Sponsored Projects Office (SPO)

MSC09 5220
1 University of New Mexico
Albuquerque, NM 87131-0001

Physical Location:
1650 University Blvd NE
Second Floor, Suite 2200

Phone: (505) 272-6264
Fax: (505) 272-0159

Sub-Award Procedures

A Sub-award can also be referred to as a sub-grant (if prime funding mechanism is a grant) or Sub-contract (if prime funding mechanism is a contract). Sub-award's are issued when two or more Institutions collaborate on an idea. A Sub-awardee's work can contribute significantly to the outcome of the research being conducted which is a key difference between a Consultant and Sub-awardee. Outgoing Sub-award's have a cap on the dollar amount in which the Institution can collect Indirect costs on, refer to F&A Rate Agreement. If you are unsure about how to classify an external resource (consultant or sub-award), please refer to our Consultant vs. Sub-award clarification document.

Follow these steps if you have a sub-award coming IN to HSC:

  • If another Institution would like to include HSC into their grant, complete a Proposal Data Sheet (PDS) & Conflict of Interest (COI) form, as well as the items in the checklist
  • Due Date to HSC Sponsored Projects Office is 5 business days before Prime Grantee needs the HSC paperwork
  • After grant is awarded to the Prime Grantee, their business office will draft a sub-award & send to HSC Sponsored Projects Office
  • At that time the Principle Investigator at HSC will be requested to provide an ABS Form & review the Statement of Work and Sub-award Budget
  • Once Sub-award has been signed by both parties, Sponsored Projects Office will process the award and send the file to Contract & Grant Accounting where an Index number will be issued. Expenses may now be posted.

The following items are required for "MONEY IN" sub-awards:

  • Internal forms: Proposal Data Sheet (PDS) and Conflict of Interest forms (COI) signed by Dept Chair.
  • Signed Face page or a Cover Letter (include UNM’s Federal Tax ID Number 85-6000-642 & UNM HSC’s DUNS number 829868723). This must to include a signature from Pre-Award. A NIH 398 form typically contain all the information needed. A partially completed 398 is on the Pre-Award website.
  • Some Prime Awardees will request a Consortium Letter of Intent.
  • Scope of Work (may be incorporated with Prime’s)
  • Complete budget (for the UNM sub-contract). If using the 424R&R and prime is doing a detailed budget, extract the 424R&R sub-award budget forms, email to the prime only after Pre-Award approval. Dollar amounts must match the amount in the 398 face page or cover letter that is signed by Pre-Award. If paper submission, budget is typically on the NIH form 4 & 5 budget pages. Be sure to include F&A in Budget.
  • Budget justifications (for UNM HSC) if applicable
  • Biographical sketch (if DHHS) for key personnel – this will be the UNM PI at least. Make sure PubMed references are in proper format.
  • Check list page (if DHHS 398 paper application is used and the proposal is not electronic format.) This shows the UNM F&A Breakout.
  • IDC (F&A) rate agreement (overhead, indirect costs, and F&A are all the same thing). We should always give (email) a copy to the Prime.
  • Education on Protection of Human Research Participants Training Certificates if applicable – may be requested at the “Just in Time” stage.
  • Updated “Current and Pending Support” form may be requested of Key Personnel at the “Just in Time” stage if DHHS. Be prepared to get this later.
  • May also need to provide a VA MOU upon request to the Prime. In either case the VA and Pre-Award need for their files if anyone is under a joint appointment and the application is going to NIH. The VA requires this be signed at the proposal stage.
  • Sometimes the prime awardee will want a copy of UNM’s last Audit & Financial Statements.

Originals are NOT required. Faxes are fine. Scanned PDF/emailed is also fine.

Bring to Pre-Award 5 Business days before it is due at the prime.

