Subawards and Subaward Management

Issuing a subaward involves several key considerations, which are managed by the Office of Research and Sponsored Programs (RSP). This includes determining the most appropriate type of agreement and defining its terms and conditions. A crucial step in this process is conducting a risk assessment of the potential subrecipient to ensure a successful collaboration. For a comprehensive overview of the steps involved in the preparation and issuance of a subaward agreement, please refer to our Subaward Issuance and Modification Procedure.

To make the subaward process more efficient, our institution, along with many others, participates in the Federal Demonstration Project (FDP) Expanded Clearinghouse. This online system serves as a central repository of reliable information about participating institutions, which is monitored for accuracy by the FDP.

The FDP Expanded Clearinghouse profile contains essential data we use to assess the risks of collaborating with another entity. This information includes:

• An institution's most recent Single Audit results.
• Official Facilities & Administrative (F&A) and fringe benefit rates.
• Suspension and debarment.
• Federal agency financial conflict of interest policies.
• Federal-wide Assurance number and other non-compliance information.
• Federal identifiers (UEI, EIN, CAGE, etc.) and organizational contact information.

By using this system, we can streamline the risk assessment process and expedite the creation of subaward agreements.

• Subrecipient documents must be uploaded in the RAPSS FP record under the “Subawards” attachment section by 12:00 p.m. five (5) business days prior to the Sponsor’s submission deadline. All necessary subrecipient documents must be prepared and provided to Rutgers by the subrecipient entity, and the Subrecipient Commitment Form must be signed by a Subrecipient Authorized Official.
• Please note that there is an important difference between a subaward and a service/vendor/consulting contract. A research subaward is issued by RSP and involves financial assistance to perform a substantial portion of the Rutgers award, whereas a contractor/consultant/vendor involves the procurement of goods and services. A subaward is never issued to an individual. Please use the Subaward vs Service Contract resource to correctly determine the nature of the external work to be performed.
• The Subaward Checklist provides guidance on the subrecipient documents required at the proposal stage.

When collaborating with other entities on a sponsored project, a subaward agreement is required to transfer a portion of the work and funding. Our Subaward Team develops, negotiates, and executes new and modified subaward agreements and ensures compliance with university and sponsor terms and conditions, as well as policies and procedures.

• Guidance on preparing new subaward agreements can be found at “Establishing Subaward Agreements.”
• Guidance on amending existing subaward agreements can be found at “Amending and Monitoring Subawards.”
• Guidance on reviewing and approving subaward agreement invoices in Marketplace can be found in the “Subaward Invoice Approval Guidance."
• Once a subaward agreement is issued, the Principal Investigator is responsible for monitoring subrecipient costs and performance. Please refer to the “Subrecipient Monitoring Procedure” for more information.

If you have any questions, please contact our Subaward Team at subawards@research.rutgers.edu.

Please note: Upon collecting all subaward documentation required either for a new subaward agreement or for a modification of an existing subaward agreement, it may take up to 30 business days for the subaward agreement or the subaward agreement modification to be developed and sent to the Subrecipient for review and signature.

Research Administration Handbook

• Subrecipient Monitoring Procedure
• Subaward Issuance and Modification Procedure
• Subaward Invoice Approval Procedure

Open | Research Administration Handbook

Resource Library

• Subaward Project and Designated Approver Authorization Form
• Subrecipient Commitment Form
• Subrecipient Statement of Intent
• Subaward Modification Request Form
• Subrecipient Risk Assessment Form
• Subaward Checklist
• Subaward vs Service Contract
• Subaward Scope of Work Guidelines
• Subaward Invoice Approval Guide
• Amending & Monitoring Subawards
• Establishing a Subaward Agreement

Open | Resource Library