Subcontract Manual

THEPENNSYLVANIASTATE
UNIVERSITY
PROCEDURESFORTHE
ADMINISTRATIONOF
SUBCONTRACTS
March1992
Rev.A.,February1993
Rev.B.,August1993
Rev.C.,March1994
Rev.D.,May1995
Rev.E.,December1996
Rev.F.,August1997
Rev.G.,June1999
Rev.H.,August2000
Rev.I.,July2001
Rev.K.,January2003
Rev.L.,June2003
Rev.M.,June2011
Rev.N.,September2012
OFFICEOFSPONSOREDPROGRAMS
PROCEDURESFORTHE
ADMINISTRATIONOFSUBCONTRACTS
I.Introduction
Thepurposeofthisdocumentistoassist
Universityfacultyandstaffinthepreparationand
administrationofUniversityissuedsubcontracts.
TheUniversitysofficialpolicygoverning
subcontractingappearsinthePennStatePolicy
Manual,SectionRA16,AdministrationofResearch
SubcontractsoftheUniversity.Aspromulgatedby
memo,signedbyMr.CharlesPaoletti,Executive
Director,AcquisitionDepartment,OfficeofNaval
Research,dated26May2000,allsubawardsissued
underFederalDemonstrationPartnershipfinancial
assistanceprimeawardsarenotconsidered
procurements;andtherefore,areneitherincludedin
theUniversityspurchasingsystemnorgovernedby
thisdocument.
SponsoredresearchfundedbyawardsmadetoThe
PennsylvaniaStateUniversityisusuallyconducted
withinthephysicalboundariesofPennState.On
occasion,however,aportionoftherequiredwork
mayneedtobeprovidedbyoneormoreother
institutionsorcompanies(ThirdParties)whichare
maderesponsibleforadiscretepartoftheproject
awardmadetoPennState.Whentheportionof
workbeingperformedbyathirdpartyconstitutesa
significantcomponentoftheresearchprogram,then
thethirdpartywillberequiredtoprovidethe
resourcesnecessarytoconductthatportionofthe
workasasemiindependentproject.Thiswould
includeprovidingaresponsibleinvestigatoratthe
worksiteofthecooperatinginstitutionorcompany
tooverseetheprogramactivities.Costsnormally
associatedwiththirdpartyeffortcouldincludeany
orallofthefollowing:laborcostsincludingfringe
benefits,materialsandsupplies,travel,equipment,
miscellaneousotherdirectcosts,andindirectcosts.
Inaddition,tothesecosts,itwouldnotbe
uncommontoincludecostssuchasmaterial
overhead,laboroverhead,generaland
administrativeexpense,costofmoney,andprofit
associatedwiththirdpartieswhoarecommercial
organizations.
TheContractsOfficesatthePennStateElectro
OpticsCenter(EOC),ThePennStateApplied
ResearchLaboratory(ARL),andthePennState
CollegeofMedicinehavebeendelegatedauthority
forSectionsIII,IV,andVofthisproceduresmanual.
PleaserefertotheseunitsSubcontractingand
ConsultantProcurementPoliciesandProcedures
accordingly.
Thispolicyaddressesproceduresinvolvedin
subcontractingnonconstructionactivities.Should
youbeconfrontedwithaprogramthatmayinvolve
physicalconstructionoffacilitiesorrenovationsof
existingfacilities,theOfficeofPhysicalPlant(OPP)
mustbecontactedpriortosubmissionofthe
proposaltoensurecompliancewithproperBoardof
TrusteesandUniversityadministrativeprocedures
andtoensurethatnecessaryapprovalsare
obtained.OPPwillalsoprovidethenecessary
guidancetocomplywithallapplicablefederaland
statelaborlawrequirements.OfficeofSponsored
Programs(OSP)isavailabletoassistyouin
complyingwiththeaboveprocedures.
II.SubcontractRelationship
A. ThetermPrimeSponsororSponsorrefers
tothegovernmentalagencyorcommercial
organizationthatmakesanawarddirectly
toPennState.Theawarddocumentisthe
paperworkprocessedbytheSponsorand
senttoPennStateSpecifyingtheterms
underwhichtheprogramwillbe
conducted.
B. Thedocumentwhichformalizesathird
partyrelationshipwithanotherinstitution
orcommercialorganizationtoperform
substantiveworkbaseduponanaward
madetoPennStateiscalledaSubcontract
andthethirdpartyperformingworkunder
asubcontractiscalledtheSubcontractor.
ThedocumentOSPgeneratestoformalizea
contractualrelationshipwithathirdpartyis
formallyreferredtoasaStandard
Subcontract.Withinthisinternalpolicyit
willbereferredtoastheSubcontract.
C.
Activitiesperformedbyaprivateindividual
whoisnotanemployeeofPennStateare
normallyadministeredthroughaPenn
StateConsultingAgreement.Inthecase
whenpurchasedservicesmayinvolvean
organizationalentity,butdoesnotinvolve
substantivescientificresearch,aPurchase
Ordershouldbeusedinsteadofa
subcontract.Forexample,aPurchase
Orderisappropriatefortheperformanceof
repetitivetestsoractivitiesrequiringlittle
ornodiscretionaryjudgmentonthepartof
theprovider.Insituationssuchas
describedinthisparagraph,aConsultant
AgreementoraPurchaseOrdermaybe
handledthroughthenormalPennState
procurementprocedures.Wenissuinga
ConsultantAgreement,keepinmindthat
anIRSForm1099willbeissuedtothe
consultantfortaxpurposes.
D. Researchprogramsthatcontainthe
physicalconstructionofabuildingor
renovationstoanexistingstructuremust
havetheapprovaloftheOPP.However,
theadministrationofanyresulting
agreementwillbemuchthesameasthat
foranyresearchagreement.OPPandOSP
mustbecontactedpriortoproposal
development,andwhowillprovide
assistanceinmeetingthenecessary
requirementsincomplyingwithfederaland
statelawsandUniversityprocedureswith
respecttoBoardofTrusteesapprovalfor
constructionoffacilitiesoncampus.
III.SubcontractingProcedures
A. Subcontractorselection
1. ItistheresponsibilityofPennStates
ProjectDirector,alongwiththe
coordinatedeffortsfromtheofficeof
theappropriateresearchdeanor
collegeunitdirector,tocomplywith
federalprocurementrequirementsin
selectingasubcontractor.Thereare
twoprimarymethodsofselectinga
2.
subcontractor:Competitivebiddingor
solesourceprocurement.Competitive
biddingistobeusedasthenormal
methodofsubcontractorselection.
ThismethodrequirestheProject
Directortosolicitproposalsfroma
numberofsourcesandmakeafinal
selectionofasubcontractorfromthose
respondingbasedontechnicalmerit
andcostobjectivesnormallythe
lowestbidfromatechnicallyqualified
respondent.
Whenthenatureoftheprogram
requiresperformancefromasingle
entitybecauserequisiteservicesor
expertisearenotavailablefromother
sources,theProjectDirectorisrequired
toprovidesolesourcejustification
identifyingtheneedfortheparticular
servicesandwhytheselected
subcontractoristheonlysource
availablefortheneededservices.
InclusionofaspecificSubcontractorin
aproposal,andsubsequentapprovalof
thatproposalaswritten,isan
acceptablebasisforsolesource.A
statementinthejustificationsectionof
theRequestforIssueSubcontractform
thattheawardwasbasedonajoint
proposalfromPennStateand
Subcontractorisrequired.(NOTE:Sole
sourceselectionisnotjustifiedsimply
bythefactthattherehasbeenon
goingcollaborationbetweenscientists.
Asolesourcejustificationinthese
situationsmustbefurtherjustifiedwith
respecttotheunavailabilityofthe
servicesorexpertisefromother
sources).
B. SubcontractorProposal
1. Regardlessofthemethodusedin
selectingasubcontractor,theremust
beadequatetimebetweenthereceipt
ofthesubcontractorsproposalandthe
2.
3.
Sponsorsproposalduedatetoallow
PennStatesProjectDirectortimeto
discussandnegotiatethescopeof
worktobeperformedbythe
subcontractor.TheProjectDirectoris
responsibleforprovidingtothe
intendedsubcontractorarequestfor
proposalletter(seeExhibit1).Ifthe
subcontractinvolveshumansubjectsor
animalexperimentation,appropriate
subcontractorconcurrencetotheir
policymustalsobeincludedinthe
proposal.
Abudgetissubmittedbythe
subcontractorwhichincludesan
itemizationofbudgetcategories,such
asappropriatesalaries,wages,fringe
benefits,materials,supplies,
equipment,travelandotherdirect
costs,thatareneededtoaccomplish
thespecificaspectsofresearchthatthe
subcontractorhasbeenrequestedto
perform.Facilities&Administrative
costsshouldbecalculatedusingthe
subcontractorscurrentF&Arate(s).A
copyoftheSubcontractorsnegotiated
rateagreementshouldbesubmittedto
theProjectDirectoraspartofthe
Subcontractorsproposal.(Acopyof
therateagreementisneededtoverify
theamountofF&Acostrequestedand
tosupportcostsintheeventofan
audit).
TheSubcontractorsproposalshouldbe
signedbyadesignatedbusinessofficial
ofthesubcontractor.Thisindividual
shouldbesomeonewhoisauthorized
tocommitthesubcontractors
resourcestowardthecompletionofthe
subcontract.
C.
IncorporatingtheSubcontractorsProposal
intothePennStateProposal
1. SubcontractcostsareincludedinPenn
StatesbudgetasadirectcosttoPenn
2.
State.WhencalculatingPennStates
F&Acosts,excludethatportionofeach
subcontractcontainedintheproposal
whichexceeds$25,000asrequiredby
theOfficeofManagementandBudget
(OMB)CircularA21.(NOTE:Penn
StatecalculatesF&Acostonlyonthe
first$25,000ofeachseparate
subcontractissuedunderanysingle
sponsoredprimeawardregardlessof
thenumberofbudgetperiodsinvolved
duringperformance.)
Duringproposalprocessing,the
subcontractportionofthePennState
proposalmustbereviewed,priorto
proposalsubmission,toinsurethat
itemsdiscussedinthisSectionIII,Parts
A&Babove,havebeenincorporated,
andareinaccordancewithsponsor
guidelinesasrequired.
a.
Thisreviewmustbeperformedby
OSPduringsubcontractprocessing
ifitwasnotalreadyperformed,by
theCollegeUnitasrequiredby
PrimeSponsor,priortothe
proposalbeingsubmittedbyPenn
State.
D. SubcontractNegotiation
1. Uponreceiptofsubcontractrequestby
OSP,itistheresponsibilityofOSPto
reviewthesubcontractorsaudit
historyandperformariskassessment.
2. ItistheresponsibilityoftheOSP
Negotiator,processingthesubcontract
toreviewthesubcontractorproposal
andtomakeadeterminationastothe
acceptabilityoftheproposedcosts,if
notalreadydonebythecollegeunitat
theproposalstage.Thisevaluationof
acceptablecostsmaybeaccomplished
inanumberofwaysbutthemost
commonmethodsusedbyOSPare:

