Page Updated: September 22nd, 2017
Before contacting RSP, please review the following "Sponsored Project Outgoing Agreement Guide" document to ensure the correct agreement is selected. RSP currently issues Subawards, Shared Grants, and Regrants. If it is determined that an Academic Support Services Agreement (ASSA) is the appropriate agreement type, please contact Business Services.
RSP Preaward staff issue new subaward agreements for all new awards and competing continuations. RSP Postaward accountants issue subaward modifications for non-competing continuations that keep the same award number and project number each year.
RSP issues cost reimbursable subagreements, though in limited circumstances may issue a fixed amount subagreement if appropriate. Fixed amount subagreements require special permissions, including prior approval of the Federal awarding agency. Contact the outgoing subaward team or your accountant with questions.
Need further assistance in determining the appropriate relationship between Subrecipient and Vendor? Please see the "Subaward Determination Questionnaire".
Subaward monitoring is a shared responsibility at UW-Madison, with the Office of Research and Sponsored Programs (RSP) having primary responsibility for developing policies and procedures. UW-Madison uses the Uniform Guidance as a guiding principle for all subawards we issue, regardless of whether the agreement is sponsored by federal or non-federal funding. RSP makes a subrecipient/vendor determination, conducts a risk assessment, and completes annual subrecipient monitoring for all subawards. Subrecipients determined to be high risk may require further review, which may result in additional terms and conditions. Departmental staff and principal investigators assist RSP with ongoing monitoring and closeout activities. Click HERE to link to a document outlining the processes performed during the subaward lifecycle, staff responsible for the functions, and the systems used.
RSP Issued Subagreements
Sub-Awards State law requires that all subrecipients be specifically identified and approved by the funding agency
Establishing a New Subaward
A subaward is an agreement between the recipient of a grant or contract (the “prime recipient”) and a third party under which the third party performs a portion of the prime recipient’s research project or program. This contrasts with a vendor/contractor relationship wherein the third party is doing work that solely supports UW-Madison’s role in the project. In order to differentiate a subaward from a vendor/contractor, it is best to look at the work the third party is doing. If the third party is contributing intellectual input and doing a portion of UW-Madison’s work for the benefit of the overall project, then the agreement with the third party would generally be a subaward. If instead the third party is doing work that only supports UW-Madison’s role on the project, they would generally be considered a vendor/contractor. The RSP Checklist to Determine Subrecipient or Contractor Classification is useful in helping to make this determination.
- RSP receives the Notice of Award (NOA) from the sponsor.
- Within WISPER, campus indicates whether there are outgoing subagreements.
- Upon WISPER setup, WISPER will send out an email prompting campus to go to the Subaward Portal and request a new subagreement, if necessary.
- Within the Subaward Portal, campus will search by Award (MSN) number.
- Click the Hyperlink "Add New Subaward" to open the new subaward information form.
- Provide the information requested in the subaward information form that popsup. Necessary data includes:
- Appropriate Project Number
- Subrecipient Institution Name
- Subrecipient Sponsored Project Contact Information
- Subrecipient Principal Investigator
- Subaward period of performance (typically we only issue one year subagreements for monitoring purposes
- Direct costs and indirect costs for the period of performance
- Cost share (if none, enter "0")
- Copies of the Scope of Work and budget
Modifying an Existing Subagreement
All subaward, shared grant and regrant modifications are currently processed by the RSP post-award accountant assigned to your award. If you have any specific questions about modifications, please contact the assigned accountant. To find your accountant please use the RSP Accountant Search.
- Complete a Modification Request via the Subaward Portal.
- If increasing fuding, have available the budget and budget justification for that increment.
- If a new scope of work is involved, please provide it, as well as any other changes to the original agreement.
- Attach, as applicable, these documents to the Modification Request and fill in all the applicable fields.
- Click submit via the Subaward Portal to your Dean/Division Office who, upon review and approval, will submit to the appropriate RSP accountant.
- The RSP Accountant will review and take the necessary action.
- The status of all modifications can be found on the record within the Subaward Portal.
Q: What if I want to add a new subaward that was not in the original proposal?
When adding a new subaward that was not in the original proposal we need approval from our prime sponsor. This is a State of Wisconsin Law, not necessarily a sponsor requirement. Please include the prime sponsor approval of the new subaward in the portal as a document "Other."
Q: I want to issue a new subaward, what do I need to get from the recipient institution?
