Guidelines for Grant and Contract Management
404A. Subaward Agreement -- Federal (Prototype)
(Note: To be used for RESEARCH subawards, normally with another university. It does not work and should not be used for other kinds of subawards or purchase orders that might be issued with funds from a grant or contract.)
The University of Chicago Subaward Agreement
Name of Organization, (Collaborator) and The University of Chicago, ("Chicago") enter into this subaward for the performance of a portion of the work under (Award #) awarded by Name of Sponsor ("Sponsor Name") to Chicago, under the direction of Name of Principal Investigator ("PI"), the parties agree to the following terms and conditions:
ARTICLE I.
SCOPE OF WORK: Collaborator shall exercise its best efforts to carry out the program indicated in Exhibit A, which is incorporated herein and made a part of this subaward.
ARTICLE II.
PERIOD OF PERFORMANCE: The period of performance shall extend from (Start Date) through (End Date).
ARTICLE III.
CONSIDERATION: This is a cost-reimbursable agreement. Chicago shall reimburse Collaborator’s actual costs for the performance of work under this subaward in the amount not to exceed $_________, which is based on the budget incorporated into this subaward as Exhibit B.
[(Applicable if subaward includes cost-sharing
Collaborator’s Cost-Share: $ xx,xxx.xx
Reimbursable Costs from Chicago: $ xx,xxx.xx
Total Project Costs: $ xxx,xxx.xx ]
ARTICLE IV.
PAYMENTS: Chicago will reimburse Collaborator upon receipt of invoices which will be provided to Chicago in form and detail as indicated in Exhibit C. Invoices will be submitted on a monthly basis to:
Administrator's Name
Administrator's Address
Collaborator shall provide Chicago with a final invoice within 45 days of the subaward end date.
[ (Applicable if subaward includes cost-sharing)
Collaborator shall furnish quarterly Matching Funds Expenditures Reports in the form as shown in Exhibit D. These reports will be sent no later than 45 days after the end of each quarter and 45 days after the end of the period of performance and submitted to:
Name and address of Administrator for Chicago's P.I.
with a copy to:
The Office of the Comptroller
Restricted Funds
The University of Chicago
1225 East 60th Street
Chicago, IL 60637 ]
ARTICLE V.
REPORTS: Collaborator shall furnish to Chicago any required technical reports. Reports relating to this subaward shall be submitted to:
P.I. Name
P.I. Address
ARTICLE VI.
PUBLICATIONS: Collaborator agrees that all publications that result from work under this subaward will acknowledge that the project was supported by (Award #), (Sponsor Name).
ARTICLE VII.
CHANGES: This subaward constitutes the entire agreement between the parties regarding the subject matter herein. Any modification of this subaward shall be made in writing and must be signed by authorized representatives of both parties.
ARTICLE VIII.
TERMINATION: Either party may terminate this subaward upon thirty days written notice to the other party. However, in the event that (Sponsor Name) terminates the award to Chicago prior to the award's end date as stated in Article II of this subaward, this subaward will be immediately terminated. In the event of termination, Chicago will reimburse Collaborator for all expenses incurred through the date of termination, contingent upon Chicago receiving said funds from ("Sponsor Name").
ARTICLE IX.
GENERAL PROVISIONS: The terms and conditions which govern this subaward are the ("Sponsor's Terms and Conditions") and any addenda thereto. With respect to these provisions, where the awarding party is referred to, substitute Chicago, and where the recipient is referred to substitute Collaborator.
ARTICLE X.
NOTICES:
FOR BUSINESS MATTERS:
FOR CHICAGO: Susan L. Boone, Deputy Director -- University Research Administration
ARTICLE XI.
AUDIT: Collaborator agrees to comply with the requirements of OMB Circular A-133. Accordingly, if Collaborator expends $500,000 or more in federal awards during a fiscal year in which Collaborator incurs expenditures for this subaward, then Collaborator shall have a single or program-specific audit conducted for that year in accordance with the provisions of OMB Circular A-133.
Collaborator will transmit to the University of Chicago the reports required by Section 320 (e) of A-133 accompanied by a letter of transmittal that identifies any audit findings that relate specifically to this agreement.
Collaborator shall cooperate with the University of Chicago in resolving questions the University of Chicago may have concerning the A-133 reports and plan for corrective action. Collaborator shall permit independent auditors to have access to records and financial statements as necessary for the University of Chicago to comply with Circular A-133.
Copies of the reports required by Section 320 (e) and any other correspondence under this article should be sent to the following address:
Manager, Postaward Administration
Office of the Comptroller
The University of Chicago
1225 East 60th Street
Chicago, Illinois 60637
ARTICLE XII.
EQUAL OPPORTUNITY: During the performance of the work under this subaward, Collaborator shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, national origin, handicap, or special disabled or Vietnam era status and all the provisions of the non-discrimination clause set forth in Executive Order No. 11246, as amended, are hereby incorporated by reference into this subaward.
ARTICLE XIII.
INDEMNITY. Collaborator indemnifies Chicago for any loss, claim, damage or liability, of whatsoever kind or nature, which may arise from or in connection with the work to be performed under this subaward.
ARTICLE XIV.
PATENTS. Pursuant to Public Law 96-517, as amended by Public Law 98-620, title to any invention or discovery made or conceived under this subaward shall vest in the Collaborator. Collaborator shall promptly notify Chicago Principal Investigator in writing of any such inventions or discoveries. Collaborator hereby grants to Chicago a royalty-free, non-exclusive license for internal research purposes to any Collaborator invention or discovery.
ARTICLE XV.
CONFLICT OF INTEREST. Collaborator shall disclose to Chicago any perceived or apparent conflict of interest related to the scope of work of this subaward. In signing this subaward, Collaborator accepts the responsibility for disclosure, to the PI at Chicago, of all applicable perceived or apparent conflicts of interest.
ARTICLE XVI.
ANTI-TERRORIST COMPLIANCE. Collaborator hereby agrees that all funds, including sub-awards to subrecipients, will be used in compliance with all applicable anti-terrorist financing and asset control laws, regulations, rules and executive orders.
ARTICLE XVII.
ASSURANCES: Collaborator certifies that:
- All KEY PERSONNEL have received appropriate education in the ethical conduct of research involving human subjects in compliance with NIH policy issued June 5, 2000 .
- It is not delinquent on the repayment of any Federal debt.
- It is presently not debarred, suspended, proposed for debarment, declared ineligible, nor voluntarily excluded from covered transactions by any Federal department or agency.
- It is in compliance with the Drug-Free Workplace Act of 1988.
- It is in compliance with Public Law 101-121, Section 1352 that covers restrictions regarding lobbying.
- If PHS: It has filed the assurances required under PHS final rule entitled "Responsibilities of Awardee and Applicant Institution for Dealing with and Reporting Possible Misconduct in Science".
| THE UNIVERSITY OF CHICAGO | Name of Organization: |
____________________________ Authorized Signature and Date |
____________________________ Authorized Signature and Date |
| Susan L. Boone Deputy Director University Research Administration |
____________________________ Typed Name and Title |