Follow these steps if you have a sub-award going OUT from UNM:

  • If HSC would like to collaborate with another Institution on a grant, ask potential sub-awardee to send you all of the following:
    1. A PHS 398 face page with an authorized signature from an official of the recipient institution or agency.  A formal consortium letter signed by an authorized institutional official is acceptable only when a signed PHS 398 face page is unobtainable (as a last resort).
    2. Consultant or Sub-contractor Commitment
    3. Detailed budget with budget justification
    4. Statement of work
    5. Biosketches of key personnel (for proposals to DHHS)
    6. Checklist page (if using PHS 398)
    7. Recipient's F&A rate agreement
  • Ask sub-awardee to get you all materials 3 business days before you need to turn-in your review package and budget to the Sponsored Projects Office
  • Note: main campus and the UNM branches ARE NOT classified as Sub-awardees. Individuals from these UNM locations directly charge to the grant and a F&A Split is completed
  • Roll sub-award info into your grant proposal and forward to the Sponsored Projects Office for approval
  • Once Grant Award Notice arrives at HSC, you will be asked to provide an ABS and the sub-awardee will be a line item on your budget
  • The Sponsored Projects Office will then draft the sub-award
  • The HSC principle investigator will supply the statement of work and the sub-awardee's budget breakout
  • The money out Sub-award will then be signed by both Institutions. The HSC Principle Investigator and Department will get an electronic fully executed copy
  • The sub-award file is then sent to Contract & Grant Accounting where an encumbrance is set up in Banner
  • The sub-awardee will send invoices to Contract & Grant Accounting who will sign and forward to the UNM HSC PI for verification and signature then send back to Accounts Payable where the payment is released

The following items are required for "MONEY OUT" sub-awards:

  • Signed Face page or a Cover Letter (please include Federal Tax ID Number, Congressional District & DUNS Number). This needs to include a signature from the Institutional Official. It should also include the address of their business or PreAward Office, so we know where to send the subcontract. The 398 or 424R&R forms typically contain the information needed. If using the 424R&R, Institutional Official can just sign the bottom of page 2.
  • NOTE: Federal regulations now REQUIRE subawardees to have a DUNS number and it is also required by UNMHSC they also be registered in SAM. See: http://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html for DUNS and http://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html for SAM Registration.
  • A Consortium Letter may be included, signed by the sub-awardee, with or instead of the face page. (See Sample if needed)
  • Scope of Work (may be incorporated with UNM’s, but will need an SOW just for the sub-contractor after award.)
  • Complete budget (for the sub-contract). If using the 424R&R and UNM is doing a detailed budget, extract the 424R&R sub-award budget forms, email to sub-awardee, and have them fill out and email back. (sub-awardee will need to have Adobe on their computer before they can open the file). Dollar amounts must match the number sub-awardee’s institutional official endorsed in the face page or cover letter.
  • Budget justifications -- for the sub-contracts.
  • Biographical sketch (if DHHS) for Key Personnel -- Make sure PubMed references are in proper format.
  • Check list page (for F&A calculations, if paper DHHS 398 used)
  • IDC rate agreement (overhead, indirect costs, and F&A are all the same thing) – we need a copy of their rate agreement. (Note: Foreign consortiums are limited to 8%.)
  • Education on Protection of Human Research Participants Training Certificates if applicable. This form may be requested at the “Just in Time” stage if DHHS. Be prepared to get this later.
  • Updated “Current and Pending Support” form may be requested of key personnel at the “Just in Time” stage if DHHS. Be prepared to get this later.
  • Conflict of Interest Form (for non UNM employees) signed by subawardee personnel.

If sub-award is a National Lab (i.e. LANL or SANDIA) they will do things according to DOE policy and will not give you a copy of their F&A rate agreement. Please just collect as much as you can. At the very least, get the Direct Cost & Indirect Cost and agree on a Statement of Work and have them sign a COI form. At Award Stage, the Labs will also not accept our Sub-award Agreement, but will issue a “Funds-In-Agreement” or FIA. That is ok, Pre-Award will know what to do.

Originals are NOT required. Faxes are fine. Scanned PDF/emailed is also fine.