Scope of work, Budget (with justification) and institutional approval.
Q: What do I need to submit to RSP to get a new subaward established?
All documentation can be provided in the Subaward Portal. Specifically, we need the subaward information form completed within the portal, copies of the Scope of work, Budget (with justification) and (if you have it) institutional approval.
Q: What if I never got an email from WISPER to request subaward documents?
Please go to the Subaward Portal and follow the instructions above. The portal will work regardless of whether WISPER sent you an email.
Q: How can I monitor the status of the subaward after I submit the request to RSP?
At all stages, you can go to the Subaward Portal and select "My Subawards Pending" to see a list of subawards associated with your name (i.e. that you requested). Within that list, clicking on the Req # of the subaward you are interested in (or ?????? if it has not yet been assigned a requesition number) will bring up details regarding the subaward itself, such as where it is in the process.
Q: How can I monitor the status of a Modification once I submit all of the necessary forms?
Similar to monitoring the status of a new subaward request, you can go to the Subaward Portal and select "My Subawards Pending" to see a list of subawards associated with your name (i.e. that you requested) and see modifications you may have requested. Within that list, clicking on the "Req #" of the subaward you are interested in will bring up details regarding the subaward itself, such as where the modification is in the process.
Q: I have a five year award but RSP is issuing a new subaward each year, why?
For some non-competing continuations, separate fiscal periods require separate accounting, billing or fiscal reports (such as NIH P, T, or U mechanisms). Indicators include a requirement for a financial status report each year, carry forward is not automatic, or the award is not eligible for streamlined progress reports (e-SNAP). These non-competing continuations keep the same award number, but receive new project numbers each year. Under this type of award, RSP Preaward staff issue a new subaward agreement for each year of the non-competing cycle. Contact the outgoing subaward team or your accountant with questions.
Q: What do I do if I have a non-competing continuation that requires a new project number each year but the PI and Subrecipient are requesting a modification to their existing subaward instead of a new agreement?
Issuing a modification in this case would be an exception to our standard practices. If it is determined by the Department and PI that it would be beneficial to issue a mod instead of a new subaward, contact your RSP Postaward accountant with a justification. RSP Postaward will work with you to understand the implications and requirements before making a decision.
Shared Grants State law requires that all subrecipients be specifically identified and approved by the funding agency.
Regrants are a unique funding mechanism in which a potential 'grantee' is selected from a panel to perform a project of their own design and direction. The UW department/unit will issue a Request for Proposals in which potential grantees will submit proposals. Grantee is typically adding intellectual content to their individual project, which may build on the larger aims of our (UW) prime award. Regrants can be funded by various sources, such as state awards, federal grant funds and private grant funds.
Typical Regrant Procedures
- Department or Division issues RFP/solicitation (based on sponsored research, gift, or other funds) to generate proposals for review by a committee (pursuant to the terms specified in the funding source).
- Committee selects from among the proposals submitted.
- Deparment makes a request for a new Subaward through the Subaward Portal. The procedure is as outlined above in "Subawards: Establishing a New Subaward" except that there will be no notification from WISPER.
- Attach the budget and the scope of work (which may be the entire approved proposal), and the RFP in which the grantee applied to
- RSP will generate the requisition with account code 5708
Note: If the agreement is with another UW System Institution, it should be issued as a Shared Grant. Please see the Shared Grant link on the Outgoing Subagreements home page.
- RSP staff will generate a regrant agreement and e-mail it to the re-grantee for signature. Once signed by the regrantee, RSP will have it signed on behalf of the Board of Regents of the University of Wisconsin System and will return a fully executed copy to the regrantee.
- Agreement is filed away
- RSP will take the requisition to UW Purchasing
At any time, if there are questions about the regrant process, an e-mail can be sent to firstname.lastname@example.org.
RSP Participates in FDP Expanding Clearinghouse
UW-Madison is a participating organization in the FDP Expanded Clearinghouse. As participants, we and other institutions are expected to rely on a repository of subrecipient information housed on the FDP website, in lieu of exchanging information through subrecipient commitment forms.
The goals of the FDP Expanded Clearinghouse are to:
- Reduce administrative burden associated with verifying standard information required for subrecipient issuance and monitoring
- Eliminate swapping of subrecipient commitment forms completed on a transaction-by-transaction basis in favor of accessing an on-line, up-to-date standardized, streamlined subrecipient data repository (an "organization profile")
UW-Madison's organization profile is available HERE