Commonly Used Documents
Updated: March 12th, 2015
Before contacting RSP, please review the following "Sponsored Project Outgoing Agreement Guide" document to ensure the correct agreement is selected. RSP currently issues Sub-awards, Shared Grants, and Re-grants. If it is determined that an Academic Support Services Agreement (ASSA) is the appropriate agreement type, please contact Business Services. If a Fee for Service agreement should be issued, please contact the Office for Industry Partnerships.
Need further assistance in determining the appropriate relationship between Subrecipient and Vendor? Please see the "Sub-Award Determination Questionnaire".
RSP Issued Sub-Agreements
Establishing a new Sub-Award
- RSP receives the Notice of Award (NOA) from the sponsor.
- RSP Outgoing sub-award team will e-mail the campus contact and request that they complete and e-mail:
- Sub-Award Confirmation Sheet
- Scope of Work
- Detailed Budget
- Sub-recipient Institutional Approval
Modifying an Existing Sub-agreement
All sub-award 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 RSP post-award accountant assigned to your award.
- Complete an Encumbrance Management Form, which is available at the Purchasing Services website (http://www.bussvc.wisc.edu/purch/EncMgt/UsingEMF.html)
- Develop a new budget if increasing funding
- Attach a new scope of work if applicable, and also any other changes to the original agreement
- Submit all of the above to your division research administrator, who upon approval will forward it to Purchasing Services. Purchasing Services will change the encumbrance and forward all documents to the RSP post-award accountant.
- RSP will corresepond with the third party. The status of all amendments can be found at the Sub-Award Tracking Database
Q: What if I want to add a new sub-award that was not in the original proposal?
Answer: When adding a new sub-award 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 e-mail the Sub-Award Confirmation Sheet along with the Scope of Work, Budget (with justification), sub-recipient institutional approval and the prime sponsor approval of the new sub-award (e-mail will suffice) to email@example.com.
Q: I want to issue a new sub-award, what do I need to get from the recipient institution?
Answer: Scope of work, Budget (with justification) and institutional approval.
Q: What do I need to submit to RSP to get a new sub-agreement established?
Answer: Sub-Award Confirmation Sheet along with the Scope of work, Budget (with justification) and institutional approval.
Q: What if the outgoing sub-award team never e-mailed the campus conatct to request sub-award documents?
Answer: E-mail the Sub-Award Confirmation Sheet along with Scope of work, Budget (with justification) and sub-recipient institutional approval to firstname.lastname@example.org.
Q: How can I monitor the status of the sub-award after I e-mail all of the documents to RSP?
Answer: Sub-Award Tracking Database. This database is available to allow departments access to see what stage the sub-award is currently in.
Q: How can I monitor the status of a Modification once I submit all of the necessary forms?
Answer: Sub-Award Tracking Database. Once the forms are received by the RSP post-award accountant they will update the database to reflect the current status of the modification.
A Shared Grant is essentially a "Sub-Agreement" or "re-grant" to another UW System institution. The Shared Grant Transfer of Extramural Funds applies only when the transfer of funds is related to joint participation by two or more UW Institutions in the "Scope of Work" of an extramural project (sub-award), or if the other UW institution has submitted a proposal to an RFP issued by UW-Madison (re-grant). A Shared Grant relationship may be determined at the time the formal grant proposal is submitted (preferred), or subsequent to the award being issued. In either instance, both institutions should have knowledge of the transaction.
To establish a new shared grant please follow the below procedures:
- E-mail the below documents to email@example.com
- Sub-Award Confirmation Sheet
- Scope of Work
- Detailed Budget
- **If UW institution has submitted a proposal to our RFP, please send along their proposal and any award letter. (re-grant)
When the information is returned, the outgoing sub-award team will prepare the requisition and the shared grant. RSP will e-mail the shared grant to the appropriate UW institution.
Shared Grants: Proposal Budget Submission
For purposes of proposal submission, Shared Grants are shown as a single line item in the budget (direct + indirect) and should be located in the "Other Direct Costs" or associated budget line. This is often confusing to sponsors. It is helpful if, in the budget justification, you provide an explanation that we are separate universities/colleges within a large university system, and the distribution of project funds will be handled via a "shared grant" mechanism rather than a subcontract.
The Lead Institution should NOT charge indirect costs on the Shared Grant portion of the project budget.
The sister insitution(s) receiving the Shared Grant does submit a full budget (direct + indirect), and it should be signed off on by the Authorizing Official from that institution before being submitted to the Lead Institution.
