Subaward Initiation and Setup

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UAccess Financials Requisition
New Subaward Initiation Smartsheet
Compliance Checks & Draft Subaward Agreement
Approvals, Negotiation, & Execution

Step 1: UAccess Financials Requisition

Initiate the Requisition in UAccess Financials for no more than the first year of the subaward.  Retain the the Requisition eDoc # as you will provide it in Step 2 below.

  • 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

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. The Office of Research Contracts (ORC) 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, ORC will insert the PO number as the Subaward Number in the agreements. (Subrecipients are required to include the Subaward Number on all invoices.)

Step 2: New Subaward Initiation

To initiate a new subaward, the business/finance office completes and submits the Subaward Initiation Smartsheet (SIS).

Step-by-step instructions for the Subaward Initiation Smartsheet (SIS) can be found here.

The following forms are required to be submitted to the Office of Research Contracts (ORC) with all new subaward initiations:

Missing or incomplete documents may delay processing of the new subaward.

Step 3:Compliance Checks & Draft Subaward Agreement

Upon receipt of the Subaward Initiation Form and other required documents, ORC 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. ORC 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 4: Approvals, Negotiation, & Execution

Once the subaward agreement has been drafted, the draft will be provided to the business/office and/or principal investigator for approval. Upon approval, ORC 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, ORC will obtain a partially signed agreement from the subrecipient.  ORC will then provide fully executed subaward to the subrecipeint and the UA Unit's Business/finance office.

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