1.  How do I tell if it is a Subaward or Other Procurement (CPS)?
Subaward/Subcontract vs. Contract for Professional Services document.

2.  What information is needed at time of proposal?

• Subrecipient statement of work
• Subrecipient budget and budget justification
• “Commitment Form (Letter of Intent) to Establish a Subaward Agreement” or equivalent signed by subrecipient institutional official
• Any other documents required by U of M or Sponsor (for example:NSF Nondiscrimination Certification, http://www.ospa.umn.edu/subaward/forms.htm)

3.  Do I need to provide an original signed copy of the commitment form and budget, or can I email as attachments to the GA?
Unless the sponsor requires it, we do not need an original.  An email or fax is sufficient.

4.  How should the selection of a subrecipient be documented?
Original documentation should be maintained in the department that was used in developing the proposal estimate.  This information will be required to substantiate how proposal pricing and collaborator choice was derived.  The forms below should be used as a tool when investigators are developing proposals and choosing subrecipient collaborators.  The information gathered on these forms will help document information that may be requested by auditors.  These forms do not need to be submitted to SPA, but should be kept in the department.  The exception is that for Federal Contracts Form 2 should be submitted to SPA.

Fair & Reasonable Subaward Cost Analysis Form 1 - Subawards under Grants, Cooperative Agreements, and Nonfederal Contracts

Fair & Reasonable Subaward Cost Analysis Form 2  - Subawards under Federal Contracts

5.  What F&A rate do I apply to a subaward?
There are two types of F&A costs on subawards - those earned by the subrecipient, and those earned by the U of M.  A subrecipient is expected to apply its own federally negotiated F&A rates and bases when preparing its subaward budgets, unless a lower rate or base has been agreed to by the subrecipient's institutional official or specified by prime sponsor.  If a subrecipient does not have an approved F&A rate, it must either negotiate a rate with the U of M or elect not to recover F&A.  Subrecipients should submit their rate proposal and supporting documentation to SPA at least one month before the proposal is due to the sponsor. U of M applies the OMB A-21 'life-of-the-award' policy with respect to its subawards and will use the approved F&A rates authorized at the time of issuance of the subaward throughout the competitive segment of the subaward.  The U of M will apply its federally approved F&A rate or the sponsor-allowed F&A rate to any subaward issued.  Specifically, this means that the U of M will charge its F&A on the first $25,000 of a subaward during a competitive segment (e.g. project period).  For subawards under non-federal prime sponsors, the F&A rate will vary.  Please consult your GA if you are unsure of the rate type to apply

6.  What should be the period of performance on my subaward?
The period of performance on a subaward (including any requested extensions) may not be outside the U of M's period of performance.  Subawards may, however, be issued for shorter periods of time than the U of M's full period of performance.  Normally, if the University receives annual incremental funding from a sponsor, any subawards will also be funded on a year-by-year basis.

7.  How can I tell if the subrecipient's invoice has been paid?
See our Job Aid Finding Vouchers and Pay Dates

8.  How do I modify a subaward?
Send the SPA GA the necessary information for the change needed (workscope, budget, performance period, deliverables, additional terms, etc.).  Modifications may require prior sponsor approval.

9.  What is FFATA and how does it affect me?
The Federal Funding Accountability and Transparency Act passed 9/2006. It requires a searchable website for public funding by data elements by 1/1/2008 for awards and by 1/1/2009 for subawards.  SPA will be collecting and sending in this information to the Federal Government.  SPA won’t pay invoices under a subaward until the FFATA form is returned  by the subrecipient.  Any questions/issues regarding FFATA should be forwarded to SPA.

10.  What is Risk Analysis?
A-133, section 525 requires a risk analysis to evaluate the likelihood that a subrecipient will fail to comply with the requirements of the subaward.  This will be done by SPA during the issuance process and monitored during the life of the subaward.  The criteria used in evaluating risk can include the subrecipient's audit experience, the prior oversight and monitoring the subrecipient has received, the size, nature, and complexity of the proposed research project, and the fiscal maturity of the subrecipient.

For further information please contact Sponsored Project Administration, Phone # 612.624.5599, awards@umn.edu, http://www.ospa.umn.edu/subaward/index.htm