Outside entities engaged through a formal agreement to support a specific sponsored program are classified as Subrecipients or Contractors.
Each entity is evaluated on a case-by-case basis. Depending on the entity’s characteristics and proposed role in a sponsored program, classification of the same entity may vary across different sponsored programs. During the pre-award phase, Principal Investigators complete the Subaward Proposal Form to document the classification of any planned sub-recipients or contractors.
Planned subrecipients are required to provide additional organizational information through the completion of a Subrecipient Financial Questionnaire. Planned subrecipients must also provide a detailed statement of work, budget, and budget justification for their assigned role in a sponsored program. The Subrecipient Financial Questionnaire will be administered by SPA upon classification of an outside entity as a subrecipient.
Additional subrecipients identified in the post-award phase of a sponsored program may be requested through SPA Administrative Action Form.
Planned contractors are not required to complete a pre-award questionnaire and will be contacted in the post-award phase to establish needed contractual arrangements.
Additional contractors identified in the post-award phase of a sponsored program may be requested through the SPA Administrative Action Form.
Outside entities supplying goods or services as needed throughout the conduct of a sponsored program without the need for a program-specific agreement are considered contractors and can be engaged through the normal Charging Sponsored Awards process.
Definitions for Collaborations
- Prime Award
An agreement provided by a sponsor to a Prime Recipient for the Prime Recipient to carry out a sponsored program.
- Prime Recipient
An entity that receives a Prime Award directly from the sponsor to carry out a sponsored program.
- Pass-Through Entity
An entity in receipt of an award (Prime Award or Subaward) that in turn provides a Subaward to a Subrecipient to carry out a specific component of a sponsored program.
An entity that receives a Subaward from a Pass-Through Entity to carry out a specific component of a sponsored program. The following characteristics are representative of a Subrecipient:
- Entity’s performance is measured against the objectives of the sponsored program as defined in the Prime Award.
- Entity is responsible for some level of programmatic decision making, or participates in the design or conduct of the sponsored program.
- An individual at the entity is designated as an entity-level Principal Investigator and functions as a Co-Investigator on the sponsored program.
- Individuals at the entity may be involved with authorship of publications related to the sponsored program.
An agreement provided by a Pass-Through Entity to a Subrecipient for the Subrecipient to carry out a specific component of a sponsored program.
An agreement provided by a Prime Recipient or Subrecipient to a Contractor for the Contractor to provide property or services needed to carry out a sponsored program.
An entity that receives a Contract from a Prime Recipient or a Subrecipient to provide property or services needed to carry out a sponsored program. The following characteristic are representative of a Contractor:
- Entity provides the goods and services within normal business operations.
- Entity provides similar goods or services to many different purchasers.
- Entity normally operates in a competitive environment.
- Entity provides goods or services that are ancillary to the operation of the sponsored program.