Subawards in Proposals

If a potential subrecipient is anticipated on a research project, FAU must collect required documentation from the potential subrecipient institution(s) as a part of the proposal submission process and for review by the Prime Sponsor:

Letter of Intent: Required of any potential subrecipient during proposal completion. This form serves as an indication of a potential research collaboration as well as confirmation that the subrecipient is prepared to make every effort to enter into an appropriate agreement, should an award be made. The letter of intent (LOI) must be signed by the subrecipient’s authorized official. Signature from the subrecipient principal investigator is not sufficient.
Scope of Work: Required of the potential subrecipient in order to outline expected work to be completed. Please see SOW guidelines below for more information.
Budget and Budget Justification: Required of the potential subrecipient in order to categorize and justify expected costs of conducting research.
For Federal Proposals: A copy of the subrecipient’s federally approved facilities and administrative (F&A) rate agreement is required. If subrecipient does not have an approved rate agreement, a de minimis 15% F&A rate may be included.

Subrecipient vs. Independent Contractor (Consultant or Vendor)

It is important to understand the difference between a subrecipient and an independent contractor, consultant or vendor, as this may affect the F&A on a sponsored project and audit compliance.

A subrecipient conducts programmatic work within the research objectives of the prime award, retains programmatic control and discretion over how the work is carried out, and makes independent decisions regarding how to implement the requested activities. The subrecipient shall assign a lead investigator who will serve as the Principal Investigator (PI) at the subrecipient entity. The PI at the subrecipient entity typically commits a level of effort (salary) that is predetermined with the pass-through entity. Subrecipients may also charge other expenses in various categorical breakdown of costs, including but not limited to additional personnel, travel, equipment, materials and supplies, tuition, F&A, and other allowable costs. The subrecipient may produce publishable results or develop intellectual property derived from the project. The subrecipient institution must adhere to all regulations, flow-down terms, and applicable compliance requirements.

An independent contractor, service provider, or vendor provides services or goods which are ancillary to the sponsored project. The independent contractor does not participate in programmatic decision-making and typically may provide professional advice or services to a project in exchange for compensation. An independent contractor provides similar goods or services to many different purchasers or customers within its normal business operations.

A consultant is an individual or entity that is not affiliated with FAU. Consultants generally offer only advice or propose solutions to problems, but they do not direct, carry out, or implement solutions. Consultants can provide general oversight, expertise, or help design a portion of a study. Consultants are compensated by an hourly rate multiplied by a pre-determined maximum number of hours.

Note: A subaward should never be issued to an individual.

For more information on this, please view the Subrecipient vs Consultant vs Service Provider chart here. (link to OSP chart)

Scope of Work Guidelines

A well-drafted Scope of Work (SOW) is key to the successful and efficient subaward processing and administration. The SOW content should be carefully tailored to address how the subrecipient will contribute to the success of the prime award objectives.

The table below provides guidance on what information should be included in the Scope of Work:

Be sure to answer the following questions in the SOW:
Describe the main objectives and outcomes to be accomplished Outline tasks to be completed Tasks are the activities and milestones which comprise a narrative description of the spectrum of services to be rendered or work to be performed. Tasks can be structured by milestones, deliverables, or process.	Clearly define and separate responsibilities of the subrecipient from the prime awardee Assign authority for contract administration vs. project management	State the cost completing the work described Define how outcomes will be measured and ultimately evaluated via deliverables Deliverables are the "outputs" or the "end products" of the contract and are evidence of subrecipient's requirements. Most deliverables take the form of a tangible product, such as a report or publication	Specify the scheduled timeframe, including deadlines for associated tasks and deliverables Stipulate subrecipient submission requirements using specific dates/language
HELPFUL WRITING TIPS A well-drafted SOW should be: Consistent Easy to read and understand Easy to revise, if needed Formatted with good direction Organized and categorized Concise and free of repetition Avoid abbreviations, acronyms and words that have a special meaning as much as possible, or define them in the definitions section of the subaward, and then be consistent thereafter. HUMAN AND ANIMAL SUBJECTS: If your project will utilize human or animal subjects, include detailed information as part of the SOW identifying the animal species, procedures to be done, type of human subjects, etc. Provide details equivalent to what will be induded in the IRB or IACUC protocol. This will allow for quick and easy congruency check between the proposal project and the protocol.

Be sure to answer the following questions in the SOW:

WHAT is to be done?

WHO is going to do it?

HOW will it be done?

WHEN will it be done?

Describe the main objectives and outcomes to be accomplished
Outline tasks to be completed
Tasks are the activities and milestones which comprise a narrative description of the spectrum of services to be rendered or work to be performed. Tasks can be structured by milestones, deliverables, or process.

Clearly define and separate responsibilities of the subrecipient from the prime awardee
Assign authority for contract administration vs. project management

State the cost completing the work described
Define how outcomes will be measured and ultimately evaluated via deliverables
Deliverables are the "outputs" or the "end products" of the contract and are evidence of subrecipient's requirements. Most deliverables take the form of a tangible product, such as a report or publication

Specify the scheduled timeframe, including deadlines for associated tasks and deliverables
Stipulate subrecipient submission requirements using specific dates/language

HELPFUL WRITING TIPS A well-drafted SOW should be:

Consistent
Easy to read and understand
Easy to revise, if needed
Formatted with good direction
Organized and categorized
Concise and free of repetition

Avoid abbreviations, acronyms and words that have a special meaning as much as possible, or define them in the definitions section of the subaward, and then be consistent thereafter.

HUMAN AND ANIMAL SUBJECTS: If your project will utilize human or animal subjects, include detailed information as part of the SOW identifying the animal species, procedures to be done, type of human subjects, etc. Provide details equivalent to what will be induded in the IRB or IACUC protocol. This will allow for quick and easy congruency check between the proposal project and the protocol.