a.
b.
Ifthesubcontractvalueislessthan
$100,000andwehavehad
successfulpriorexperiencewith
thesubcontractor,adeskreviewof
proposedcostwillbeperformed.
Plainlystated,basedondiscussions
withPennStatesProjectDirector,
thenatureofworktobe
performedandpossiblya
telephonecalltothefinancial
representativesofthe
subcontractor,adeterminationis
madeastothereasonablenessof
proposedcosttotheproposed
effort;
Ifthesubcontractvalueisbetween
$100,000and$500,000the
subcontractorwillberequiredto
providedetailedpricingsupport
datatoOSPforpurposesof
determiningacceptabilityofcosts.
Thesubcontractorwillalsobe
askedtoprovideacopyofitsmost
recentlyapprovedrateagreement
ifonehasnotbeenprovidedwith
thesubcontractor/sproposal.
Somecommercialorganizations
areunwillingtoprovidecopiesof
rateagreementstoanyoneother
thangovernmentalagencies.In
thiscasewewillrequestarate
verificationthroughourlocal
DefenseContractAuditAgency
(DCAA)office;
c.
Ifthesubcontractvalueisover
$500,000,OSPmayrequestan
assistauditthroughtheCorporate
ControllersOffice,whichwill
forwardtherequestthroughthe
appropriatechannelstoourlocal
DCAAofficeiftheprimesponsor
hasnotalreadyperformedanaudit
ofthesubcontractor.For
subcontractsawardedundera
federalprimecontract,the
subcontractorwillberequiredto
provideaCertificateofCurrent
CostorPricingData(seeExhibit2)
ifthepricenegotiatedbetween
OSPandthesubcontractorisin
excessof$700,000orsuchother
amountasmaybedeterminedby
FederalRegulation.
E.
PreparingaSubcontract
1. UponPennStatesreceiptofafully
executedprimeawardfromoursponsor,
itisnecessarytoestablishasubcontract
withtheappropriatethirdparty.Itis
OSPsresponsibilitytopreparethe
subcontractdocumentaftera
Subcontract/SubawardRequestform(See
Exhibit3)hasbeensignedbytheProject
DirectorandResearchDeanand/or
DepartmentHeadandthensubmittedvia
theirGrantsandContractsofficeor
FinancialOfficer.
2. Inpreparingthesubcontractdocument,it
isimportanttoflowdowntothe
Subcontractorthespecialtermsand
conditionsoftheprimeawardwhichboth
PennStateandtheSubcontractormust
comply.Sponsorreviewandapprovalof
asubcontractmaybenecessarypriorto
itsimplementation.(Note:Sponsor
acceptanceofaPennStatebudgetthat
includessubcontractcostsconstitutesthe
acceptanceofthesubcontractorselected
andnotanapprovalofthesubcontract
documentitself.)
3. TheSubcontract/SubawardRequest
Form,mentionedabove(Exhibit3),
providesOSPwiththenecessary
informationneededtodevelopthe
subcontractdocument.Ofprimary
importanceistheStatementofWork,the
budget,&theSubcontractorsF&Arate
agreement(ifavailable),thatrelatesto
theproposedeffort.Theformalsoasks
whetherthissubcontractisbeing
awardedundercompetitivebidding
proceduresorsolesourceprocurement.
TheProjectDirectorisrequestedtotell
OSPifthereareanyotherrequirements
he/shewouldliketoseeinthe
subcontract.Exampleswouldbe:
a. AdvancePayments(Notavailable
optionwithFederallysponsored
primeagreements);
b. Copyrightrequirements;
c. Publicationrequirements
d. Patentrequirements
e. EquipmentOwnership
f. FederalFundingAccountability&
transparencyAct(FFATA)
g. Exportconcerns
4. UponreceiptbyOSPofthe
Subcontract/SubawardRequestForm,the
informationisloggedintoSIMS.The
RequestforSubcontract/SubawardForm
isreviewedbyOSPsSubcontract
CoordinatorforOMBA133monitoring
andthenloggedintoSIMSandgivento
theOSPNegotiatorfordocument
preparation.Theprimeawarddocument
isreviewedtodetermine(1)whetherthe
PennStatebudgetprovidedfora
subcontractcorrespondswiththe
maximumamountauthorizedforthe
subcontract;(2)Whethertermsand
conditionsthatareintextforminthe
primeawardareapplicabletothe
subcontractor,(3)whethertherewillbe
certificationsrequiredofthe
subcontractor;(4)whetheranygeneral
provisionshavebeenincorporatedinto
theprimeagreementthatarerequired
flowdownclausesorclausesthatare
necessarytoprotecttheinterestsofPenn
Stateand/ortheprimesponsor,(5)and
whetherprimesponsorpriorapprovalis
requiredofthesubcontract.
5. ASubcontractChecklist(Exhibit4)is
completedbytheNegotiatorinOSPfor
eachfinancialactionagainstthe
Subcontract/Subaward.Itiscompletedto
determine;(1)whethertheproposed
StatementofWorkrelatestotheeffort
identifiedinPennStatesprimeaward;(2)
theproposedperiodofperformanceof
subcontracteffortfallswithintheprime
awardperiod;(3)theproposed
subcontractbudgetcorrespondstothe
budgetthatwasincludedinPennStates
proposaltotheprimesponsor;(4)a
sufficientdegreeofnegotiationwas
conductedwiththesubcontractorfora
finalsubcontractprice;(5)the
subcontractorprovidedanyrequired
certificationsvoluntarily,(6)andwhether
thesubcontractistobeissuedtoafor
profitornonprofitorganization.
6. Acostevaluationisperformedto
determinethereasonablenessof
proposedcost,aSubcontractorCost
Analysis(SeeExhibit4A)ispreparedto
documentthedegreeofevaluation
performed.(Note:Itisatthisstagethat
anauditwouldberequested,ifneeded,
andtheresultsofthatauditwould
determinethebasisforacceptanceof
costs.)Thebudgetisthennegotiated
withthesubcontractor.
7. Ifrequired,thesubcontractorwillbe
requestedtosubmitaCertificationof
CurrentCostorPricingData.
8. Afterconsideringalloftheabove
variables,thesubcontractdocumentis
preparedtosuittherequirementsofthe
primeawardandthetypeof
subcontractorwithwhichwewillbe
associated.
9. TheSubcontractTemplate,(Exhibit5),is
designedtoaccommodatethemajorityof
subcontractspreparedbyOSP.However,
changesmaybemadetoaddressmore
complexsituationsthatariseeither
becauseofthenatureoftheprimeaward
orthetypeoforganizationselectedasthe
subcontractor.
10. Whenprimesponsorapprovalisrequired,
copiesoftheunsignedsubcontractare
sentsimultaneouslytothesponsorfor
suchpriorapprovalandtothe
subcontractorforacceptance.Eachletter
statesthatdocumentsweresent
simultaneouslytherebyrequestingan
expeditiousapprovalfromoursponsor,
andalertingthesubcontractorthat
changesmayneedtobenegotiatedasa
resultofprimesponsorapprovalandthat
PennStatecannotsigntheagreement
untilreceiptoftheapproval.Therequest
forpriorapprovaltoPennStatessponsor
willincludetheinformationrequiredby
FAR52.2442,Subcontracts.
11. OSPcompletesaSubcontractClearance
Formandforwardthesigned(by
UniversityAuthorizedOfficial)tothe
Subcontractorforcountersignature.This
isthestandardprocess,exceptunderthe
followingcircumstances;
a. A133auditreviewisincomplete
b. TheSubcontractorisforeign
c. Theprimesponsorrequires
approvalofthesubcontract
d. TheSubcontractisgreaterthan
$1,000,000.00
12. Duringsubcontractoracceptanceprocess,
changesmayneedtobenegotiatedor
clarificationsprovided.OSPwillnegotiate
allchangestothesubcontractinclose
coordinationwith,anduponreceiving
inputfromtheCollegeUnitandProject
Director.Whenchangesaremadeasa
resultofOSPnegotiationswiththe
Subcontractor,OSPwillissuearevised
subcontracttotheSubcontractor,
reflectingtheacceptedchanges.
13. WhentheUniversitysignsfirst:Afully
executedsubcontractisreceived.OSP
willputtoContractFileinSIMSand
electronicallyscananddistribute
internallytothecollegeResearch
AdministrationOfficeandthePrincipal
Investigator.OSPwillinterofficemaila
papercopyofthefullyexecuted
subcontractandsupportingfilematerial
toResearchAccountingforfilingwiththe
primeagreementfile.
14. WhentheUniversitysignslast:Upon
receiptofasignedsubcontractfromthe
Subcontractorandreceiptofprime
sponsorapproval,ifrequired,andtheA
133auditreviewiscomplete,OSPwill
completeasubcontractclearanceform
(SeeExhibit6)andforwardtothe
appropriateUniversityauthorizedofficial
forcountersignature.Once
countersigned,OSPsendsafullyexecuted
copyofthesubcontracttothe
Subcontractor.OSPwillputtocontract
fileinSIMSandelectronicallyscanand
distributeinternallytothecollege
ResearchAdministrationOfficeandthe
PrincipalInvestigator.OSPwillinter
officemailapapercopyofthefully
executedsubcontractandsupportingfile
materialtoResearchAccountingforfiling
withtheprimeagreementfile.
IV.PostAwardSubcontractAdministration
A. TechnicalMonitoring
1. Asprimeawardrecipient,PennState
assumestheultimateresponsibilityfor
theconductandcompletionofthe
project.Subcontractorprogress
reportsshouldbereviewedthoroughly
byPennStatesProjectDirectorand
discussedwiththesubcontractoras
needed.TheSubcontractorsprogress
reportwillusuallybeincorporatedinto
theprogressreportsubmittedtothe
sponsorbyPennState.
C.
SubcontractAmendments
1. Shoulditbedeterminedduringthelife
oftheprimeagreementthatadditional
effortisrequiredtobeperformedby
thesubcontractor,arequesttoissuean
amendment,viathesubrequestform
shouldbesenttoOSP.Therequest
shouldincludethesubcontractnumber,
nameofthesubcontractor,andthe
necessaryinformationrequiredto
preparetheamendment,i.e.,extending
time,addingcost,amendingexisting
budgets,etc.
D. Termination
1. Shoulditbenecessarytoterminatea
subcontract,theOSPNegotiatorshall
coordinatetheterminationwiththe
CollegeUnitResearchAdministrator
and/orPennStatesProjectDirector.
OSPwillexpeditiouslyforwarda
terminationnoticeviafacsimile,email,
orovernightcarriertothe
Subcontractor.TheOSPNegotiator
mayutilize,withappropriate
modifications,thesampletermination
noticecontainedinFAR49.6012.
2. Forsubcontractsawardedunder
federalprimeprocurementawards,the
OSPNegotiatorshallterminatethe
subcontractinaccordancewiththe
subcontractsterminationclause
Settlementofterminatedsubcontracts
shallbeinaccordancewithFAR.108.
3. Forsubcontractsawardedundernon
federalprimeawards,theOSP
Negotiatorshallterminatethe
subcontractinaccordancewiththe
subcontractsterminationclause.
B. FinancialMonitoring
1. InaccordancewiththePaymentarticle
ofthissubcontract,invoicesaretobe
senttotheCollegefinancialpointof
contact,bytheSubcontractorfor
reviewandapprovalbytheProject
Director.
2. PriortoapprovalbytheProject
Director,theinvoiceshouldbe
reviewedtodeterminethatthe
amountbeingrequestedforpaymentis
consistentwiththeamountofeffort
performedduringthebillingperiod.
Normally,theProjectDirectorwould
mostlikelybefamiliarwitheffort
performedbythesubcontractor
throughtelephoneconversations,
technicalmeetings,progressreportsor
possiblysitevisits.Ifthereare
problemsnotedintheinvoice,suchas
equipmentpurchasedwithoutapproval
ormorelaborchargedthanPenn
StatesProjectDirectorfeelswas
expended,theinvoiceSHOULDNOTBE
APPROVED.TheCollegeUnitandOSP
shallresolveanyproblemswiththe
subcontractor.OncetheCollegeUnitis
satisfiedwiththeinvoice,theCollege
Unitshallprocesspayment(s)through
IBISasaSpecialRequestforCheck.
3. Anyproblemsencounteredduringthe
lifeofthesubcontractshouldbe
appropriatelyaddressedtothe
ResearchCoordinatororequivalentfor
theProjectDirectorsCollegeand/or
OSP.
4. Thesubcontractorwillberequiredto
furnishallreportsidentifiedinthe
subcontractdocumentandin
accordancewiththeReports
Distributionarticleofthesubcontract.
V.ClosingRequirements
A.RequiredDocuments
1. Thesubcontractorisrequiredtosubmit
thefollowingdocumentsatsubcontract
completioninaccordancewiththe
CloseoutRequirementsarticleofthe
subcontract:
a. FinalTechnicalReport
b. FinalCumulativeInvoice
c. SubcontractorsRelease(See
Exhibit7)
d. SubcontractorsAssignmentof
Refunds,Rebates,Credits,and
OtherAmounts(SeeExhibit8)
e. A133Certification,ifapplicable
(SeeExhibit9)
f. FinalInventoryofProperty(See
Exhibit10)
g. ReportofInventionsand
Subcontracts(SeeExhibit11)
2. Whenthefinalcumulativeinvoicehas
beenreceivedbytheCollegeunitpointof
contact,theCollegeunitshallbe
responsibleforthesametypeofreview
andapprovalproceduresasrequiredfor
theroutinemonthlyinvoiceevaluations
mentionedunderSectionIV,ParagraphB,
Subparagraphs1through4.
3. TheCollegeunitshallforwardacopyof
thefinalcumulativeinvoicealongwitha
completedCertificationofTechnical
Completion(SeeExhibit12)toOSPfor
releaseoffinalpayment.Uponreviewof
thefinalcumulativeinvoicebyOSP,
authorizationissenttotheCollegeunitto
releasefinalpayment.TheCollegeunit
shallprocessfinalpaymentthroughIBISas
aSpecialRequestforCheck(NOTE:Ifthe
subcontractisgoingtobeextended,this
certificationisnotrequired,andOSP
shouldbenotifiedimmediatelysothe
closeoutprocedurecanbestopped.)OSP
willnotapprovalfinalpaymentuntilthe
CertificationofTechnicalCompletionhas
beenreceived.
4. OSPwillcompletetheSubcontract
CloseoutChecklist(SeeExhibit13)to
ensurecompliancewiththetermsofthe
subcontractandauditrequirements.The
originalform,whencompleted,willbe
senttoResearchAccountingtobefiled
withtheappropriateprimeagreement
closingpapers.Acopyoftheformwillbe
maintainedinOSP.(Thisformwillbe
completedforallsubcontractsissued.)
a. Intheeventanyrequestedclosing
papersarenotreceivedfromthe
Subcontractor,OSPwilldetermine
iftherequestedclosingpapers
(SeeSectionV.A.1.)arerequired
foradministrativecloseoutusing
thefollowingcriteria:
i. Federalflowthroughfunds
1. ReportofInventionsand
Subcontracts:Per37CFR
401.14proceedwithcloseout
ifDD882isnotreceived
withintwomonthsafter
forwardingclosingpapersto
theSubcontractor.
2. InventoryofProperty:
Proceedwithcloseoutifno
propertywasbudgetedforin
thesubcontractandproperty
wasnotincludinginthe
Subcontractorscumulative
costbreakdown.
3. A133AuditReports:If
Subcontractorisaforeignor
commercialentity,
anA133typeauditisnot
required,astheA133auditis
notapplicabletoforeignor
commercialentities.
ii. NonFederalflowthroughfunds
1. ReportofInventionsand
Subcontracts:Verifyintellectual
propertyrequirementsinprime
award.
2. InventoryofProperty:Proceed
withcloseoutifnopropertywas
budgetedforinthesubcontract
andpropertywasnotincludedin
theSubcontractorscumulative
costbreakdown.Verifyproperty
requirementsinprimeaward.
5. TheSubcontractCloseoutDeskReview
Worksheet(SeeExhibit14)ispreparedby
OSPatthetimeofsubcontractcloseout
andisusedinconjunctionwiththefinal
cumulativeinvoicereviewandapproval,as
notedunderSectionV,Paragraph3.This
formisusedindeterminingthe
allowabilityofcostsincurredbythe
Subcontractorandtheappropriatenessof
thecostsincurredtotheguidelinesofthe
primeaward.
6. Exhibit15,AdministrativeCloseout
Memorandum,isusedinlieuofacloseout
auditofasubcontractunlessaformal
auditisdeemedappropriateduetothe
natureoftheprogramand/or
SubcontractorA133audits.Ifapplicable,
OSPwillutilizethequickcloseout
proceduresinaccordancewithFAR42.708.
EXHIBIT 1
Subject:
Request for Submission of a Subcontract Proposal Under The
Pennsylvania State Universitys Research Proposal Entitled
_______________________________, Submitted to _____________________ by Penn
States Project Director, _______________________ (RFP/RFQ No.______)
Dear _____________:
Your organization has been selected as a potential subcontractor to The Pennsylvania State
University, and your proposed statement of work and cost estimate will be included in Penn
States proposal to the intended sponsor for the referenced research project.
To expedited Penn States evaluation of your proposal, and to ensure proper inclusion of your
effort and cost in our proposal to the sponsor, we are requesting that you prepare a Statement of
Work and corresponding cost proposal to be submitted to Penn States Project Director no later
than __________.
If a resulting prime agreement to Penn State is funded with federal funds, you should submit a
copy of your most recent negotiated rate(s) agreement with your proposal. In addition, if your
proposal is over $650,000, please include a completed Certificate of Current Cost or Pricing
Data, a copy of which is attached.
During the course of your proposal preparation, should you have any questions relating to the
cost proposal requirements, you may contact ______________, Research Coordinator for the
College of _________________ at 814-86_-____.
Sincerely,
EXHIBIT 2
CERTIFICATE OF CURRENT COST OR PRICING DATA
This is to certify that, to the best of my knowledge and belief, the cost or pricing data (as define
din Section 15.401 of the Federal Acquisition Regulation (FAR) and required under FAR
subsection 15.403-4) submitted, either actually or by specific identification in writing, to the
Contracting Officer or to the Contracting Officers representative in support of _____________*
are accurate, complete and current as of ___________**. This certification includes the cost or
pricing data supporting any advance agreements and forward pricing rate agreements between
the offeror and the Government that are part of the proposal.
Firm
The Pennsylvania State University
Signature
Name
David W. Richardson
Title
Director, Office of Sponsored Programs
Date of Execution
*Identify the proposal, request for price adjustment, or other submission involved, giving the
appropriate identifying number (e.g., RFP No.).
** Insert the day, month, and year when price negotiations were concluded and price agreement
was reached or, if applicable, an earlier date agreed upon between the parties that is as close as
practicable to the date of agreement on price.
*** Insert the day, month, and year of signing, which should be as close as practicable to the
date when the price negotiations were concluded and the contract price was agreed to.
EXHIBIT 3
SUBCONTRACT/SUBAWARDREQUESTFORM
Pleaseprovidetheinformationrequestedbelowandforwardtherequest,signedbythePrincipal
Investigator,Dean/ConsortiumDirector/InstituteDirector/CEO,andFinancialOfficer,totheOfficeof
SponsoredPrograms.TheSubrecipientsproposalmustbeattachedandincludethefollowing:
CoverPage StatementofWork BudgetF&ARateAgreement(ifapplicable)
RepresentationsandCertifications(ifapplicable)
1.Forsubcontracts/subawardsbeingissuedunderaPrimeAwardfromaPHSAgency(e.g.,NIH,
FDA,etc.)orotheragencythathasadoptedsimilarFinancialConflictofInterestrequirements,
pleaseanswerthefollowing.Otherwise,pleaseproceedtoitem#2.
Haveallnecessaryconflictofinterestchecksandreviewsbeencompletedbythesubrecipient
institution?
______Yes______No*
*Note:Subawards/Subcontractswillnotbeexecuteduntilsuchreviewhasbeencompleted.Itis
aviolationoffederallawtoallowspendingonasubaward/subcontract,untilthesubrecipient
institutionhaseithercertifieditsowncompliancewithPHSCOIpolicyorbeenreviewedby
PSUsCOIprogram.
2.Requesttoissue:
InitialSubaward(SA)/Subcontract(SC)
AmendmenttoSubaward/SubcontractNo.:________________________________________________
NoCostExtension___AdditionalFunding___NewEndDate&AdditionalFunding___DecreaseinFunds___
3.OSPNumberofPrimeAward:
4.PrimeAwardNumber:
5.PennStateUniversitysPrimeAwardisa:
GrantCompleteallsections(asapplicable)except#13
ContractCompleteallsections(asapplicable)
6.Subcontract/SubawardInformation:
SubrecipientAdministrativeContact:

