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Reminder

Compliance protocols MUST be approved and linked in SeRA to a SPO project record prior to award acceptance. 

See ORA's Award Acceptance Resources for additional information.

Getting Started with Subawards - For Subrecipients

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Applicable Federal Regulations

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

Documentation Requirements

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.
  • 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 2021.7 or newer; older versions of the form will be returned to the subrecipient for update. Current version available HERE.
  • 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 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

For subrecipient monitoring, the following items are needed. The monitoring documents must be received and reviewed prior to subaward agreement issuance.

  • Form 47, Subrecipient Audit Certification
  • Single Audit Report from most recently completed fiscal year (if the subrecipient entity is subject to the Uniform Guidance single audit requirements).  Entities are subject to the UG Single Audit requirements if they expend $750,000 or more of Federal funds in a fiscal year.
  • Audited financial statements, unaudited financial statements, or other financial information (if the subrecipient entity is NOT subject to the Uniform Guidance single audit requirements).
  • Unique Entity Identifier (UEI) assigned by sam.gov.
  • Supplier Profile information may be requested by email from our Supplier Team, please reply to this request promptly.
  • Additional information may be requested as needed.

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