Subawards

A subaward is a portion of a sponsored project that will occur at another institution or entity. If a PI at the outside entity is contributing intellectually and independently supervising the activities at that institution, a Subcontract will be issued. Subawards establish expectations for contributions to the project and to flow down requirements from the funding sponsor to the subaward recipient.

If the outside entity is providing consulting or other services and is not contributing as a collaborator on the project, a purchase of services (vendor) agreement may be more appropriate. When the consulting arrangement is made directly with an outside scientist, and not another institution or entity, Penn may require that the individual be treated as an employee of Penn.

Subawards cannot be used for routine purchases of equipment or support services.

When the investigator outside of Penn is contributing intellectually to the project, a subaward agreement will be issued.

It is the responsibility of the PI/BA to request the subaward in the Research Inventory System (RIS). The following information is required for each subaward request:

• Sponsor prior approval for subaward if required.
• Complete information for the subaward PI and institution.
• Subaward statement of work (should be specific to the subaward and detailed enough that the work to be performed is understandable to administrative staff as well as the researchers on the project).
• Subaward budget information (detailed budget, including direct and indirect costs that matches funds to be provided in the current funding segment).
• Required regulatory approvals as applicable.
  • IRB
  • IACUC
• Awarded status in PennERA (current fund number exists).

Upon PI approval, the subaward request will be routed for negotiation. In accordance with federal regulations, a risk assessment of the subrecipient will be performed to verify that the institution and individual are eligible to receive federal funds. Upon execution of the subaward, the PI and the BA will receive a system notification, and the BA may set up the Purchase Order for the subaward.

Modifications to existing subawards may be requested using the same process as described above.

The subrecipient should submit invoices per the agreed upon terms of the subaward agreement. It is the responsibility of the PI to monitor the subaward to ensure that the work is being performed satisfactorily, reports are submitted on time, and invoices are appropriate based on the work completed. The BA is responsible for coordinating payment of approved invoices, requesting additional documentation as needed, and maintaining records sufficient to support the expenditures. The PI is responsible for coordinating technical reporting.

The subrecipient is responsible for reporting any inventions resulting from the subaward to Penn.