Subrecipient
Name

SA/SCProjectDirector
Address
Address
SA/SC/AmendmentAmount
Phone
SA/SC/AmendmentPeriodofPerformance
Email/Website
Cumulativeamountfundedtodate(includingthisaction)
DUNSNumber

7.PrimeAwardInformation:
PennStateProjectDirector:
PrimeSponsor
Name
PrimeAwardFundedAmounttoDate
Address
PeriodofPerformance
Phone
Budget/FundNumber
CFDANumber
Email
8.Isthereacostsharingcommitmentassociatedwiththissubaward/subcontract?
Yes NoIfyes,pleaseprovideamountspecifictothisaction:
9.IsSubrecipientrequestingF&A?
YesNoN/AIfYes,pleaseattachrateagreement.
10.PennStatesProjectTitle:_____________________________________________________________
a.Additionaldescriptionifprojecttitledoesnotadequatelydescribewhatthe
subrecipientisdoing:
11.OtherInformation
a.Provideanyinformationwhichyoufeelwillbeusefultothepersonpreparingthesubaward/
subcontract,e.g.,change/nochangeinstatementofwork,unusualpublicationrequirements,unusual
intellectualpropertyrequirements,etc.
b.ForeignSubrecipientRequirements:
1.Ifissuingthesubaward/subcontracttoaforeignentity,pleaseprovidethemilestonepayment
instructions.(Example:Forasubawardtotaling$15,000fortheperiod10/1/20109/30/2011Issue
equalpaymentsof$5,000uponreceiptofinvoiceandrequiredreports,asfollows:(1)Uponfull
executionofAgreement;(2)June___,2011;and(3)September___,2011.)
2.Hasanexportreviewbeencompleted?YesLog#:____________No
12.ReportingRequirements(ifnotchecked,reportingrequirementswillbemonthly)
MonthlyQuarterlyAnnually
Other
Page 2 of 3
13.IfPrimeAwardisacontract,completeeitherSection13.Aor13.B(CompetitionorSoleSource
Justification)
a. Competition
Attachseparatesheetwhichincludesthefollowing:
i. Nameandaddressofeachpotentialsubcontractorcontacted
ii. Nameandamountproposedbyeachpotentialsubcontractorresponding
iii. Subcontractorselected
iv. Reasonforselection
b. SoleSourceJustification:Providejustificationforselectionofsubcontractorif
competitivebidswerenotsolicited.
JointProposal,or;
SoleSourceJustificationprovidedonaseparatesheet.
Bysigningbelow,IcertifythatIhavereadthefollowingstatementsandcertifythattheyareaccurate
andtruthfultothebestofmyknowledgeandbelief:
TheprojectorrelationshipwiththisSubrecipient(PIinitials)_____doesordoesnot____presenta
potentialforconflictofinterestortheappearanceofaconflictforinvestigatorssoinvolvedhave
providedacompletedisclosureofthismatter,asinstructedbycurrentUniversitypolicyand/orFederal
regulation.
The Subrecipients proposed costs have been reviewed by the Principal Investigator and are
consideredreasonablefortheSubrecipientslevelofexpertiseandthetechnicaleffortproposedby
theSubrecipient.
Fundingisavailableforthissubaward/subcontractandisanallowablecostunderthetermsoftheAward.
PrincipalInvestigator
Approved:
Signature
Date
Dean(s),Consortium/InstituteDirector,CEO
orDesignatedRepresentative
FinancialOfficeror
Date
Title
Date
DesignatedRepresentative
Issued5/1/2002,Lastrevised1/15/2013
Please return the completed form and any attachments to OSP via e-mail to PSSUB-OSP@psu.edu
Page 3 of 3
EXHIBIT 4
SUBCONTRACT CHECKLIST
Prime Agreement
PSU PI
Subcontractor
Sub PI
Type of
Subcontractor
____Educational Institution
____Hospital
____Non-Profit
____For-Profit
Type of Prime Agreement
____Contract
____Other ____________________
Type of Subcontract
____Cost Reimbursement
____Firm Fixed Price
____Cost Plus Fixed Fee

____Other_____________________
_____Basic
____Amendment No. ____
Section A:
Yes
___
___
___
___
___
___
___
___
___
N/A
___
___
___
___
___
___
___
___
___
___
___
___
___
___
___
___
___
Subcontractor Questionnaire
PI/College Request to Issue Subcontract
Statement of Work
Budget
Indirect Cost Rate Agreement
Agency Subcontract Approval
Deliverable other than reports/data (i.e., software, prototype)
Sole source justification complete
Certifications
___Included in Proposal
___Attached to Subcontract
Benefit Rate Verification
Cost Analysis (when federal funds are involved, a cost analysis must be done)
Certification of Cost or Pricing Data (required for subcontract over $650,000)
Small Business Subcontracting Plan (for subcontracts over $650,000)
Negotiation Notes (attach if necessary)
Negotiated Subcontract Value this Action __________________________________________________

___________________________________________________
Subcontract Negotiator
Log No. ____________
OSP
3/02
Updated 7/09
_____________________
Date
EXHIBIT 4A
SUBCONTRACT
COST ANALYSIS
If the item of cost is included in Subcontractors budget, please check and complete the analysis and/or verification. Attach
any worksheets.
Check if
Applicable
Items of Cost
_______
(1) Salaries and Wages: The basis for proposed labor costs or percent of effort has been identified as
stated below (e.g., historical hours, engineering estimates). Costs are in accordance with current and
reasonably projected schedules and policies of the Subcontractor. The escalation rate used is
approximately ____% and appears to be in compliance with Federal guidelines. (If not, explain.)
___________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_______
(2) Fringe Benefit Rates: The proposed rate(s) are in accordance with current and prospective
Government approved rates and are correctly applied to proper base.
_______
(3) Tuition: The proposed cost is current and in accordance with the Subcontractors policies and/or
Government approved rates. (If not, explain.)
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_______
(4) Materials and Supplies: Proposed items are expendable. Amounts proposed are based on catalog
prices or established competitive market prices sold in substantial quantities to the general public. (If not,
explain.) . __________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
______
_________
(5) Equipment: Amounts proposed are based on price quotes from competing vendors or from fully
justified sole sources. (If not, explain.)
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
(6) Travel: The Subcontractors proposed travel is necessary for proper conduct of the research effort.
The individual elements of travel are reasonable based on the following justification (Note: Foreign travel
must be coordinated with Prime Sponsor):
_________________________________________________________________________________
_________________________________________________________________________________
_______
(7) Consultant Costs: Costs show number of days, daily rate and estimated travel/per diem costs. Costs
are in compliance with Specific Federal agency maximum allowable rates. The need for consultants is
fully justified.
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_______
(8) Indirect Costs: The rate is applied to proper base: ____ Direct Salaries and Wages,
____ Total Direct Cost, ____Modified Total Direct Cost, ____Other____________________
The rate has been verified by a negotiation memorandum. If none exists, a disclosure of the contents of
the rate has been made and approved by ACO as stated below.
_______
(9) The Subcontractors cost proposal does not contain any lower-tier subcontracts for which Certified Cost
or Pricing Data are required. No lower tier subcontracts budgeted.
_______
(10) Fixed Fee: The Subrecipient is a ____ for-profit organization/____ non-profit organization. The fee
factor is ____ and is considered fair and reasonable based on the attached weighted guidelines.
Negotiations conducted with:

Institution: ____________________________________________________________________________
Name/Title: ____________________________________________________________________________
Phone No.: ____________________________________________________________________________
Concluded On: _________________________________________________________________________
OSP/SA
8/94
Revised 3/02
EXHIBIT 5
S UBCONTRACT
S UBCONTRACT NO.
THIS AGRE E ME NT, en t er ed in t o a s of en t er s t a r t d a t e, b y a n d b et ween Th e Pen n s ylva n ia S t a t e
Un iver s it y, a Cor p or a t ion or ga n ized a n d exis t in g u n d er t h e la ws of t h e Com m on wea lt h of
Pen n s ylva n ia , wit h it s p r in cip a l office a t Un iver s it y Pa r k , Pen n s ylva n ia (h er ein a ft er r efer r ed t o a s "Pen n
S t a t e") a n d en t er S u b con t r a ct or Na m e, t own a n d s t a t e (h er ein a ft er r efer r ed t o a s "S u b con t r a ct or ");
WITNE S S E TH THAT:
WHE RE AS , Pen n S t a t e h a s r eceived Pr im e (Pick On e) Coop er a t ive Agr eem en t / Con t r a ct / Gr a n t No. fr om
_____________ (h er ein a ft er r efer r ed t o a s "______") u n d er CFDA Nu m b er __________, t o p r ovid e for cer t a in
r es ea r ch wor k ; a n d
WHE RE AS , Pen n S t a t e d es ir es t o h a ve t h e S u b con t r a ct or p er for m a cer t a in p or t ion of s a id r es ea r ch

wor k ; a n d
WHE RE AS , t h e S u b con t r a ct or h a s r ep r es en t ed t h a t it h a s t h e p r es en t a b ilit y t o p er for m s a id r es ea r ch

wor k ;
NOW THE RE F ORE , t h e p a r t ies h er et o d o h er eb y m u t u a lly a gr ee a s follows :
S E CTION A
S t a n d a r d P r o v is io n s
ARTICLE I - S t a t e m e n t of Wor k
Th e wor k t o b e p er for m ed b y t h e S u b con t r a ct or r ela t es t o a p r oject en t it led ______________.
Th e wor k t o b e a ccom p lis h ed is s et for t h in t h e S u b con t r a ct or 's S t a t em en t of Wor k a p p en d ed h er et o
a s At t a ch m en t I.
ARTICLE II - Re p or t s
Th e S u b con t r a ct or s h a ll s u b m it p r ogr es s r ep or t s in a ccor d a n ce wit h t h e r ela t ive p r ovis ion s
con t a in ed in At t a ch m en t I. In t h e a b s en ce t h er eof, t h e S u b con t r a ct or s h a ll s u b m it m on t h ly t ech n ica l
p r ogr es s r ep or t s t o Pen n S t a t e's Pr oject Dir ect or , _________________.
ARTICLE III - Pe r i od of Pe r for m a n c e

Th e p er iod of p er for m a n ce u n d er t h is s u b con t r a ct s h a ll com m en ce on _______________ a n d con t in u e
t h r ou gh _________________.
ARTICLE IV Cos t
Op t ion s (you m a y cr ea t e you r own ):
(1 ) Tot a l E s t im a t ed Cos t
Th e t ot a l es t im a t ed cos t t o Pen n S t a t e for t h e p er for m a n ce of t h is s u b con t r a ct s h a ll n ot exceed
$ ________________ u n les s ch a n ged b y wr it t en a m en d m en t t o t h is s u b con t r a ct . Th e S u b con t r a ct or 's
b u d get is a p p en d ed h er et o a s At t a ch m en t II. (Th is la s t s en t en ce m a y r ea d : Th e S u b con t r a ct or s
b u d get for m s a p a r t of At t a ch m en t ___.)
(2 ) Tot a l E s t im a t ed Cos t (NIH S u b s )
$ ________________ u n les s ch a n ged b y wr it t en a m en d m en t t o t h is s u b con t r a ct . Th e S u b con t r a ct or 's
b u d get is a p p en d ed h er et o a s At t a ch m en t II. (Th is s en t en ce m a y r ea d : Th e S u b con t r a ct or s b u d get
for m s a p a r t of At t a ch m en t ___.) Th e S u b con t r a ct or s h a ll n ot ify in wr it in g Pen n S t a t es Con t r a ct in g
Office, a s r ep r es en t ed u n d er Ar t icle___, wh en u n ob liga t ed fu n d s in exces s of 2 5 p er cen t of t h e t ot a l
a m ou n t a wa r d ed will b e ca r r ied over t o t h e s u b s equ en t b u d get p er iod . Th e cu r r en t b u d get p er iod is
_________ t h r ou gh ____________.
(3 ) Tot a l E s t im a t ed Cos t (Us e for In cr em en t a l Fu n d in g)
$ __________ u n les s ch a n ged b y wr it t en a m en d m en t t o t h is s u b con t r a ct . Th e t ot a l a m ou n t p r es en t ly
a va ila b le a n d a llot t ed t o t h is s u b con t r a ct is _________ for t h e p er iod _________ t h r ou gh ____________ is
a p p en d ed a s At t a ch m en t II.
(4 ) Tot a l E s t im a t ed Cos t a n d Fixed Fee (Us e wit h CPFF S u b s )
It is h er eb y u n d er s t ood a n d a gr eed t h a t t h e t ot a l es t im a t ed a llowa b le cos t a n d fixed fee of t h is
s u b con t r a ct s h a ll n ot exceed $ ____________ a n d $ ___________, r es p ect ively, t ot a lin g $ _______________ for
t h e p er iod s t a t ed u n d er t h is S ect ion A, Ar t icle III. t h e S u b con t r a ct or s b u d get , d a t ed _______, is
a p p en d ed h er et o a s At t a ch m en t II.
(5 ) Tot a l E s t im a t ed Cos t a n d Fixed Fee (In cr em en t a l Fu n d in g)
It is h er eb y u n d er s t ood a n d a gr eed t h a t t h e t ot a l es t im a t ed a llowa b le cos t a n d fixed fee of t h is
s u b con t r a ct s h a ll n ot exceed $ ____________ for t h e p er iod u n d er t h is S ect ion A, Ar t icle III. However ,
t h e a m ou n t cu r r en t ly a va ila b le a n d a llot t ed u n d er t h is s u b con t r a ct for t h e p er iod ________ t h r ou gh
_________ is in clu d in g a p r o-r a t e p or t ion for t h e fixed fee. Th e S u b con t r a ct or s b u d get , d a t ed ________,
is a p p en d ed h er et o a s At t a ch m en t II.
(6 ) S u b con t r a ct Pr ice (Us e wit h Fixed Pr ice S u b s )
Th e wor k t o b e p er for m ed h er eu n d er s h a ll b e p er for m ed a t a fir m fixed p r ice of $ __________.
(7 ) Tot a l E s t im a t ed Cos t a n d Cos t S h a r in g

$ __________ u n les s ch a n ged b y wr it t en a m en d m en t t o t h is s u b con t r a ct . Th e S u b con t r a ct or s b u d get is
a p p en d ed h er et o a s At t a ch m en t II. Th e S u b con t r a ct or s h a ll cos t s h a r e t o t h e ext en t s et for t h in
At t a ch m en t II.
ARTICLE V - Pa ym e n t
Op t ion s (you m a y cr ea t e you r own ):
(1 ) Pa ym en t (Us e wit h Com m on wea lt h Fu n d s )
Pen n S t a t e s h a ll r eim b u r s e t h e S u b con t r a ct or n ot m or e oft en t h a n m on t h ly for a llowa b le cos t s
a ct u a lly in cu r r ed a n d ch a r gea b le t o Pen n S t a t e in a ccor d a n ce wit h t h e b u d get ca t egor ies in d ica t ed in
At t a ch m en t II u p on b ein g in voiced b y t h e S u b con t r a ct or a n d u p on a p p r ova l of t h e in voice b y Pen n
S t a t e's Pr oject Dir ect or . All in voices s h a ll b e s u b m it t ed in a for m a t s im ila r t o t h e s a m p le in voice
a p p en d ed h er et o a s At t a ch m en t III, b u t a t a m in im u m s h a ll in clu d e a p p lica b le cos t s h a r in g, cu r r en t
a n d cu m u la t ive cos t s , s u b con t r a ct n u m b er a n d cer t ifica t ion . INVOICE S WHICH DO NOT
R E F E R E NCE P E NN S TATE S S UBCONTR ACT NUMBE R S HALL BE R E TUR NE D TO THE
S UBCONTR ACTOR . In voices s h a ll b e s u b m it t ed t o:
Pick on e of t h e followin g:
(PTI)
Ms. Cathy Romig

