Types of Subaward Agreements and Amendments4/8/2015

The purpose of this document is to assist with making a determination and things to consider when issuing or modifying a Subaward.

Is a Subaward required?

Subrecipient vs. Vendor vs. Consultant

What main types of SubawardsSubaward Modifications are issued by ASU?

The 4 main types of Subaward Agreements are:

  1. Federal Demonstration Partnership (FDP) Subagreement – FDP Template
  2. Used in all instances when the award or prime award is a Federal Sponsor
  3. The following Federal Agencies have established subaward template agreements: AFOSR, AMRMC, ARO, DOE, EPA, NASA, NIH, NSF, ONR, USDA
  4. For federal sponsors not listed, a FDP template subagreement may be utilized and the prime sponsor special terms and conditions inserted in Attachment 2A.
  5. Non-Federal Subagreement
  6. Used in all instances when the award is Industry or other Non-Federal Entity
  7. Letter of Understanding (LOU) – Used in instances when ASU is collaborating with another University in the State of Arizona (e.g. University of Arizona or Northern Arizona University)
  8. Authorization to Proceed (ATP) – Used in instances when ASU has not yet received the award. This may only be used in an at-risk instance. A subaward agreement will be issued at a later date when the award is received.

The 4 main types of Subaward Amendments are:

  1. Federal Demonstration Partnership (FDP) Subaward Agreement Amendment - Used in all instances when the award or prime award is a Federal Sponsor. There are 3 FDP Subaward Agreement Amendments
  2. FDP Amendment – Issued when original agreement and existing amendments did not include unilateral amendment language.
  3. FDP Unilateral Amendment -Issued when original agreement or an existing amendment allowed for the usage of specific types of unilateral amendments
  4. FDP Amendment for Carry Forward – Issued when original agreement did not allow for carry-forward funding
  5. Non-Federal Subagreement Amendments – Used in all instances when the award or prime award is not a Federal Sponsor or ASU is collaborating with NAU or UofA. There are 2 types of Non-Federal Subagreement Amendments.
  6. Subagreement Amendment – Issued when original agreement and existing amendments did not include unilateral amendment language.
  7. Subagreement Unilateral Amendment – Issued when original agreement or an existing amendment allowed for the usage of specific types of unilateral amendments.
  8. Subagreement Amendments-Federal - Used in all instances when ASU issued a Non-Federal Subagreement when the sponsor was Federal (prior to Uniform Guidance implementation). There are 2 types of Subagreemeent Amendments – Federal.
  9. Subagreement Amendment – Federal –Issued when original agreement and existing amendments did not include unilateral amendment language
  10. Subagreement Unilateral Amendment – Federal - ssued when original agreement or an existing amendment allowed for the usage of specific types of unilateral amendments.
  1. Letter of Understanding (LOU) Amendments – Used in instances when an LOU was issued. There are 4 types of LOU Amendments.
  2. LOU-NAU Amendment - Issued when original LOU and existing amendments did not include unilateral amendment language.
  3. LOU-NAU Unilateral Amendment -Issued when original LOU or an existing amendment allowed for the usage of specific types of unilateral amendments.
  4. LOU-UA Amendment - Issued when original LOU and existing amendments did not include unilateral amendment language.
  5. LOU-UA Unilateral Amendment -Issued when original LOU or an existing amendment allowed for the usage of specific types of unilateral amendments.

Subrecipient Types: ASU collaborates with a variety of entities. The 8 common types are as follows: Independent School District, Public/State Controlled Inst. of Higher Education, Private Institution of Higher Education, Nonprofit with 501C3 Status (Other than Institution of Higher Ed.), Nonprofit without 501C3 Status (Other than Inst. of Higher Ed.), For Profit Organization (other than Small Business), Small Business, Foreign/Non-Domestic (non-US) Entity, Other

Cost Reimbursable or Fixed Price?

Majority of Subawards issued by ASU are Cost-Reimbursable. This is ASU’s preference; however, it may make sense to issue a fixed-price subaward.

ISSUANCE OF A FIXED-PRICE SUBAWARD UNDER FEDERAL FUNDING

Fixed Price Subaward Agreements - see Subaward Sitelet for Q&A

  • Federal Agency approval is required for issuance of any fixed-price subaward regardless of dollar value when the Prime Funding source is Federal.
  • In addition, Fixed-Price Subawards that are issued cannot exceed the Simplified Acquisition Threshold (currently, $150,000).
  • If a fixed-pricesubaward is determined during proposal development, the following or a variation of will be included in the proposal budget justification.

ASU anticipates the issuance of a fixed price subaward to [Name the Subrecipient here] documented in this proposal and is requesting prior agency approval. This Subrecipient meets the criteria described in Subpart C- 200.201(b) and if this proposal is awarded, ASU will consider this subaward approved.

When the above statement is included in the justification, additional approval from Federal Agency is not needed as this is considered prior approval.

Amdendmentsto a Fixed-Price Subaward issued prior to and following 12/26/2014

  • If the Subrecipient is Foreign or Small Business and assessed as high risk, then may remain as fixed-price until it reaches the $150K threshold.
  • If the Subrecipient is an Educational Institution or other well established Non-Profit and assessed not high risk, then Subawards will change the contract cost type from fixed to cost reimbursable.

For all of the above,

  • If it is anticipated an issued fixed-price award will exceed $150K, ASU cannot exceed this threshold. ASU will need to address this with separate and distinct SOWs, where each will not exceed $150K. Inform Lead and AD if this occurs so each one can be reviewed case-by-case.

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