PrincipalInvestigator:_____________________________________
UniversityProposalNumber:____________________________________
ChecklisttoDetermineSubrecipientorContractorInvolvement
OBJECTIVE:Generally,thedeterminationoftherelationshipwithanentityisverifiedthroughtheinstitutionalreviewoftheproposal
narrative,budgetjustification,andotherrelatedproposaldocuments,aswellasthroughdiscussionswithkeypersonnelpriorto
proposalsubmission.Whentherelationshipremainsunclear,thisformmayprovideassistanceinmakinganaccuratedetermination.
INSTRUCTIONS:Completesectionsoneandtwoofthechecklistbymarkingallcharacteristicsthatapplytotheoutsideentity.
Thesectionwiththegreatestnumberofmarkedcharacteristicsindicatesthelikelytypeofrelationshiptheentitywillhave
withtheUniversity.Onoccasiontheremaybeexceptionstothetypeofrelationshipindicatedbythecompletedchecklist.
Inthesesituations,thesubstanceoftherelationshipshouldbegivengreaterconsiderationthantheformofagreement
betweentheUniversityandtheoutsideentity.Section3shouldbeusedtoprovidedocumentationontheuseofjudgementin
determiningtheproperrelationshipclassification.
NAMEOFOUTSIDEENTITY:__________________________________________________________________________
SECTION1‐SUBRECIPIENT
Description :AsubawardisforthepurposeofcarryingoutaportionofaFederalawardandcreatesaFederalassistancerelationshipwiththe
subrecipient.Characteristicswhichsupporttheclassificationofthenon‐Federalentityasasubrecipientincludewhenthenon‐Federalentity:
1. DetermineswhoiseligibletoreceivewhatFederalassistance;
2. HasitsperformancemeasuredinrelationtowhetherobjectivesofaFederalprogramweremet;
3. Hasresponsibilityforprogrammaticdecisionmaking;
4. Inaccordancewithitsagreement,usestheFederalfundstocarryoutaprogramforapublicpurposespecifiedin
authorizingstatute,asopposedtoprovidinggoodsorservicesforthebenefitofthepass‐throughentity.
EntitiesthatincludethesecharacteristicsareresponsibleforadherencetoapplicableFederalprogramrequirements
specifiedintheFederalaward.
SECTION2‐CONTRACTOR
Description :Acontractisforthepurposeofobtaininggoodsandservicesforthenon‐Federalentity'sownuseandcreatesaprocurementrelationship
withthecontractor.Characteristicsindicativeofaprocurementrelationshipbetweenthenon‐Federalentityandacontractorarewhenthenon‐Federal
entityreceivingtheFederalfunds:
1. Providesthegoodsandserviceswithinnormalbusinessoperations;
2. Providessimilargoodsorservicestomanydifferentpurchasers;
3. Normallyoperatesinacompetitiveenvironment;
4. ProvidesgoodsorservicesthatareancillarytotheoperationoftheFederalprogram.
EntitiesthatincludethesecharacteristicsarenotsubjecttocompliancerequirementsoftheFederalprogramasa
resultoftheagreement,thoughsimilarrequirementsmayapplyforotherreasons.
SECTION3‐USEOFJUDGEMENT
Description :Indeterminingwhetheranagreementbetweenapass‐throughentityandanothernon‐Federalentitycaststhelatterasasubrecipientor
acontractor,thesubstanceoftherelationshipismoreimportantthantheformoftheagreement.Allofthecharacteristicslistedabovemaynotbe
presentinallcases,andthepass‐throughentitymustusejudgmentinclassifyingeachagreementasasubawardoraprocurementcontract.
ExplanationofUseofJudgementDetermination:
FINALDETERMINATION:
SUBRECIPIENT
Authorized Signature:
CONTRACTOR
Date:
DEFINITIONSFROMUniformGuidance(2CFR,Part200)
Subrecipient(§200.93):
Subrecipientmeansanon‐Federalentitythatreceivesasubawardfromapass‐throughentitytocarryoutpartofaFederalprogram;butdoesnotincludeanindividualthat
isabeneficiaryofsuchprogram.AsubrecipientmayalsobearecipientofotherFederalawardsdirectlyfromaFederalawardingagency.
Contractor(§200.23):
Contractormeansanentitythatreceivesacontractasdefinedin§200.22Contract.
§200.22Contractmeansalegalinstrumentbywhichanon‐FederalentitypurchasespropertyorservicesneededtocarryouttheprojectorprogramunderaFederalaward.
FDPFINAL
Revised12/2/2014