Pen n s ylva n ia Tr a n s p or t a t ion In s t it u t e
2 0 1 Tr a n s p or t a t ion Res ea r ch Bu ild in g
Th e Pen n s ylva n ia S t a t e Un iver s it y
Un iver s it y Pa r k , PA 1 6 8 0 2
Ph on e: (8 1 4 ) 8 6 5 -2 6 0 6
E m a il: cd w2 @p s u .ed u
(Ag)
Ms . S u s a n Mor ga n
Coor d in a t or , Gr a n t s a n d Con t r a ct s
College of Agr icu lt u r a l S cien ces
2 2 9 Agr icu lt u r a l Ad m in is t r a t ion Bld g.
Ph on e: (8 1 4 ) 8 6 5 -5 4 1 9
Fa x: (8 1 4 ) 8 6 3 -6 1 5 2
E m a il: s m k 6 @p s u .ed u
(IS T)
Ca r ey S t over
College of In for m a t ion S cien ces a n d Tech n ology
3 3 4 In for m a t ion S cien ces a n d Tech n ology Bu ild in g
Ph on e: (8 1 4 ) 8 6 5 6 1 7 9
Fa x:
(8 1 4 ) 8 6 5 -7 4 8 4
E m a il: cs t over @is t .p s u .ed u
(E n g)
Ms . Va n es s a Bier ly
College of E n gin eer in g
1 0 1 Ha m m on d Bu ild in g
Ph on e: (8 1 4 ) 8 6 3 -7 6 9 0
Fa x: (8 1 4 ) 8 6 5 -6 2 1 7
E m a il: vr b 1 1 3 @p s u .ed u
(S c)
Ms . Lis a Good -Reit er

E b er ly College of S cien ce
5 1 3 J oa b L. Th om a s Bu ild in g
Ph on e: (8 1 4 ) 8 6 3 -0 3 0 2
Fa x: (8 1 4 ) 8 6 5 -3 6 3 4
E m a il: lxy2 @p s u .ed u
(S S RI) Ms . S h er r y Yocu m
Coor d in a t or , Res ea r ch & Ad m in is t r a t ive S er vices
S ocia l S cien ces Res ea r ch In s t it u t e
6 0 1 Os wa ld Tower
Ph on e: (8 1 4 ) 8 6 3 -8 2 5 8
Fa x: (8 1 4 ) 8 6 3 -8 3 4 2
E m a il: yocu m @p op .p s u .ed u
(HHD) Mr . J er om e It in ger
Dir ect or of Gr a n t s a n d Con t r a ct s
College of Hea lt h a n d Hu m a n Develop m en t
2 0 1 Hen d er s on Bu ild in g
Ph on e: (8 1 4 ) 8 6 3 -7 2 4 1
Fa x: (8 1 4 ) 8 6 3 -8 6 9 8
E m a il: CHHDRO@p s u .ed u
(E MS ) Ms . S u s a n La va n
2 4 8 B Deik e Bu ild in g
College of E a r t h a n d Min er a l S cien ces
Ph on e: (8 1 4 ) 8 6 5 -7 6 5 0
Fa x: (8 1 4 ) 8 6 5 -2 0 8 4
E m a il: s a l5 @p s u .ed u
(E DU) Ms . Ta m m y Fet t er olf
Coor d in a t or of Res ea r ch a n d
Ad m in is t r a t ive S er vices
College of E d u ca t ion
2 4 3 Ch a m b er s Bu ild in g
Ph on e: (8 1 4 ) 8 6 5 -0 9 5 6
Fa x: (8 1 4 ) 8 6 5 -8 7 3 3
E m a il: t b b 2 @p s u .ed u
(MRI/ Ms . Nik i Pa ge
PS IE E / S t r a t egic In t er d is cip lin a r y Res ea r ch Office (S IRO)
S IRO) 1 0 1 La n d a n d Wa t er Res er ve Bu ild in g
Ph on e: (8 1 4 ) 8 6 5 -3 4 2 2
Fa x: (8 1 4 ) 8 6 5 -3 3 7 8
E m a il: n lg4 @p s u .ed u
(LA)
Ms . Tr is h Alexa n d er
Coor d in a t or , Gr a n t s a n d Con t r a ct s
Lib er a l Ar t s Res ea r ch Office
1 1 8 S p a r k s Bu ild in g
Ph on e: (8 1 4 ) 8 6 5 -8 0 3 0
Fa x: (8 1 4 ) 8 6 3 -2 6 0 3
E m a il: t a lexa n d er @p s u .ed u
(Bu s )
Ms . Pa t t y Hick m a n
S m ea l College of Bu s in es s Ad m in is t r a t ion
2 1 2 Bu s in es s Bu ild in g
Ph on e: (8 1 4 ) 8 6 3 -9 4 0 6
E m a il: p a s 1 6 3 @p s u .ed u
(Ca p it a l)
Mr . J a y S p iegel
As s is t a n t Fin a n cia l Officer
Pen n S t a t e Ha r r is b u r g
1 2 0 Olm s t ed Bu ild in g
Mid d let own , PA 1 7 0 5 7
Ph on e: (7 1 7 ) 9 4 8 -6 0 1 4
E m a il: xjs 2 @p s u .ed u
(In t l. Pr gs )
Ms . Rit a Mor b et o
In t er n a t ion a l Pr ogr a m s
2 2 2 Bou ck e Bu ild in g
Ph on e: (8 1 4 ) 8 6 5 -7 6 8 1
Fa x: (8 1 4 ) 8 6 3 -1 7 3 8
E m a il: r s m 4 @p s u .ed u
(Du Bois )
Ms . Ka t h y Neu r eit er
Pen n S t a t e Du Bois
College Pla ce
Du Bois , PA 1 5 8 0 1
Ph on e: (8 1 4 ) 3 7 5 -4 7 9 2
Fa x: (8 1 4 ) 3 7 5 -4 7 8 4
E m a il: k m n 2 @p s u .ed u
(Ber k s )
Ms . J u d y Don a h u e
Pen n S t a t e Ber k s
1 2 5 Fr a n co Bu ild in g
Rea d in g, PA 1 9 6 1 0 -6 0 0 9
Ph on e: (6 1 0 ) 3 9 6 -6 2 2 4
E m a il: jld 1 @p s u .ed u
(Leh igh )
Ms . S a n d y Lit zen b er ger
Pen n S t a t e Leh igh Va lley

CE Ad m in is t r a t ion
Aca d em ic Bu ild in g
Fogels ville, PA 1 8 0 5 1
Ph on e: (6 1 0 ) 2 8 5 -5 0 5 4
E m a il: s xl3 @p s u .ed u
(Com m u n ica t ion )
(Beh r en d )
Ms . J a n e Agn elly
Fin a n cia l Officer
2 0 1 Ca r n egie Bu ild in g
Ph on e: (8 1 4 ) 8 6 3 -6 1 3 8
E m a il: jla 3 @p s u .ed u
Ms . Pa t t y La n ich
Pen n S t a t e E r ie, Th e Beh r en d College
4 7 0 1 College Dr ive, S ou t h Cot t a ge
E r ie, PA 1 6 5 6 3
Ph on e: (8 1 4 ) 8 9 8 -7 5 9 6
Fa x: (8 1 4 ) 8 9 8 -6 4 6 1
E m a il: p a l1 6 @p s u .ed u
A fin a l s t a t em en t of cos t s in cu r r ed , m a r k ed "FINAL", m u s t b e s u b m it t ed NOT LATE R THAN s ixt y

(6 0 ) d a ys a ft er s u b con t r a ct com p let ion .
All p a ym en t s s h a ll b e con s id er ed p r ovis ion a l a n d s u b ject t o a d ju s t m en t wit h in t h e t ot a l es t im a t ed
cos t es t a b lis h ed b y Ar t icle IV, S ect ion A in t h e even t s u ch a d ju s t m en t is n eces s a r y a s a r es u lt of a n
a u d it b y t h e Com m on wea lt h .
If t h e S u b con t r a ct or b ecom es a wa r e of a d u p lica t e p a ym en t or t h a t t h e Un iver s it y h a s ot h er wis e
over p a id on a n in voice p a ym en t , t h e S u b con t r a ct or s h a ll im m ed ia t ely n ot ify t h e Un iver s it y Con t r a ct
Rep r es en t a t ive in wr it in g a n d r equ es t in s t r u ct ion s for d is p os it ion of t h e over p a ym en t .
(2 ) Pa ym en t (Us e w/ Fed er a l Fu n d s )
Pen n S t a t e s h a ll r eim b u r s e t h e S u b con t r a ct or n ot m or e oft en t h a n m on t h ly for a llowa b le cos t s
a ct u a lly in cu r r ed a n d ch a r gea b le t o Pen n S t a t e in a ccor d a n ce wit h t h e b u d get ca t egor ies in d ica t ed in
At t a ch m en t II u p on b ein g in voiced b y t h e S u b con t r a ct or a n d u p on a p p r ova l of t h e in voice b y Pen n
S t a t e's Pr oject Dir ect or . All in voices s h a ll b e s u b m it t ed in a for m a t s im ila r t o t h e s a m p le in voice
a p p en d ed h er et o a s At t a ch m en t III, b u t a t a m in im u m s h a ll in clu d e a p p lica b le cos t s h a r in g, cu r r en t
a n d cu m u la t ive cos t s , s u b con t r a ct n u m b er a n d cer t ifica t ion . INVOICE S WHICH DO NOT
R E F E R E NCE P E NN S TATE S S UBCONTR ACT NUMBE R S HALL BE R E TUR NE D TO THE
S UBCONTR ACTOR . Cos t s in cu r r ed u n d er t h is s u b con t r a ct s h a ll b e in a ccor d a n ce wit h t h e con t r a ct
cos t p r in cip les a n d p r oced u r es con t a in ed in (Pick a p p r op r ia t e cos t p r in cip les ) OMB Cir cu la r A-2 1 or
OMB Cir cu la r A-1 2 2 or FAR 3 1 .2 or FAR 3 1 .3 a s in effect on t h e d a t e of t h is s u b con t r a ct . In voices
s h a ll b e s u b m it t ed t o:
In s er t P.O.C. fr om Op t ion 1 , a b ove

A fin a l s t a t em en t of cos t s in cu r r ed , m a r k ed "FINAL", m u s t b e s u b m it t ed t o t h e Ma n a ger of Res ea r ch
Accou n t in g NOT LATE R THAN s ixt y (6 0 ) d a ys a ft er s u b con t r a ct com p let ion .

a u d it b y t h e Gover n m en t .
If t h e S u b con t r a ct or b ecom es a wa r e of a d u p lica t e p a ym en t or t h a t t h e Un iver s it y h a s ot h er wis e
over p a id on a n in voice p a ym en t , t h e S u b con t r a ct or s h a ll im m ed ia t ely n ot ify t h e Un iver s it y Con t r a ct
Rep r es en t a t ive in wr it in g a n d r equ es t in s t r u ct ion s for d is p os it ion of t h e over p a ym en t .
(3 ) Ad va n ce Pa ym en t (Us e w/ Fed er a l Fu n d s )
Up on execu t ion of t h is s u b con t r a ct a n d n ot m or e oft en t h a n on ce ea ch qu a r t er (qu a r t er ly p a ym en t s
m a y va r y) t h e S u b con t r a ct or s h a ll s u b m it a r equ es t for a d va n ce p a ym en t . ALL R E QUE S TS F OR
ADVANCE P AYME NT S HALL R E F E R E NCE P E NN S TATE S S UBCONTR ACT NUMBE R . R E QUE S TS
WHICH DO NOT R E F E R E NCE P E NN S TATE S S UBCONTR ACT NUMBE R S HALL BE R E TUR NE D TO
THE S UBCONTR ACTOR . Th e r equ es t for a d va n ce p a ym en t s h a ll b e s u b m it t ed t o:
In s er t P.O.C. fr om Op t ion 1 , a b ove
In a d d it ion t o t h e r equ es t for a d va n ce p a ym en t , t h e S u b con t r a ct or s h a ll s u b m it a s t a t em en t of cos t s
in cu r r ed on a qu a r t er ly a n d cu m u la t ive b a s is . All p a ym en t s b y Pen n S t a t e a r e s u b ject t o a p p r ova l b y
Pen n S t a t es Pr oject Dir ect or , Dr . ____________.
a u d it b y t h e (In s er t S p on s or ) ____________.
OR
Th e S u b con t r a ct or s h a ll b e r eim b u r s ed for t h e cos t s in cu r r ed b y h im in p er for m in g s er vices h er eu n d er
in a ccor d a n ce wit h t h e a p p lica b le p r ovis ion s of t h e Gen er a l Pr ovis ion s , s u b ject t o t h e followin g
lim it a t ion s m a d e in r es p ect t h er et o:
A. Tot a l d olla r fu n d s a va ila b le for p a ym en t a n d a llot t ed t o t h is s u b con t r a ct for p er iod _________
t h r ou gh ______. S ee t h e cla u s e of t h e Gen er a l Pr ovis ion s en t it led S u b con t r a ct or s b u d get
a p p en d ed h er et o a s At t a ch m en t _____.
$ _____________
B. E s t im a t ed a d d it ion a l fu n d s wh ich m a y b e p r ovid ed , if fu n d s a r e a va ila b le. S ee t h e cla u s e of
Gen er a l Pr ovis ion s en t it led Lim it a t ion of Fu n d s a n d t h e S u b con t r a ct or s b u d get a p p en d ed
h er et o a s At t a ch m en t ____.
$ _____________
Tot a l E s t im a t ed Cos t s
$ _____________
ARTICLE VI - In d e p e n d e n t Con t r a c t or
S u b con t r a ct or , a ct in g a s a n in d ep en d en t con t r a ct or a n d n ot a s a n a gen t of Pen n S t a t e, is willin g t o
p er for m s a id wor k u p on t h e t er m s h er ein a ft er p r ovid ed . Pen n S t a t e s h a ll n ot m a in t a in , a n d s h a ll n ot
b e r equ ir ed t o m a in t a in , a n y d ir ect con t r ol over t h e m ea n s or m a n n er b y wh ich t h e S u b con t r a ct or
p er for m s t h e ob liga t ion s con t a in ed in t h e S t a t em en t of Wor k or a n y r evis ion s t h er eof.
ARTICLE VII - Re c or d Re t e n t i on
All p er t in en t r ecor d s a n d b ook s of a ccou n t s r ela t ed t o t h is s u b con t r a ct s h a ll b e r et a in ed for a p er iod
of t h r ee (3 ) yea r s a ft er t h e con clu s ion of t h e s u b con t r a ct . Recor d s r ela t in g t o a n y lit iga t ion or cla im
a r is in g ou t of t h e p er for m a n ce of t h is a gr eem en t , or cos t s a n d exp en s es of t h is a gr eem en t t o wh ich
excep t ion h a s b een t a k en a s a r es u lt of a u d it a n d / or in s p ect ion , s h a ll b e r et a in ed b y t h e

S u b con t r a ct or u n t il s u ch lit iga t ion , cla im or excep t ion h a s b een r es olved .
ARTICLE VIII - Ri g h t s i n Da t a a n d Ma t e r i a l s (Us e wh en p r im e s p on s or is t h e Fed er a l Govt .)