For Shared Grant transactions the following applies:
- Both insititutions should establish a 144 or 133 account as appropriate;
- The institution named as the primary recipient is responsible for all reporting requirements of the granting agency and for reporting the full amount of the award to the Board of Regents;
- The primary recipient shall reimburse the subrecipient's indirect costs at the subrecipient's negotiated rate. If the shared grant was not contemplated at the time the proposal was submitted, and the primary recipient's indirect cost rate is lower than that of the subrecipient, the subrecipient must determine if they will accept the project at the rate received by the primary recipient;
- To ensure that revenues and expenditures are not double counted with respect to the UW System as a whole, class code 3301 (Legacy) or account code 3910 (Shared Financial System) should be used by the primary recipient institution to process payment to the subrecipient. The subrecipient should deposit the payment using revenue code 9910. It is important to follow these procedures so offsetting amounts can be identified by UW-System Administration.
- An "Agreement to Transfer Extramural Funds Between UW Institutions" (Attachment D) should be completed by the primary recipient institution.
Transfers of Extramural Funds that do not involve "Scope of Work" transactions should use one of the other Inter-Institutional Financial Transactions Categories covered by this Policy Paper. The Institutions will not set up a 144 or 133 account and there will normally be no pass-through of indirect and cost reimbursement. The Instititutions should account for the receipt as a sale or sales credit in accordance with FAP - Internal Services Charge back (F24) depending on the appropriation from which services are being provided. This will ensure that there is no double counting of revenues and expenditures with respect to the UW System as a whole except as appropriate under generally accepted accounting principles for colleges and universities.
Normally the distinction between joint participation in a sponsored project and a sales transaction should be clear. In all cases, the nature of the agreement and not the amount involved should be the determining factor. However, in cases where the distinction may not be clear, the amount involved may be a weighing factor as follows:
- Agreements involving more than $5,000 should be examined with particular care to ensure that joint projects are not inadvertently treated as sales and that the administrative requirements imposed by the extramural sponsor are met by all parties to the agreement.
- If the amount of the agreement is less than $5,000, the additional administrative cost associated with administering joint projects may weight the classification decision in favor of a sales treatment.
Modifications to Shared Grants Procedures
Modifications to Shared Grants are to be handled in a similar fashion as the institutional procedures for modifying an existing subagreement under a grant. The Department will initiate a change order requisition using the same class code scheme as used on the initial Shared Grant. Accompanying the requisition should be a budget for the new funded amount if applicable or the new scope of work if changed from the previous funding period.
The Recipient Institution (Research and Sponsored Programs) will prepare the modification detailing only the changes to the existing Agreement. The modification will be signed by one Authorized Representative from each Institution.
Re-Grants 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. Re-grants can be funded by various sources; such as state funding, uw funding, federal grant funds and private grant/gift funds.
Typical Re-grant 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.
- Department staff create a requisition with the following information:
- Account Code 5708
- In the "Item Description" list:
- The title of the project under which the RFP/solicitation was issued
- The title of the re-grant project
- Reference number (if any)
- Date of the approved proposal, and/or date the proposal was selected by the committee
- Attach the budget and the scope of work (which may be the entire approved proposal), and the RFP in which the grantee applied to
- Route the requisition for signature by the Department and Division. The Division will in turn route the documents to RSP.
- RSP staff will contact the person listed as the "Contact Name" on the requisition for any additional information needed, such as contact information (e-mail) of the re-grantee, and any other information that should be used to ensure the re-grant agreement incorporates the appropriate terms of the RFP/solicitation and any funding source requirements. RSP staff may also request electronic copies of the scope of work and budget.
- RSP staff will generate a re-grant agreement and e-mail it to the re-grantee for signature. Once signed by the re-grantee, 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 re-grantee.
- Agreement is filed away
- If the re-grant funding source is a sponsored project (133 or 144), RSP will keep a copy of the agreement in the financial folder at RSP, and attach the agreement to the project in WISDM.
- If the re-grant funding source is anything other than a sponsored research source (133 or 144), RSP will NOT keep a copy and will NOT attach it in WISDM. The agreement will be maintained by the Division. RSP will note on the requisition that the fully executed agreement is on file at the Division. RSP will either e-mail or inter-D mail the fully executed agreement to the person listed as "Contact Name" on the requisition.
- RSP will take the requisition to purchasing
At any time, if there are questions about the re-grant process, an e-mail can be sent to firstname.lastname@example.org.