At the proposal development stage, the ORPA Grant and Contract Administration team is your primary point of contact, with support from the Subawards team. Potential subawards are identified and documentation is completed and submitted as a part of the proposal to ensure that required approvals have been secured.

To be completed and submitted with your proposal:

• Subrecipient / Contractor Classification Form
• Approval Justification Statement for Fixed-Price Subawards: Subawards planned to be issued as a fixed price (in accordance with Uniform Guidance) must be described in the proposal (i.e. in the budget justification).
• Subrecipient Intent to Collaborate which includes several attachments, such as:
  • Subrecipient Statement of Work: with timelines and deliverables
  • Budget and Budget Justification: If the subrecipient does not have a federally negotiated F&A rate, contact your GCA with questions.

Visit the forms library to access these documents.

Once ORPA issues a Notice of Award (NOA), the next step is to complete and submit all required initiation documentation. Upon receipt of this material, the Subawards team then reviews the submitted documents, drafts and negotiates the agreement terms and conditions, performs a subrecipient risk assessment, and formally initiates the subaward.

To be submitted to the subaward administrator:

• Subaward Initiation request via Princeton ERA
• Documented Sponsor Approval: Required if the subaward was not approved at proposal stage.  Contact your GCA for assistance.
• Statement of Work, Budget, and Budget Justification if revised from the submitted proposal.

To be submitted as needed:

• Principal Investigator Designee Form: Designation of invoice approval to another
• Schedule of Payments: Required for fixed price subawards - no specific format for this item - project dependent
• Financial Status Questionnaire (FSQ) Form: Required for subrecipients not subject to single audits in accordance with Uniform Guidance. Supporting financial documentation as listed on the FSQ must also be submitted concurrently.
• IRB, IACUC, or IBC Protocol Approvals (available on the RIA website)
• Cost-Sharing Documentation and Approvals if the subawardee is cost sharing 
• Sole Source Justification Form (for contracts only)

Visit the forms library to access these documents.

An Amendment to a subaward may be issued for a number of reasons, including: obligating or issuing incremental funding, extensions of period of performance, changes in the statement of work or budget, deobligations, and early terminations. The Subawards team will perform an updated risk assessment upon modification of the subaward. 

To be submitted to the subaward administrator:

• Subaward Amendment request via Princeton ERA
• Include Revised Budget and / or Statement of Work, as applicable
• Include Revised Schedule of Payments, for fixed-price subawards

To be submitted as needed:

• Updated IRB, IACUC or IBC Protocol Approvals
• Revised Schedule of Payments for fixed-price subawards
• Updated Financial Status Questionnaire (FSQ) Form and financial documents, as applicable
• Revised Schedule of Payments

Visit the forms library to access these documents. 

In keeping with Princeton's Subaward Policy, the University is responsible for ensuring that any funds provided to an outside entity are spent in accordance with applicable sponsor terms and conditions, as well as laws and regulations.

ORPA conducts a desk review of all subaward invoices in accordance with established Subawards Procedures to confirm that the invoice(s) include all necessary information to process the invoice for payment. Once desk reviewed, subaward invoices are routed to the PI or PI Designee for approval.

It is the PI or PI Designees responsibility to review cost categories and expenses as well as to ensure that the approved F & A rate is being applied appropriately. The PI is further responsible for confirming that the invoice expenses are in alignment with progress, milestones and deliverables for the project. All approved invoices should be reviewed in conjunction with the approved budget and/or schedule of payments.

To close out a subaward, you will receive the Subaward Closeout Form from your subaward administrator at ORPA. The PI and Department Administrator will verify closeout details, sign and return the document to the subaward administrator. Upon receipt, ORPA will verify that the final invoice has been received and processed, and that all required reports have been submitted. If unspent funds remain, the Subaward team will deobligate subrecipient unspent funds and officially close out the subaward. 

Please note that as the PI or Departmental Administrator, you are responsible for retaining documentation in accordance with the University’s Record-Retention Policy and any additional subaward terms and conditions.

As a participant on a project submitted to the sponsor by another institution, you may need to complete certain forms or prepare documents as part of the proposal. The ORPA Grant and Contract Administration team is available to assist you with the completion of these materials, which may include:

• Subrecipient Commitment Form
• Statements of Work
• Budget and Budget Justification 
• Other information, as applicable

When our collaborator receives their funding from the Sponsor, they will forward a subaward agreement for review and acceptance.  The ORPA Grant and Contract Administration team is available to assist with any Sponsor or Partner requirements. They will review and execute the subaward agreement so that the work can commence.