(Us e of t h is cla u s e m u s t b e con s is t en t wit h p r im e a gr eem en t p r ovis ion s )
Th e S u b con t r a ct or h old s a ll r igh t s , t it le a n d in t er es t in t h e d a t a a n d wor k s it cr ea t es in t h e
p er for m a n ce of t h is Agr eem en t . S u b con t r a ct or h er eb y gr a n t s t o Pen n S t a t e a n ir r evoca b le, wor ld -wid e,
r oya lt y-fr ee, n on -exclu s ive licen s e t o a ll d a t a collect ed a n d cop yr igh t ed m a t er ia l, in clu d in g com p u t er
p r ogr a m s , d eliver ed or d evelop ed u n d er t h is Agr eem en t , for t h e p u r p os e of ed u ca t ion a n d r es ea r ch or
t o t h e ext en t r equ ir ed t o m eet Pen n S t a t es ob liga t ion s u n d er t h e Pr im e Agr eem en t . S u b con t r a ct or
h er eb y gr a n t s t o t h e Gover n m en t a n ir r evoca b le, wor ld -wid e, r oya lt y-fr ee, n on -exclu s ive licen s e t o
r ep r od u ce, t r a n s la t e, p u b lis h , u s e a n d d is p os e of, a n d t o a u t h or ize ot h er s t o d o s o, a ll d a t a collect ed ,
cop yr igh t ed m a t er ia ls a n d com p u t er s oft wa r e d evelop ed u n d er t h is a gr eem en t for Fed er a l p u r p os es
on ly. As u s ed in t h is cla u s e, d a t a collect ed m ea n s t h e or igin a l r ecor d s of s cien t ific a n d t ech n ica l d a t a
collect ed d u r in g t h e p er for m a n ce of t h e wor k b y t h e Pr in cip a l In ves t iga t or or ot h er p er s on s wor k in g on
t h e p r oject . Da t a collect ed in clu d es , b u t is n ot lim it ed t o, n ot eb ook s , d r a win gs , lis t s , s p ecifica t ion s ,
a n d com p u t a t ion s .
ARTICLE IX - Au d i t s a n d Au d i t Re p or t s (for u s e wit h a ll d om es t ic u n iver s it ies a n d n on -p r ofit s )

S u b con t r a ct or a ck n owled ges it is s u b ject t o OMB Cir cu la r A-1 3 3 (Au d it s of S t a t es , Loca l
Gover n m en t s , a n d Non -Pr ofit Or ga n iza t ion s ) if it exp en d s $ 5 0 0 ,0 0 0 or m or e in fed er a l a wa r d s d u r in g
it s fis ca l yea r , a n d cer t ifies it is in com p lia n ce wit h t h e a u d it r equ ir em en t s of t h e Cir cu la r .
S u b con t r a ct or a gr ees t o h a ve a s in gle a u d it m a d e in a ccor d a n ce wit h Cir cu la r A-1 3 3 if it exp en d s
$ 5 0 0 ,0 0 0 or m or e in fed er a l a wa r d s d u r in g it s fis ca l yea r , excep t if it elect s t o h a ve a p r ogr a m -s p ecific
a u d it con d u ct ed . S u b con t r a ct or m a y elect t o h a ve a p r ogr a m -s p ecific a u d it con d u ct ed if it exp en d s
fed er a l a wa r d s on ly u n d er on e fed er a l p r ogr a m a n d t h e p r ogr a m s la ws , r egu la t ion s , or gr a n t
a gr eem en t s d o n ot r equ ir e a fin a n cia l s t a t em en t a u d it .
S u b con t r a ct or a gr ees t o s u b m it wr it t en n ot ifica t ion t o Pen n S t a t e p r om p t ly followin g com p let ion of
t h e a u d it . Th e wr it t en n ot ifica t ion m u s t con fir m t h a t a n a u d it of t h e S u b con t r a ct or wa s con d u ct ed in
a ccor d a n ce wit h Cir cu la r A-1 3 3 (in clu d in g t h e p er iod cover ed b y t h e a u d it a n d t h e n a m e, a m ou n t , a n d
CFDA n u m b er of t h e Fed er a l a wa r d (s ) p r ovid ed b y Pen n S t a t e); t h e s ch ed u le of fin d in gs a n d qu es t ion ed
cos t s d is clos ed n o a u d it fin d in gs r ela t ive t o t h e Fed er a l a wa r d (s ) t h a t Pen n S t a t e p r ovid ed ; a n d , t h e
s u m m a r y s ch ed u le of p r ior a u d it fin d in gs d id n ot r ep or t on t h e s t a t u s of a n y a u d it fin d in gs r ela t in g t o
t h e Fed er a l a wa r d (s ) t h a t Pen n S t a t e p r ovid ed .
S u b con t r a ct or a gr ees it will s u b m it on e cop y of t h e r ep or t in g p a ck a ge d es cr ib ed in Cir cu la r A-1 3 3 t o
Pen n S t a t e wh en t h e s ch ed u le of a u d it fin d in gs a n d qu es t ion ed cos t s d is clos es fin d in gs , or t h e
s u m m a r y s ch ed u le of p r ior a u d it fin d in gs r ep or t s fin d in gs r ela t ed t o Pen n S t a t e. S u b con t r a ct or will
in for m Pen n S t a t e of t h e cor r ect ive a ct ion t h a t h a s b een or will b e t a k en for a u d it fin d in gs r ela t ed t o
Pen n S t a t e. In a d d it ion , S u b con t r a ct or will im m ed ia t ely in for m Pen n S t a t e of m a t er ia l op er a t ion s
wea k n es s es d is clos ed in a u d it s p er for m ed a ft er execu t ion of t h is s u b con t r a ct .
S u b con t r a ct or u n d er s t a n d s t h a t if, in t h e op in ion of Pen n S t a t e a n d / or Gover n m en t , it fa ils t o
com p ly wit h t h e a u d it r equ ir em en t s , a p p r op r ia t e s a n ct ion s m a y b e im p os ed , in clu d in g, b u t n ot lim it ed
t o, t h os e in Cir cu la r A-1 3 3 , S ect ion .2 2 5 . S u b con t r a ct or cer t ifies t h a t a n y p en a lt ies or exp en d it u r e
d is a llowa n ces im p os ed on Pen n S t a t e r es u lt in g fr om in s t a n ces of n on -com p lia n ce wit h fed er a l la ws
a n d r egu la t ion s will b e r eim b u r s ed b y S u b con t r a ct or .
S u b con t r a ct or a gr ees t o s u b m it wr it t en n ot ifica t ion a n d t h e r ep or t in g p a ck a ge (if a p p r op r ia t e) t o :
Mich elle Ku h n , S u b con t r a ct in g Coor d in a t or

Office of S p on s or ed Pr ogr a m s
1 1 0 Tech n ology Cen t er Bu ild in g
Un iver s it y Pa r k , PA 1 6 8 0 2 -7 0 0 0
S u b con t r a ct or a ck n owled ges if it exp en d s les s t h a n $ 5 0 0 ,0 0 0 a yea r in fed er a l a wa r d s , it is exem p t
fr om t h e a u d it r equ ir em en t s of Cir cu la r A-1 3 3 for t h a t yea r . However , r ecor d s m u s t b e a va ila b le for
r eview or a u d it a s r equ es t ed b y t h e a u t h or ized officia l of t h e fed er a l a gen cy, Pen n S t a t e, a n d Gen er a l
Accou n t in g Officer (GAO). In a d d it ion , S u b con t r a ct or a ck n owled ges t h a t Cir cu la r A-1 3 3 n eit h er lim it s
n or con s t r a in s t h e a u t h or it y of fed er a l a gen cies , In s p ect or s Gen er a l, or GAO t o con d u ct or a r r a n ge for
a d d it ion a l a u d it s .
ARTICLE X - Re p or t s Di s t r i bu t i on
Du r in g t h e p er for m a n ce of t h is s u b con t r a ct , a s m a y b e ext en d ed fr om t im e t o t im e, t h e
S u b con t r a ct or s h a ll b e r es p on s ib le for s u b m it t in g r ep or t s in a ccor d a n ce wit h Ar t icle II a n d a n y ot h er
a r t icle of t h is s u b con t r a ct r equ ir in g r ep or t s t o t h e in d ivid u a ls id en t ified in t h e "Ad d r es s es for Rep or t s
Dis t r ib u t ion " a p p en d ed h er et o a s At t a ch m en t IV.
ARTICLE XI - Pu bl i c i t y
No p u b licit y m a t t er h a vin g or con t a in in g a n y r efer en ce t o Pen n S t a t e, or in wh ich t h e n a m e of Pen n
S t a t e is m en t ion ed , s h a ll b e m a d e u s e of b y t h e S u b con t r a ct or u n t il wr it t en a p p r ova l h a s fir s t b een
ob t a in ed fr om Pen n S t a t e.
ARTICLE XII - Te r m i n a t i on
A. Th is s u b con t r a ct m a y b e t er m in a t ed b y eit h er p a r t y h er et o b y givin g wr it t en n ot ice t o t h e ot h er
p a r t y t h ir t y (3 0 ) d a ys in a d va n ce of a s p ecified d a t e of t er m in a t ion , or in a ccor d a n ce wit h t h e p r im e
a gr eem en t . In t h e even t of a con flict , t h e t er m s of t h e p r im e a gr eem en t s h a ll gover n .
B. Up on r eceip t of s u ch n ot ice fr om Pen n S t a t e, t h e S u b con t r a ct or s h a ll t a k e a ll n eces s a r y a ct ion t o
ca n cel ou t s t a n d in g p u r ch a s e or d er s a n d ot h er com m it m en t s r ela t in g t o t h e wor k u n d er t h is
a gr eem en t , a n d s h a ll exer cis e r ea s on a b le d iligen ce t o ca n cel or r ed ir ect com m it m en t s for p er s on a l
s er vices t o it s ot h er a ct ivit ies a n d op er a t ion s .
C. Pen n S t a t e s h a ll r em a in lia b le for a ll cos t s in cu r r ed u n d er t h is s u b con t r a ct , in clu d in g a n y of t h e
a b ove m en t ion ed com m it m en t s en t er ed in t o b y t h e S u b con t r a ct or in good fa it h p r ior t o t h e r eceip t of
t h e t er m in a t ion n ot ice. Up on p a ym en t of s u ch cos t s , Pen n S t a t e s h a ll b e en t it led t o, a n d t h e
S u b con t r a ct or a gr ees t o d eliver , t h e in for m a t ion a n d it em s wh ich , if t h e s u b con t r a ct h a d b een
com p let ed , wou ld h a ve b een r equ ir ed t o b e fu r n is h ed t o Pen n S t a t e, s u ch in for m a t ion a n d it em s t o
in clu d e, b u t n ot b e lim it ed t o, p a r t ia lly com p let ed p la n s , d r a win gs , d a t a , d ocu m en t s , s u r veys , m a p s ,
r ep or t s a n d m od els .
D. In t h e even t t h a t S u b con t r a ct or s h a ll com m it a n y b r ea ch of or d efa u lt in a n y of t h e t er m s or
con d it ion s of t h is s u b con t r a ct , a n d a ls o s h a ll fa il t o r em ed y s u ch d efa u lt or b r ea ch wit h in n in et y (9 0 )
d a ys a ft er r eceip t of wr it t en n ot ice t h er eof fr om Pen n S t a t e, Pen n S t a t e m a y, a t it s op t ion a n d in
a d d it ion t o a n y ot h er r em ed ies wh ich it m a y h a ve a t la w or in equ it y, t er m in a t e t h is s u b con t r a ct b y
s en d in g n ot ice of t er m in a t ion in wr it in g t o t h e S u b con t r a ct or t o s u ch effect , a n d s u ch t er m in a t ion
s h a ll b e effect ive a s of t h e d a t e of t h e r eceip t of s u ch n ot ice.
ARTICLE XIII - Ci vi l Ri g h t s a n d Non d i s c r i m i n a t i on

S u b con t r a ct or cer t ifies t h a t it h a s a n a ct ive p r ogr a m for com p lia n ce wit h a ll a p p lica b le s t a t e a n d
fed er a l r egu la t ion s , execu t ive or d er s a n d legis la t ion con cer n in g n on -d is cr im in a t ion , equ a l op p or t u n it y,
or a ffir m a t ive a ct ion , a n d t h a t , wh er ever r equ ir ed , va lid a s s u r a n ces of com p lia n ce a r e on file wit h t h e
cogn iza n t en for cem en t a gen cy. In t h e even t of a d et er m in a t ion of n on -com p lia n ce, t h is s u b con t r a ct
m a y b e t er m in a t ed in wh ole or in p a r t a n d S u b con t r a ct or m a y b e d ecla r ed in eligib le for fu r t h er
s u b con t r a ct s wit h Pen n S t a t e. Wh er ever a p p lica b le, t h e a b ove s t a t em en t of cer t ifica t ion in clu d es , b u t
is n ot n eces s a r ily lim it ed t o, t h e followin g s p ecific a ct s :
Tit le VI of t h e Civil Righ t s Act of 1 9 6 4

E xecu t ive Or d er 1 1 2 4 6 , Pa r t II, S u b -p a r t B, S ect ion 2 0 2 , p a r a gr a p h s 1 -6 . S u b con t r a ct or fu r t h er
a gr ees t o in clu d e t h e t ext of S ect ion 2 0 2 in a n y s u b con t r a ct en t er ed in t o p u r s u a n t t o t h is
s u b con t r a ct .
Tit le VII of t h e Civil Righ t s Act of 1 9 6 4 a s a m en d ed b y t h e E E O Act of 1 9 7 2 .
S ect ion 5 0 4 of t h e Reh a b ilit a t ion Act of 1 9 7 3
Th e Age Dis cr im in a t ion Act of 1 9 7 5 , a s a m en d ed
Affir m a t ive Act ion Ob liga t ion s of Con t r a ct or s a n d S u b con t r a ct or s for Dis a b led Vet er a n s a n d
Vet er a n s of t h e Viet n a m E r a , S u b -p a r t A, Pa r a gr a p h 6 0 -2 5 0 .5 . S u b con t r a ct or fu r t h er a gr ees t o
in cor p or a t e t h is s ect ion b y r efer en ce in t o a n y s u b con t r a ct of $ 1 0 ,0 0 0 or m or e en t er ed in t o
p u r s u a n t t o t h is s u b con t r a ct .
Tit le IX of t h e High er E d u ca t ion Act of 1 9 7 2
ARTICLE XIV - In d e m n i fi c a t i on
S u b con t r a ct or s h a ll h old Pen n S t a t e h a r m les s fr om a n d s h a ll in d em n ify Pen n S t a t e for a n y a n d a ll
cla im s , d em a n d s , a n d a ct ion s b a s ed u p on or a r is in g ou t of a n y s er vices p er for m ed b y t h e
S u b con t r a ct or or it s em p loyees or a gen t s u n d er t h is s u b con t r a ct , a n d s h a ll d efen d a n y a n d a ll cla im s
or d em a n d s . Th e S u b con t r a ct or fu r t h er a gr ees t h a t t h e S u b con t r a ct or 's s t a n d a r d lia b ilit y in s u r a n ce
p olicies p r ot ect , or s h a ll b e en d or s ed t o p r ot ect , Pen n S t a t e fr om cla im s of b od ily in ju r y a n d of p r op er t y
d a m a ge a r is in g ou t of a n y s er vices p er for m ed b y t h e S u b con t r a ct or or it s em p loyees or a gen t s u n d er
t h is s u b con t r a ct .
ARTICLE XV S c i e n t i fi c Mi s c on d u c t (F o r u s e wit h NIH s u b c o n t r a c t s )

Th e S u b con t r a ct or a gr ees wit h t h e a s s u r a n ces con t a in ed in At t a ch m en t _____ a n d a gr ees t o b e
b ou n d b y t h es e a s s u r a n ces .
Th e t er m s "Mis con d u ct ," "Mis con d u ct in S cien ce," or "S cien t ific Mis con d u ct ," m ea n s , t h e
fa b r ica t ion , fa ls ifica t ion , p la gia r is m , or ot h er p r a ct ices t h a t s er iou s ly d evia t e fr om t h os e t h a t a r e
com m on ly a ccep t ed wit h in t h e s cien t ific com m u n it y for p r op os in g, con d u ct in g, or r ep or t in g r es ea r ch .
It d oes n ot in clu d e h on es t er r or or h on es t d iffer en ces in in t er p r et a t ion s or ju d gm en t s of d a t a . (4 2 CFR
Pa r t 5 0 , S u b p a r t A)
ARTICLE XVI - Gove r n i n g La w s

