the project, and they must comply with the requirements on this page to initiate the agreement.  Please read this entire page for important information.

Supplier Requirements

Each subrecipient will need to be established in the Stanford University accounting system prior to the contracting and payment processes.  The Stanford department administering the subaward will initiate the supplier record set-up process, and our Supplier Team will contact the subrecipient to provide required information and documents.  Please provide this information promptly to avoid delays in contracting and payments.

Required Project Documents

For the proposal and eventual agreement, the following items are needed.

• Statement of Work for the subrecipient work on the project
• Budget and Budget Justification for the subrecipient
  • If the sponsor requires a specific template, please submit the budget on the requested template.
  • If the project is cost reimbursable, provide the budget in standard Federal budget categories (personnel costs, supplies, travel, equipment, etc.).
  • Please provide copies of rate agreements for indirect costs, fringe benefits, or other requested rates.
    • For entities participating in the FDP Clearinghouse, we will collect this information from your FDP Clearinghouse profile.
  • Please ensure that the requested amounts on the budget, budget justification, and Form 33 match exactly, and are rounded to the nearest dollar, unless additional precision has been requested.
• Form 33, Subrecipient Statement of Collaborative Intent
  • Form 33 needs to be completed and signed by an authorized official of the subrecipient entity.
  • ​​​​FDP members: Only the first page of the Form 33 is required.  Please denote your FDP membership at the top of the form.
  • Form 33 must be version 2022.3 or newer; older versions of the form will be returned to the subrecipient for update. 
    • Download Current Form 33 Version
• Compliance documents for animal and human subjects, stem cell, hazardous materials, etc., as required.
• Form 45, Sole Source Justification Form, if the prime sponsor provides funding through a federal contract rather than federal grant, federal cooperative agreement, or non-federal award.
• Any documents required by the Funding Opportunity Announcement (FOA) to which you are applying for participating subrecipient entities and/or personnel.  These may include, but are not limited to...
  • Biosketches for the subrecipient PI and subrecipient senior/key personnel in the prescribed sponsor format.
  • Current and Pending/Other Support for the subrecipient PI and subrecipient senior/key personnel in the prescribed sponsor format.
  • Facilities and Other Resources information for the subrecipient entity.

Subrecipient Monitoring Documentation

Documentation is needed required for Stanford to complete the necessary subrecipient monitoring activities.  The monitoring documents must be received and reviewed prior to subaward agreement issuance.

• For entities subject to the Uniform Guidance single audit requirements, the following documentation is required.
  • Form 47, Subrecipient Audit Certification
  • Single Audit Report from most recently completed fiscal year
  • Unique Entity Identifier (UEI) assigned by sam.gov
• For entities exempt from the Uniform Guidance single audit requirements, the following documentation is required.
  • Form 47, Subrecipient Audit Certification
  • Audited financial statements, unaudited financial statements, or other financial information
  • Unique Entity Identifier (UEI) assigned by sam.gov
  • Additional information may be requested as needed.

For additional information regarding the requirements, please inquire with the Contract contact the Stanford Subawards Team at subawards@lists.stanford.edu.

Single Audit Requirements

For subawards under United State federal funding awards, the Uniform Guidance single audit requirements apply.  Please review the regulation at the provided link for detailed information.

Entities that expended $750,000 or more in federal funding in the fiscal year are required to complete a single audit.  The single audit consists of a financial statement audit and an internal controls compliance audit for the entity.

While Uniform Guidance does not apply to foreign or for-profit entities, the federal agency may require a single audit or yellow book audit under the agency terms and conditions (e.g., National Institutes of Health, other HHS agencies). 

For any questions regarding the applicability of this requirement, please contact the Stanford Subaward Team at subawards@lists.stanford.edu. 

Other Applicable Federal Regulations

Subawards may be subject to Federal regulations. Please familiarize yourself with these standard requirements.

• Uniform Guidance 2 CFR 200 (UG)
• Disclosure Requirements
• Export Control Requirements
  • International Traffic in Arms Regulations (ITAR)
  • Export Administration Regulations (EAR)
• HHS Promoting Objectivity in Research 42 CFR Part 50 Subpart F
• National Institutes of Health (NIH) Grants Policy Statement
  • NIH GPS Section 15.2 for Subrecipients
    • NIH Notice of Final Updated Policy Guidance for Subaward/Consortium Written Agreements (NOT-OD-23-182)
    • NIH/DHHS Audit Requirements for Subrecipients
      • Entities Subject to Uniform Guidance, Section 15.2.6
      • Foreign Entities and Domestic Grants with Foreign Components, Section 16
      • For-Profit Entities, Section 18
• Research Misconduct 42 CFR 93.103

Need further assistance? Have questions? Please submit subaward questions here, and a member of the OSR Subawards Team will respond to you shortly.