Subaward Initiation and Setup

Jump to section:

Step 1: Subaward Initiation Form
Step 2: Compliance Checks & Draft Subaward Agreement
Step 3: Approvals & Negotiation
Step 4: UAccess Financials Requisition & Agreement Execution

Step 1: Subaward Initiation Form

When the prime award is processed in Sponsored Projects Services (SPS) and assigned a UAccess Financials account number, the SPCS Subaward Services team will send a notification to the University of Arizona principal investigator and business/finance office detailing the next steps in issuance of the subaward to the subrecipient institution. The communication will include reference to the UAccess Research Subaward ID and Negotiation ID. If it is known that a subaward will be issued but communication from Subaward Services has not been received, notify Subaward Services of the pending issuance of the outgoing award and proceed with the following steps:

The business/finance office completes the New Subaward Initiation Form. The following forms are submitted to SPS Subawards with the Subaward Initiation Form:

Also required are:

  • The subrecipient’s detailed scope of work to include deliverables and milestones, budget and budget justification 
  • If the prime award is NASA funded, the NASA Assurance of Compliance – China Funding Restriction affidavit is required

The business/finance office sends the required documents to Subaward Services via email at Please reference the UA Account Number and Negotiation ID provided in Subaward Services' initial communication. Missing or incomplete documents may delay the processing of the subaward.

Step 2: Compliance Checks & Draft Subaward Agreement

Upon receipt of the Subaward Initiation Form and other required documents, Subaward Services begins the various required compliance checks on the potential subrecipient:

  • Financial audit checks based on OMB Uniform Guidance (2 CFR 200), Subpart F.
  • Compliance requirement checks (Export Control, Conflict of Interest, registration, etc.)
  • Compliance check for debarred/suspended entities and individuals
  • Complete risk assessment of subrecipient to establish risk level. Each risk level conveys a different set of responsibilities for the principal investigator and business/finance office as defined in the Subrecipient Monitoring Guide

Subaward Services drafts the new subaward agreement. Subaward Services initiates the following actions at this step in the subaward generating process:

  • Determine the most appropriate type of subaward agreement to be drafted
  • Government/prime award mandated compliance requirements are flowed down to the subrecipient

Step 3: Approvals & Negotiation

Once the subaward agreement has been drafted, the draft will be provided to the business/office and/or principal investigator for approval. Upon approval, Subaward Services sends the subaward to the subrecipient for review and signature. Additional negotiation of the subaward terms may be necessary and require further principal investigator and business/finance office involvement. Upon final agreement between the University of Arizona and the subrecipient, Subaward Services will obtain a partially signed agreement from the subrecipient.

Step 4: UAccess Financials Requisition & Agreement Execution

Subaward Services will contact the business/finance office when it is time to initiate the UAccess Financials Requisition.

  • The first $25,000 of each subaward should be entered as a separate line item under object code 3350
  • The remaining amount of the subaward should be entered as another line item under object code 3340

Once the Requisition has be initiated, please email the Subaward Services reviewer with the eDoc number.

Instructions and details can be viewed via the Subaward Requisition & PO Amendment Training link. The Requisition must be approved by the business/finance office (depending on the individual business/finance office this could be one or several approval actions in UAccess Financials). It will then route to SPS for review and approval. Subaward Services is the last approval action required before the requisition is established as a Purchase Order by Procurement & Contracting Services.

When the PO is assigned and approved by PACS, Subaward Services will insert the PO number as the Subaward Number in the agreements. (Subrecipients are required to include the Subaward Number on all invoices.)

Once all steps are complete, Subaward Services provides the fully executed subaward to the subrecipient and the UA unit's buisoness/finance office.

When the agreement is fully executed, University of Arizona subaward management begins. The principal investigator and the business/finance office should review the Subrecipient Monitoring Guide for detailed information about their subrecipient monitoring responsibilities, which leads into the next section - Subaward Management.

Subscribe to our newsletter to receive featured stories and event info to connect you with UArizona's research, innovation, entrepreneurial ventures, and societal impacts.

Subscribe now