Th is s u b con t r a ct s h a ll b e gover n ed b y a n d con s t r u ed in a ccor d a n ce wit h t h e la ws of t h e
Com m on wea lt h of Pen n s ylva n ia .
(Us e Dis p u t es . Us e Ar b it r a t ion a s a lt er n a t ive)
ARTICLE XVII Di s p u t e s
An y a n d a ll cla im s , d is p u t es or con t r over s ies a r is in g u n d er , ou t of, or in con n ect ion wit h t h is

Agr eem en t , wh ich t h e p a r t ies s h a ll b e u n a b le t o r es olve wit h in s ixt y (6 0 ) d a ys , s h a ll b e m ed ia t ed in
good fa it h . Th e p a r t y r a is in g s u ch d is p u t e s h a ll p r om p t ly a d vis e t h e ot h er p a r t y of s u ch cla im , d is p u t e
or con t r over s y in a wr it in g wh ich d es cr ib es in r ea s on a b le d et a il t h e n a t u r e of s u ch d is p u t e. By n ot
la t er t h a n five (5 ) b u s in es s d a ys a ft er t h e r ecip ien t h a s r eceived s u ch n ot ice of d is p u t e, ea ch p a r t y
s h a ll h a ve s elect ed for it s elf a r ep r es en t a t ive wh o s h a ll h a ve t h e a u t h or it y t o b in d s u ch p a r t y, a n d s h a ll
a d d it ion a lly h a ve a d vis ed t h e ot h er p a r t y in wr it in g of t h e n a m e a n d t it le of s u ch r ep r es en t a t ive. By
n ot la t er t h a n t en (1 0 ) b u s in es s d a ys a ft er t h e d a t e of s u ch n ot ice of d is p u t e, t h e p a r t y a ga in s t wh om
t h e d is p u t e s h a ll b e r a is ed s h a ll s elect a m ed ia t ion fir m in Pen n s ylva n ia a n d s u ch r ep r es en t a t ives s h a ll
s ch ed u le a d a t e wit h s u ch fir m for a m ed ia t ion h ea r in g n ot t o exceed on e (1 ) d a y in len gt h , a n d les s
wh er e a p p lica b le. Th e p a r t ies s h a ll en t er in t o good fa it h m ed ia t ion a n d s h a ll s h a r e t h e cos t s equ a lly.
If t h e r ep r es en t a t ives of t h e p a r t ies h a ve n ot b een a b le t o r es olve t h e d is p u t e wit h in fift een (1 5 )
b u s in es s d a ys a ft er s u ch m ed ia t ion h ea r in g, t h e p a r t ies s h a ll h a ve t h e r igh t t o p u r s u e a n y ot h er
r em ed ies lega lly a va ila b le t o r es olve s u ch d is p u t e in eit h er t h e Cou r t s of t h e Com m on Plea s of Cen t r e
Cou n t y of Pen n s ylva n ia or in t h e Un it ed S t a t es Dis t r ict Cou r t for t h e Mid d le Dis t r ict of Pen n s ylva n ia ,
t o wh os e ju r is d ict ion for s u ch p u r p os es Pen n S t a t e a n d S u b con t r a ct or ea ch h er eb y ir r evoca b ly
con s en t s a n d s u b m it s .
Not wit h s t a n d in g t h e for egoin g, n ot h in g in t h is cla u s e s h a ll b e con s t r u ed t o wa ive a n y r igh t s or
t im ely p er for m a n ce of a n y ob liga t ion s exis t in g u n d er t h is Res ea r ch Agr eem en t .
OR
Ar bi t r a t i on
A. Bin d in g Ar b it r a t io n . All con t r over s ies a n d / or d is p u t es a r is in g ou t of t h is s u b con t r a ct s h a ll b e

d ecid ed b y a p a n el of t h r ee (3 ) a r b it r a t or s . Wr it t en n ot ice of a n y d is p u t e s h a ll b e given b y t h e
a ggr ieved p a r t y, clea r ly s p ecifyin g t h e n a t u r e of t h e d is p u t e a n d t h e r elief r equ es t ed , in clu d in g t h e
p a r a gr a p h of t h is s u b con t r a ct in qu es t ion , if a n y. If t h e d is p u t e ca n n ot b e a m ica b ly r es olved
(evid en ced b y wr it in g s ign ed b y b ot h p a r t ies ) wit h in t h ir t y (3 0 ) d a ys of s u ch n ot ice, eit h er p a r t y m a y
s er ve t h e ot h er wit h a wr it t en d em a n d for a r b it r a t ion p u r s u a n t t o t h is Ar t icle.
B. P r o c e d u r e . Wit h in fift een (1 5 ) d a ys of a d em a n d for a r b it r a t ion p u r s u a n t t o Pa r a gr a p h A, t h e
p a r t ies s h a ll ea ch s elect on e a r b it r a t or of t h eir ch oice, a n d t h e t wo a r b it r a t or s s o s elect ed s h a ll ch oos e
t h e t h ir d a r b it r a t or , wh o s h a ll s er ve a s t h e ch a ir p er s on of t h e p a n el. E a ch p a r t y s h a ll b e r es p on s ib le
for t h e com p en s a t ion of t h e a r b it r a t or of t h eir ch oice, a n d t h e cos t of t h e t h ir d a r b it r a t or s h a ll b e
equ a lly s h a r ed b y t h e p a r t ies . All p r e-h ea r in g, h ea r in g, a n d p os t -h ea r in g p r oced u r es , in clu d in g t h os e
for Dis clos u r e a n d Ch a llen ge, s h a ll b e gover n ed b y t h e Com m er cia l Ar b it r a t ion Ru les of t h e Am er ica n
Ar b it r a t ion As s ocia t ion t h en in effect , excep t a s m od ified in t h is s u b con t r a ct . Un les s ot h er wis e a gr eed
in wr it in g b y t h e p a r t ies , t h e s it es of t h e a r b it r a t ion p r oceed in gs p u r s u a n t t o t h is Ar t icle s h a ll b e
d et er m in ed b y t h e a r b it r a t or s , s a id d ecis ion t o b e b a s ed u p on t h e con ven ien ce of t h e s it es t o a ll
p a r t ies , a n d t o b e m a d e wit h in t en (1 0 ) d a ys of fin a l em p a n elm en t t h er eof. Th e a r b it r a t or s s h a ll b e
b ou n d t o m a k e s p ecific fin d in gs of fa ct a n d r ea ch con clu s ion s of la w, b a s ed u p on t h e s u b m is s ion s a n d
evid en ce of t h e p a r t ies , a n d s h a ll is s u e a wr it t en d ecis ion exp la in in g t h e b a s is for t h e d ecis ion a n d
a wa r d .
C. Co u r t Ac t io n s . Du r in g t h e p en d en cy of a n y p r oceed in g u n d er S ect ion A or B, a b ove, n eit h er p a r t y
will com m en ce a n y lit iga t ion r ela t in g t o a n y d is p u t e u n d er t h is s u b con t r a ct a n d a n y lit iga t ion
com m en ced p r ior t o com m en cem en t of a n y p r oceed in g u n d er S ect ion A or B, a b ove, s h a ll b e s t a yed
p en d in g t h e ou t com e t h er eof. Th e p a r t ies a gr ee t o fu lly a b id e b y t h e t er m s of a n y a r b it r a t ion a wa r d
h er eu n d er a s fin a l a n d b in d in g. J u d gm en t u p on a n y a wa r d m a y b e en t er ed a n d en for ced b y eit h er
p a r t y in a n y cou r t of com p et en t ju r is d ict ion .
D. Co n t in u e d P e r fo r m a n c e . Du r in g t h e p en d en cy of a n y p r oceed in g u n d er S ect ion A or B, a b ove, t h e
S u b con t r a ct or fu r t h er a gr ees t o d iligen t ly p r oceed wit h t h e p er for m a n ce of t h is s u b con t r a ct .
ARTICLE XVIII - As s i g n m e n t a n d S u bc on t r a c t i n g
S u b con t r a ct or s h a ll n ot a s s ign , t r a n s fer or s u b con t r a ct it s in t er es t or ob liga t ion s h er eu n d er wit h ou t
t h e wr it t en con s en t of Pen n S t a t e.
ARTICLE XIX - S u p e r s e d u r e
Th is s u b con t r a ct s u p er s ed es a n d r ep la ces a n y p r eviou s a r r a n gem en t s , or a l or wr it t en , b et ween t h e
p a r t ies h er et o p er t a in in g t o t h is s u b con t r a ct .
ARTICLE XX - Ch a n g e s
Th e con d it ion s of t h is s u b con t r a ct m a y b e ch a n ged a t a n y t im e b y m u t u a l a gr eem en t . S a id ch a n ges
s h a ll b e in t h e for m of a d u ly execu t ed a m en d m en t t o t h is s u b con t r a ct .
ARTICLE XXI - Re vi e w of Hu m a n S u bje c t s i n Re s e a r c h Pr oje c t s (Us e on ly for NIH Pr im e Awa r d s )

Th e S u b con t r a ct or a s s u r es t h a t a d equ a t e s a fegu a r d s s h a ll b e t a k en wh en ever u s in g h u m a n
s u b ject s in r es ea r ch p r oject s a n d a n in s t it u t ion a l r eview com m it t ee com p os ed of s u fficien t m em b er s
wit h va r yin g b a ck gr ou n d s t o a s s u r e com p let e a n d a d equ a t e r eview of p r oject s in volvin g t h e u s e of
h u m a n s u b ject s h a s r eviewed a n d a p p r oved t h e p r oject s . Th e S u b con t r a ct or will a b id e b y a ll
a p p lica b le p r ovis ion s of t h e U.S . Dep a r t m en t of Hea lt h a n d Hu m a n S er vices r ega r d in g t h e u s e of
h u m a n s u b ject s . In t h e even t h u m a n s u b ject s a r e r equ ir ed u n d er t h is s u b con t r a ct a n d / or
s u b s equ en t a m en d m en t s , t h e S u b con t r a ct or s h a ll for wa r d t o Pen n S t a t es Con t r a ct in g Office it s m os t
r ecen t in s t it u t ion a l r eview com m it t ee wr it t en a p p r ova l. If t h is Agr eem en t is fu n d ed b y t h e Na t ion a l
In s t it u t es of Hea lt h (NIH), t h e S u b con t r a ct or a s s u r es , b y s ign in g t h is Agr eem en t , t h a t a ll
S u b con t r a ct or s p er s on n el wh o a r e r es p on s ib le for t h e d es ign a n d con d u ct of p r oject s in volvin g h u m a n
r es ea r ch p a r t icip a n t s h a ve s u cces s fu lly com p let ed t h eir in s t it u t ion a l t r a in in g in a ccor d a n ce wit h t h e
NIH Gu id e, Not ice OD-0 0 -0 3 9 .
ARTICLE XXII - Re vi e w of An i m a l We l fa r e i n Re s e a r c h Pr oje c t s

Th e r es p on s ib ilit y for t h e h u m a n e ca r e a n d t r ea t m en t of la b or a t or y a n im a ls u s ed in a n y r es ea r ch
p r oject s u p p or t ed u n d er t h is s u b con t r a ct r es t s wit h t h e S u b con t r a ct or . Th e S u b con t r a ct or s h a ll
com p ly wit h t h e An im a l Welfa r e Act (Pu b . L. No. 8 9 -5 4 4 , 1 9 9 6 , a s a m en d ed , Pu b . L. No. 9 1 -5 7 9 , Pu b .
L. No. 9 4 -2 7 9 , a n d Pu b . l. No. 9 9 -1 9 8 , 7 U.S .C. 2 1 3 1 et s eq.) a n d t h e r egu la t ion s p r om u lga t ed
t h er eu n d er b y t h e S ecr et a r y of Agr icu lt u r e in 9 CFR Pa r t s 1 , 2 , 3 a n d 4 . Th e S u b con t r a ct or h er eb y
cer t ifies t h a t t h e p r oject is in com p lia n ce wit h t h e An im a l Welfa r e Act of 1 9 6 6 a n d 9 CFR S u b ch a p t er A
(La b or a t or y An im a ls ), a s a m en d ed ; a n d is r eviewed a n d a p p r oved b y t h e In s t it u t ion a l An im a l Ca r e a n d
Us e Com m it t ee. In t h e even t a n im a l s u b ject s a r e r equ ir ed u n d er t h is s u b con t r a ct a n d / or s u b s equ en t
a m en d m en t s , t h e S u b con t r a ct or s h a ll for wa r d t o Pen n S t a t es Con t r a ct in g Office it s m os t r ecen t
in s t it u t ion a l r eview com m it t ee wr it t en a p p r ova l.
ARTICLE XXIII - Pe n n S t a t e Re p r e s e n t a t i on
Ma t t er s con cer n in g com p lia n ce r ela t ive t o p er for m a n ce of t h is s u b con t r a ct s h ou ld b e d ir ect ed t o
Pen n S t a t e's Pr oject Dir ect or a t t h e followin g a d d r es s :
Dr . ____________________
Pr oject Dir ect or
__________________________
Telep h on e: (8 1 4 ) _____________
Fa x: (8 1 4 ) __________________
E m a il: _____________________
Ma t t er s con cer n in g t h e d ir ect ion or n egot ia t ion of a n y ch a n ges in t h e t er m s , con d it ion s or a m ou n t s
cit ed in t h is s u b con t r a ct s h ou ld b e d ir ect ed t o Pen n S t a t e's Con t r a ct in g Office, or h is d u ly a u t h or ized
r ep r es en t a t ive, a t t h e followin g a d d r es s :
Mr . Da vid Rich a r d s on , As s ocia t e Vice Pr es id en t for Res ea r ch a n d Dir ect or of S p on s or ed
Pr ogr a m s
As r ep r es en t ed b y:
(You r Na m e) ___________________
Negot ia t or
Telep h on e: (8 1 4 ) 8 6 ________
Fa x: (8 1 4 ) 8 6 __________
E -m a il: ___________________
ARTICLE XXIV - Cl os e ou t Re q u i r e m e n t s
Th e followin g it em s , a p p en d ed h er et o a s At t a ch m en t ___, a r e r equ ir ed for S u b con t r a ct Clos eou t a n d
s h a ll b e s u b m it t ed a lon g wit h a Fin a l Tech n ica l Rep or t , if a p p lica b le, a n d a Fin a l S t a t em en t of Cos t s
In cu r r ed or fin a l in voice it em izin g cu m u la t ive cos t s t o t h e in d ivid u a ls id en t ified in At t a ch m en t ____ n ot
la t er t h a n s ixt y (6 0 ) d a ys a ft er s u b con t r a ct en d in g d a t e:
S u b con t r a ct or 's Relea s e

S u b con t r a ct or 's As s ign m en t of Refu n d s , Reb a t es , Cr ed it s a n d Ot h er Am ou n t s
In ven t or y of Pr op er t y
(Pick On e)Rep or t of In ven t ion s a n d S u b con t r a ct s or Fin a l NAS A Gr a n t ee
S u b con t r a ct or New Tech n ology S u m m a r y Rep or t
A-1 3 3 Cer t ifica t ion
Pa ym en t of Fin a l In voice s h a ll b e wit h h eld p en d in g r eceip t a n d a ccep t a n ce of a ll Clos eou t

Docu m en t s .
ARTICLE XXV - Con fl i c t of In t e r e s t (For U. S . Gover n m en t p r im e a gr eem en t s on ly)

By s ign in g t h is Agr eem en t t h e S u b con t r a ct or cer t ifies t h a t t h e in s t it u t ion h a s a n a ct ive a n d
en for ced Con flict of In t er es t p olicy wh ich com p lies wit h t h e Gover n m en t s gu id elin es . It a ls o cer t ifies
t h a t t h e r eleva n t in ves t iga t or (s ) a r e in com p lia n ce wit h t h e S u b con t r a ct or s Con flict of In t er es t p olicy.
ARTICLE XXVI Order of Precedence
If any conflicts or discrepancies should arise in the terms and conditions of this subcontract, or the
interpretation thereof, the order of precedence for resolution shall be: (a) Section A; (b) Section B; and
Section C.
ARTICLE XXVII New Technology Reports (For use with NASA prime agreements only. Include the
required NASA forms, which may be found at
http://wuro.wustl.edu/PoliciesProcedures/NASA%20Langley%20C-3043.pdf
https://ntr.ndc.nasa.gov/nf1679.pdf)
The Subcontractor shall submit to Penn States Contracting Office NASA Form 1679 Disclosure of
Invention and New Technology (Including Software) for each discovery of new technology individually,
at the time of its discovery. A copy of said form, with instructions, are contained in Attachment ___ of
this subcontract. If this subcontract is a multi-year award, the Subcontractor shall submit to Penn
States Contracting Office NASA Form C-3043 NASA Grantee New Technology Summary Report
marked interim.
ARTICLE XXVIII Federal Funding Accountability and Transparency Act (FFATA) (for use ONLY
when Prime Award was issued on or after October 1, 2010 by a Federal Sponsor. Include the required
FFATA form as an attachment to this subcontract.)
This subcontract is supported by federal funds and requires compliance with the Federal Funding
Accountability and Transparency Act (FFATA or the Transparency Act). The purpose of the
Transparency Act is to make information pertaining to the spending of federal funds available to the
public. Reporting on Subcontractors is done by Penn State and must include information provided by
the Subcontractor as captured in Attachment ___of this subcontract. S u b con t r a ct or s h a ll s u b m it t h e
com p let ed FFATA for m t o Pen n S t a t es Con t r a ct in g Office.
S E CTION B
S p e c ia l P r im e Agr e e m e n t P r o v is io n s (Ch e c k On e )
S p ecia l Pr ovis ion s a r e n ot a p p lica b le.
S p ecia l Pr ovis ion s a r e a p p lica b le. Plea s e r efer t o At t a ch m en t ____, a p p en d ed h er et o.
S E CTION C
Ge n e r a l P r o v is io n s a n d / o r Ce r t ific a t io n s (Ch e c k On e )
Gen er a l Pr ovis ion s a n d Cer t ifica t ion s a r e n ot a p p lica b le.
Gen er a l Pr ovis ion s a n d / or Cer t ifica t ion s a r e a p p lica b le. Plea s e r efer t o At t a ch m en t ____,
a p p en d ed h er et o.
IN WITNESS WHEREOF, the parties have caused these presents to be executed in duplicate as of the
day and year first above written.
By An Authorized Official of Penn State
By An Authorized Official of Subcontractor
Name:
Name:
Title:
Date:
Title:
Date:
ATTACHME NT III
S TATE ME NT OF E XPE NDITURE S

S u b con t r a ct or s Na m e:_____________________
In voice Per iod :________________________
S u b con t r a ct No.:_______________________
Awa r d Am ou n t :______________________
EXPENDITURES
THIS PE RIOD
CATE GORY
EXPENDITURES
TO DATE
Sa la r ies
Tota l Sa la r ies
Su p p lies
Com m u n ica tion Ser vices
Dom es tic Tr a vel
Pr in tin g & Cop yin g
Ca p ita l E qu ip m en t
Softwa r e
Fr in ge Ben efits
S AMPLE
Tota l Dir ect Cos ts

In d ir ect Cos ts
Tota l Cos ts
Cos t Sh a r in g
Tota l Cos ts
Cer tifica tion

I h er eb y cer tify th a t a ll p a ym en ts r equ es ted a r e for a p p r op r ia te p u r p os es in
a ccor d a n ce with th e a gr eem en t s et for th in th e a p p lica tion a n d a wa r d
d ocu m en t.
Sign a tu r e:
Da te:
ATTACHME NT IV
ADDR E S S E S F OR R E P OR TS DIS TR IBUTION

Rep or t
Ma il To
Cop y To
Pr ogr es s Rep or t
2 Not e A
Fin a l Rep or t (Dr a ft & Ap p r oved )
2 Not e A
Mon t h ly In voices
Fin a l In voices
S u b con t r a ct or 's Relea s e
S u b con t r a ct or 's As s ign m en t of Refu n d s , Reb a t es ,

Cr ed it s a n d Ot h er Am ou n t s
In ven t or y of Pr op er t y
(Pick On e)
Rep or t of In ven t ion s a n d S u b con t r a ct s or
NAS A New Tech n ology S u m m a r y Rep or t /
New Tech n ology Dis clos u r e
A-1 3 3 Cer t ifica t ion
1.
Dr .
Pr oject Dir ect or
Un iver s it y Pa r k , Pen n s ylva n ia 1 6 8 0 2
Telep h on e (8 1 4 ) 8 6
2.
(You r Na m e) __________________, Con t r a ct s a n d Pr op os a ls S p ecia lis t

Un iver s it y Pa r k , Pen n s ylva n ia 1 6 8 0 2
Telep h on e (8 1 4 ) 8 6 ______
FAX 8 1 4 -8 6 _______
E -Ma il: ______________________
3.
(Pick On e)
College Con t a ct (fr om p a ym en t cla u s e)
Note A - Th e Su bcon tra ctor s h a ll provid e on ly a copy of th e tra n s mitta l letters for s a tis fyin g th is
requ iremen t of th e Reports Dis tribu tion .
ATTACHME NT V
CLOS E OUT DOCUME NTS
SUBCONTRACTOR'S RELEASE
Prime Award No. ____________
Subcontract No. __________________
Pursuant to the terms of Subcontract No. ________________ and in consideration of the sum of
________________________________________ which has been or is to be paid under the said subcontract to
______________________ (hereinafter called the Subcontractor) or to its assignees, if any, the Subcontractor upon
payment of the said sum by The Pennsylvania State University, University Park, Pennsylvania (hereinafter called the
Contractor) does remise, release, and discharge the Contractor, its officers, agents and employees, of and from all
liabilities, obligations, claims, and demands whatsoever under or arising from the said subcontract, except:
1.
Specified claims in stated amounts or in estimated amounts where the amounts are not
susceptible of exact statement by the Subcontractor, as follows:
2.
Claims, together with reasonable expenses incidental thereto, based upon the liabilities of
the Subcontractor to third parties arising out of the performance of the said subcontract,
which are not known to the Subcontractor on the date of the execution of this release and
of which the Subcontractor gives notice in writing to the Contractor within the period
specified in the said subcontract.
3.
Claims for reimbursement of costs (other than expenses of the Subcontractor by reason of
its indemnification of the Contractor against patent liability), including reasonable
expenses incidental thereto, incurred by the Subcontractor under the provisions of the said
subcontract relating to patents.
The Subcontractor agrees, in connection with patent matters and with claims which are not released as set forth
above, that it will comply with all of the provisions of the said subcontract, including without limitation those
provisions relating to notification to the Contractor and relating to the defense or prosecution of litigation.
IN WITNESS WHEREOF, this release has been executed this _____ day of ___________, 20__.
SUBCONTRACTOR_______________________________
By____________________________________________
Title___________________________________________
CERTIFICATE
I, ___________________________________, certify that I am the ________________________ of the corporation
named as Subcontractor in the foregoing release; that __________________________ who signed said release on
behalf of the Subcontractor was then ______________________________ of said corporation; that said release was
duly signed for and in behalf of said corporation by authority of its governing body and is within the scope of its
corporate powers.
________________________________________________
SUBCONTRACTOR'S ASSIGNMENT OF REFUNDS, REBATES,

CREDITS AND OTHER AMOUNTS
Prime Award No. _____________
Subcontract No. ____________________
Pursuant to the terms of the subcontract in consideration of the reimbursement of costs and payment of fee, as
provided in the said subcontract and any assignment thereunder, the________________________ (hereinafter called
the Subcontractor) does hereby:
1.
Assign, transfer, set over and release to The Pennsylvania State University, University Park, Pennsylvania
(hereinafter called the Contractor), all right, title and interest to all refunds, rebates, credits or other amounts
(including interest thereon) arising out of the performance of the said subcontract, together with all the rights of
action accrued or which may hereafter accrue thereunder.
2.
Agree to take whatever action may be necessary to effect prompt collection of all refunds, rebates, credits or
other amounts (including any interest thereon) due or which may become due, and to promptly forward to the
Contractor checks (made payable to The Pennsylvania State University, University Park, Pennsylvania) for any
proceeds so collected. The reasonable costs of any such action to effect collection shall constitute allowable costs
when approved by the Contractor as stated in the said subcontract and may be applied to reduce any amount
otherwise payable to the Contractor under the terms hereof.
3.
Agree to cooperate fully with the Contractor as to any claim or suit in connection with refunds, rebates,
credits or other amounts due (including any interest thereon); to execute any protest, pleading, application, power of
attorney or other papers in connection therewith; and to permit the Contractor to represent it at any hearing, trial or
other proceeding arising out of such claim or suit.
IN WITNESS WHEREOF, this assignment has been executed this ____ day of _______________, 20___.
Subcontractor____________________________________
By_____________________________________________
Title____________________________________________
CERTIFICATE
corporate powers.
________________________________________________
SUBCONTRACTOR A-133 CERTIFICATION
Subcontractor Name:
Subcontract No.:
The undersigned, being an authorized financial officer of the referenced Subcontractor, hereby certifies that:
____
The Subcontractors total Federal expenditures for fiscal year ending ___________do not exceed $500,000.00 a
fiscal year. The Subcontractor is exempt from Federal Audit requirements for the subcontract Period of
Performance.
____
The Subcontractor has had an A-133 compliance audit for fiscal year ending ______________ and has not been
informed of any instances of non-compliance with federal laws and regulations that have a direct bearing on this
subcontract. A COPY OF THE SUBCONTRACTORS WRITTEN NOTIFICATION AS PROMULGATED IN
SUBPART C, SECTION .320(e)(2) OF OMB CIRCULAR A-133 IS ATTACHED.
____
The Subcontractor has had an A-133 compliance audit for fiscal year ending _____________ and has been informed
of instances of non-compliance with federal laws and regulations that have a direct bearing on this subcontract.
COPIES OF THE SUBCONTRACTORS WRITTEN NOTIFICATION AND REPORTING PACKAGE AS
PROMULGATED IN SUBPART C, SECTION .320(e)(1) AND (2) OF OMB CIRCULAR A-133 IS ATTACHED.
____
The Subcontractor has not yet completed an A-133 compliance audit for fiscal year ending _________. The audit is
to be completed by _______________. A COPY OF THE SUBCONTRACTORS WRITTEN NOTIFICATION
AND, IF APPLICABLE, THE REPORTING PACKAGE WILL BE FORWARDED TO PENN STATE WHEN
AVAILABLE.
_____________________________________
Typed Name and Title
_____________________________________
Signature
__________________________
Date
THE PENNSYLVANIA STATE UNIVERSITY

INVENTORY OF PROPERTY
FOR
SUBCONTRACT NO.
PRIME CONTRACT NO.
FROM ___________________________ TO ______________________________
Please check whether property was acquired under the above referenced Subcontract. If property was acquired, please complete the requested information below.
______ NO Property was acquired under this Subcontract.
______ YES Property was acquired under this Subcontract.

Please complete the information requested below.
Description
Manufacturer
Model Number
Serial Number
Date Purchased
Dollar Amount
___________________________________________
Signature
_________________
___________________________________________
Date
Title
Updated 6/11/08
Attachment_
FEDERAL FUNDING ACCOUNTABILITY AND
TRANSPARENCY ACT (FFATA) - SUBRECIPIENT DATA SHEET
Reporting
Did the subrecipients gross income, from all sources in the previous tax year exceed $300,000?
Yes ___ No___
If no, FFATA reporting of this subaward is not required.
DUNS Number
DUNS Number:
Parent DUNS Number (if applicable):
Principal Place of Performance (Please complete this section if primary performance site is different from
subrecipient address indicated on Attachment 3A)
City:
State:
Zip + 4:
Project Description
Please provide a brief description of the work being performed by the Subrecipient:
Compensation of Officers
Subrecipient must provide the names and total compensation of the five most highly compensated officers of the
entity if:
(i) the entity in the preceding fiscal year received
(I) 80 percent or more of its annual gross revenues in Federal awards; and
II) $25,000,000 or more in annual gross revenues from Federal awards: and
(ii) the public does not have access to information about the compensation of the senior executives of the entity
through periodic reports filed under section 13(a) or 15(d) of the Securities Exchanges Act of 1934 (15 U.S.C.
78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986.
Officer 1 Name:
Compensation:
Officer 2 Name:
Compensation:
Officer 3 Name:
Compensation:
Officer 4 Name:
Compensation:
Officer 5 Name:
Compensation:
If the Subrecipient does not meet the conditions listed above, then it must specifically affirm that the
requirements of this clause are inapplicable to the Subrecipient:
By marking the following box, Subrecipient affirms they do not meet the conditions for reporting
highly compensated officials.
EXHIBIT 6
Office of Sponsored Programs

110 Technology Center Building
University Park, PA 16802-7000
SUBCONTRACT CLEARANCE
Date:
Prime Agreement
From:
Original OSP No.
Re:
Subcontract Number:
Subcontractor:
Sponsor:
Project Director(s):
Budget/Fund:
Subcontractor Certifications applicable, Yes or No?

If yes, please note Attachment _________.
Standard Agreement under FNG02(A)

Delegation Authority
OSP
RISK MANAGEMENT
Standard University Clause No review required.
______ Non-typical clause Please review and sign below.
______ Non-typical Clause -___________________________
has previously reviewed this clause on
________________________________ and approved
same.
______ Certificate of Insurance will be requested.
_______________________________
Signature
_____________
Date
The attached commits __$

for the period _
Recommend signature.
Negotiator
Comments:
Log No.:
12/07
Session ID: 7270117
EXHIBIT 7
SUBCONTRACTOR'S RELEASE
Prime Award No. ____________
Subcontract No. __________________
Pursuant to the terms of Subcontract No. ________________ and in consideration of the sum of
________________________________________ which has been or is to be paid under the said subcontract to
______________________ (hereinafter called the Subcontractor) or to its assignees, if any, the Subcontractor upon
payment of the said sum by The Pennsylvania State University, University Park, Pennsylvania (hereinafter called the
Contractor) does remise, release, and discharge the Contractor, its officers, agents and employees, of and from all
liabilities, obligations, claims, and demands whatsoever under or arising from the said subcontract, except:
1.
Specified claims in stated amounts or in estimated amounts where the amounts are not
susceptible of exact statement by the Subcontractor, as follows:
2.
Claims, together with reasonable expenses incidental thereto, based upon the liabilities of
the Subcontractor to third parties arising out of the performance of the said subcontract,
which are not known to the Subcontractor on the date of the execution of this release and
of which the Subcontractor gives notice in writing to the Contractor within the period
specified in the said subcontract.
3.
Claims for reimbursement of costs (other than expenses of the Subcontractor by reason of
its indemnification of the Contractor against patent liability), including reasonable
expenses incidental thereto, incurred by the Subcontractor under the provisions of the
said subcontract relating to patents.
The Subcontractor agrees, in connection with patent matters and with claims which are not released as set forth
above, that it will comply with all of the provisions of the said subcontract, including without limitation those
provisions relating to notification to the Contractor and relating to the defense or prosecution of litigation.
IN WITNESS WHEREOF, this release has been executed this _____ day of ___________, 20__.
SUBCONTRACTOR_______________________________
By____________________________________________
Title___________________________________________
CERTIFICATE
corporate powers.
________________________________________________
EXHIBIT 8
SUBCONTRACTOR'S ASSIGNMENT OF REFUNDS, REBATES,

CREDITS AND OTHER AMOUNTS
Prime Award No. _____________
Subcontract No. ____________________
Pursuant to the terms of the subcontract in consideration of the reimbursement of costs and payment of fee, as
provided in the said subcontract and any assignment thereunder, the________________________ (hereinafter called
the Subcontractor) does hereby:
1.
Assign, transfer, set over and release to The Pennsylvania State University, University Park, Pennsylvania
(hereinafter called the Contractor), all right, title and interest to all refunds, rebates, credits or other amounts
(including interest thereon) arising out of the performance of the said subcontract, together with all the rights of
action accrued or which may hereafter accrue thereunder.
2.
Agree to take whatever action may be necessary to effect prompt collection of all refunds, rebates, credits
or other amounts (including any interest thereon) due or which may become due, and to promptly forward to the
Contractor checks (made payable to The Pennsylvania State University, University Park, Pennsylvania) for any
proceeds so collected. The reasonable costs of any such action to effect collection shall constitute allowable costs
when approved by the Contractor as stated in the said subcontract and may be applied to reduce any amount
otherwise payable to the Contractor under the terms hereof.
3.
Agree to cooperate fully with the Contractor as to any claim or suit in connection with refunds, rebates,
credits or other amounts due (including any interest thereon); to execute any protest, pleading, application, power of
attorney or other papers in connection therewith; and to permit the Contractor to represent it at any hearing, trial or
other proceeding arising out of such claim or suit.
IN WITNESS WHEREOF, this assignment has been executed this ____ day of _______________, 20___.
Subcontractor____________________________________
By_____________________________________________
Title____________________________________________
CERTIFICATE
corporate powers.
________________________________________________
EXHIBIT 9
SUBCONTRACTOR A-133 CERTIFICATION
Subcontractor Name:
Subcontract No.:
The undersigned, being an authorized financial officer of the referenced Subcontractor, hereby certifies that:
____
The Subcontractors total Federal expenditures for fiscal year ending ___________do not exceed
$500,000.00 a fiscal year. The Subcontractor is exempt from Federal Audit requirements for the
subcontract Period of Performance.
____
The Subcontractor has had an A-133 compliance audit for fiscal year ending ______________ and has not
been informed of any instances of non-compliance with federal laws and regulations that have a direct
bearing on this subcontract. A COPY OF THE SUBCONTRACTORS WRITTEN NOTIFICATION AS
PROMULGATED IN SUBPART C, SECTION .320(e)(2) OF OMB CIRCULAR A-133 IS ATTACHED.
____
The Subcontractor has had an A-133 compliance audit for fiscal year ending _____________ and has been
informed of instances of non-compliance with federal laws and regulations that have a direct bearing on
this subcontract. COPIES OF THE SUBCONTRACTORS WRITTEN NOTIFICATION AND
REPORTING PACKAGE AS PROMULGATED IN SUBPART C, SECTION .320(e)(1) AND (2) OF
OMB CIRCULAR A-133 IS ATTACHED.
____
The Subcontractor has not yet completed an A-133 compliance audit for fiscal year ending _________.
The audit is to be completed by _______________. A COPY OF THE SUBCONTRACTORS WRITTEN
NOTIFICATION AND, IF APPLICABLE, THE REPORTING PACKAGE WILL BE FORWARDED TO
PENN STATE WHEN AVAILABLE.
_____________________________________
Typed Name and Title
_____________________________________
Signature
__________________________
Date
EXHIBIT 10
THE PENNSYLVANIA STATE UNIVERSITY

INVENTORY OF PROPERTY
FOR
SUBCONTRACT NO.
PRIME CONTRACT NO.
FROM ___________________________ TO ______________________________
Please check whether property was acquired under the above referenced Subcontract. If property was acquired, please complete the requested information below.
______ NO Property was acquired under this Subcontract.
______ YES Property was acquired under this Subcontract.

Please complete the information requested below.
Description
Manufacturer
Model Number
Serial Number
Date Purchased
Dollar Amount
___________________________________________
Signature
_________________
___________________________________________
Date
Title
Updated 6/11/08
EXHIBIT 12
Unit Address:
DATE:
FROM:
TO:
Office of Sponsored Programs, Subcontract Administration
SUBJ:
Certification of Completion of Technical Performance on Subcontract No.

(Subcontractor)
___________________ with
under Prime Grant/Contract No. ____________________________________
from _________________________ (Sponsor).
1. The final invoice has been submitted by the Subcontractor.
2. Please certify, if appropriate, that you have received the final report and
the Subcontractor has completed technical performance by acknowledging
this fact in the space provided below.
The undersigned hereby certifies that technical performance is complete on the subject
subcontract and that continued effort will not be required.
____________________________________________
____________________
Project Director
Date
____________________________________________
Signature
An Equal Opportunity University
Updated 9/16/10
EXHIBIT 13
SUBCONTRACT CLOSEOUT CHECKLIST
Subcontractor:
Subcontract No.:
as Modified by Amendments Numbered through
Period of Performance:
through
Date of Closeout Completion:

ACTION ITEMS
Requested
Received
Accepted
Subcontractors Release
Subcontractors Assignment of Refunds, Rebates,
Credits and Other Amounts
Subcontractor A-133 Audit
Inventory of Property
Report of Inventions and Subcontracts
Certification of Technical Completion
Price Revision
Lower-Tier Subcontracts Settled by Subcontractor
Interim and/or Disallowed Costs Settled
Indirect Cost Rate
Assist Audit
Other (Specify):
Signature (sign only upon completion of all required actions)
OSP, SA
8/93
Date
EXHIBIT 14
PSSUB Closeout
Desk Review Worksheet
Instructions found here: H:\PS SUBS\Closeout Information\Desk Review Worksheet Instructions
Questionnaire (Any answer with an asterisk requires further comments.)

1. Subrecipient Review
A. Has A-133 Audit Report or Audited Financial Statement been received?
Yes
B. Are there any known systems deficiencies or

pending/recurring audit problems?
Yes
C. Have F&A rates been finalized?
Yes
No
Yes
No
If yes, does Quick Closeout apply?
No
*
No
2. Subcontract Review
A. Funded Amount = ________________ (total project cost)
B. Cumulative Vouchered Amount: ________________ = ________________(total project costs) - _______________ (unspent funds)
C. Performance Period:
_______________________ to _______________________
D. Are costs outside the performance period?
Yes
E. Has Technical effort been accepted?
Yes
No
F. Did subcontract require cost sharing?
Yes
No
Yes
No
N/A ______ Yes
No
No
G. Was the cost sharing requirement met and indicated on

final invoice?
H. Were all special cost provisions met?
(i.e., level of effort, travel, equipment, etc.)
N/A
I. Any significant deviations of incurred costs from approved/

N/A ______ Yes
negotiated budget (see Page 2 for comparison)
(a.) If yes, were prior approvals/consents obtained as required?
Yes
No
*
No _______
J. Have all administrative reports/requirements been accepted?

(see closeout checklist)
Yes
No
K. Is the final voucher complete and with proper related documents?
Yes
No
L. Was the proper F&A rate(s) utilized?
Yes
No
3. Comments:
4. Conclusions: Costs of _________________ are recommended as allowable.

Costs of _________________ are considered unallowable.
Reviewed by: __________________________________________________
Date: _________________
June 2011
COST ANALYSIS
Comparison of Incurred Cost to Approved Budget
Cost Element
Approved Budget*
Approved
Cost Share
Incurred Cost**
Incurred
Cost Share
Variance***
Salaries/Wages
Fringe Benefits
Tuition Remission
Materials & Supplies
Consultants
Equipment
Computer Costs
Travel
- Domestic
- Foreign
Subcontracts
Publications
Other Direct Costs
Total Direct Costs

Indirect Costs
Total Project Costs
Comments: Variances are within acceptable Limits?
Yes ___
No ____
Other:
* Approved Budget - Initial cost submitted by subrecipient and approved and made a part of the subaward/subcontract.
** Incurred Cost -- Actual Total cumulative final costs incurred by Subrecipient.
*** Variance - Difference between "incurred cost" and "approved costs"
**** Cost Share Variance - Difference between "incurred cost share" and "approved cost share".
Cost Share Variance****
PSSUB Closeout
Desk Review Worksheet (Questionnaire)
INSTRUCTIONS
Upon receipt of Subrecipients final invoice, the College forwards a copy to OSP, along with a
completed Certification of Completion of Technical Performance. The Sub Coordinator assigns
the request for approval of release of final payment and/or closeout to the appropriate
negotiator. As closeout documents are received, the forms are reviewed by the Sub
Coordinator for completion. The Sub Coordinator shall follow-up, via telephone or e-mail, with
the Subrecipient for delinquent closeout documents on a monthly basis. In the event all
requested closing forms are not received from the Subrecipient, the Subcontract
Coordinator/Negotiator shall determine if the requested closing papers are required for
Administrative Closeout using the following criteria:
Report of Inventions and Subcontracts: Per 37 CFR 401.14 proceed with closeout if
DD882 is not received within two months after forwarding closing papers to the
Subcontractor. (If in a subcontract, the DD882 is identified as a required document in
Attachment IV, PSU is contractually obligated to receive the DD882 form from the
Subcontractor.) Also reference 2.J.on page 2.
When required closeout documentation is received, the Sub Coordinator assigns to the
appropriate Negotiator. The Negotiator completes the Subaward/Subcontract Closeout
Checklist and the Desk Review Worksheet to close the subagreement. What follows are
instructions for completing the Desk Review Worksheet:
Section 1. Subrecipient Review
Items 1.A. and 1.B. are completed by the Sub Coordinator prior to Negotiators receipt of
closeout file. Negotiator should not release final payment or close until any A-133/audited
financial statements are received and any related concerns are resolved.
1.C. Identify if F&A has been finalized to date (e.g., predetermined or fixed rates)
If N/A or Yes, indicate as such.
If No, document in Comments section (bottom of worksheet) how closeout was
finalized in terms of F&A. For example, note Rates still provisional but all funds
spent and approved, as rate applies throughout entire project period.
Section 2. Subagreement Review
2.A. Total $$$ amount funded (includes basic award and any subsequent amendments).
2.B. Actual total amount of costs incurred for entire project period.
1
2.C. - Start date of basic award through end date of last amendment, if any (XX/XX/XXXX
XX/XX/XXXX).
2.D. Invoiced amount outside of period of performance identified in item 2.C.
2.E. Certificate of Technical Completion comes from College and is signed by the PI. This
certificate informs the negotiator that the subrecipient performed in accordance with their
Scope of Work.
2.F. Check basic subagreement and amendment budgets to see if cost sharing was identified.
If so, check Yes and go to item 2.G. If no, check No and go to item 2.H.
2.G. If cost sharing is required, verify approved cost sharing in Subrecipient budget against
costs sharing shown on final invoice. NOTE: If cost sharing is committed in subagreement, cost
sharing must be shown as part of the final invoice and the Negotiator needs to reconcile cost
sharing as part of the Cost Analysis page of the Desk Review Worksheet.
2.H. If Special Provisions apply (e.g. special reporting requirements or preapproval of
subrecipients travel), Yes means provisions were met. No means provisions were not met
and negotiator may need to pursue additional information from the College or Subrecipient.
2.I. Yes means that significant deviations (as defined by prime or subagreement) were
noted when performing the comparison of costs. Deviation should be documented in
Comments section and how/if resolved. No means that no significant deviations in spending
were noted. N/A means re-appropriation was allowable without restriction (e.g., FDP).
2.J. (Also reference first paragraph on page 1 of Instructions) Review the administrative
reporting requirements specified in the subagreement, in other words, what did we ask for?
(Examples: A-133 certification, DD882, etc.) And, do we have what we need? If Yes, it is ok
to proceed. If No, negotiator should work with Sub Coordinator (Michelle) to request reports
and other required documents from the subrecipient.
NOTE: We cannot withhold payment for reports not received unless specified as a requirement
for payment in the actual subagreement (Per OMB A-110). Also, we cannot close out the
subagreement until all required reports are received or current date is beyond 60 reporting
period. However, we can release final payment upon completion of the cost analysis and
technical release.
2.K. Final Voucher = Final Cumulative Invoice, as received in accordance with Articles 2 & 3 of
the basic Research Subaward Agreement (or Article 5 of the Penn State Subcontract). The
final invoice will need to meet the specifications identified in these articles in order for the cost
analysis to take place: 1. Must be marked Final; 2. Must show all actual cumulative costs
2
incurred for the entire project period, not just the period being invoiced, INLUDING COST
SHARING; and 3. Must be signed and certified by an authorized representative.
2. L See Section 1.C. - Rates may be provisional but may still apply. Verify F&A rate is in
accordance with the subrecipients negotiated rate for the period covered by Subagreement and
noted on invoice, and in accordance with what was proposed and approved by PSU.
Negotiators should check PSSUB backup documents to verify rate(s) applied initially and with all
subsequent amendment(s). See Quick Closeout procedure below.
Section 3. Comments Comments related to Sections 1 & 2 should be reflected here.
Additional pages can be attached and kept with file, if necessary.
Section 4. Conclusions Costs of $______ are recommended as allowable. should be the total
amount of approved costs paid. For example: If funded amount = $100K, but only $50K was
spent (and cost analysis review was completed with verification of $50K spent), conclusions
would be: Costs of $50K are recommended as allowable. Costs of $0 are considered
unallowable. Note: The remaining $50K unspent is re-appropriated as required by the prime
sponsor.
Reviewed by: Negotiators name here, only when closeout is complete.
NOTE 1: Negotiators can partially complete the forms for cost analysis review and release of
final payment. Neither the Desk Review Worksheet or the Sub Closeout Checklist should be
signed by the negotiator until both release of final payment and closeout are complete.
Quick Closeout:
When Subrecipients F&A rate is provisional throughout the period of the subagreement, and
the final invoice for cumulative costs is less than the total funded amount, it is necessary to
follow the quick closeout procedures prescribed under FAR 42.708
(https://www.acquisition.gov/far/html/Subpart%2042_7.html).
This means that you will need to receive verification, in writing, from the subrecipient, that the
final invoice is, in fact, final and that the F&A rate(s) applied to the final cumulative invoice
is/are final.
EXHIBIT 15
(814) 865-1372
FAX (814) 865-3377
E-MAIL: JHH6@.PSU.EDU
O FFICE
OF
S PONSORED P ROGR AMS
John W. Hanold
Interim Director, Office of Sponsored Programs
110 Technology Center

The Pennsylvania State University
University Park PA 16802-7000
Date:
To:
Memorandum to File, Research Accounting
From:
J. Hanold, Office of Sponsored Programs
Subj:
Closing Statement for Subcontract No.__________with ____________under Prime

Contract No.___________ awarded to The Pennsylvania State University by
___________ (OSP #________).
The subject subcontract provided for a research program entitled __________ The
awarded estimated cost was $________ with a period of performance from
__________ through _____________. All provisions of the subcontract, including
administrative and technical reporting requirements have been met.
The cumulative amount invoiced and claimed under this subcontract is
$_____________with and unspent balance of $_______. An examination of the
proposal and award documents has been made and compared to those costs claimed
for reimbursement under the subcontract. No significant deviations in the cost
elements were present and therefore, no exceptions are taken with any of the claimed
costs. There are no known systems deficiencies or recurring audit problems with this
subcontractor that we have been made aware. Any prior approvals, which may have
been required, were obtained as needed.
Based upon final review, we have concluded that claimed costs are allowable and
reasonable and are therefore considered allowable under the terms and conditions of
the subject subcontract. This Closing Statement shall serve in lieu of a Subcontract
Closeout Audit Report.
______________________________________
John W. Hanold
Interim Director, Office of Sponsored Programs
cc:
Subcontract File
(OSP #_________)
An Equal Opportunity University

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THEPENNSYLVANIASTATE

CERTIFICATE OF CURRENT COST OR PRICING DATA

The Pennsylvania State University

Director, Office of Sponsored Programs

Type of Prime Agreement

____Cost Plus Fixed Fee

____Amendment No. ____

Negotiation Notes (attach if necessary)

Negotiated Subcontract Value this Action __________________________________________________

Negotiations conducted with:

WHE RE AS , Pen n S t a t e d es ir es t o h a ve t h e S u b con t r a ct or p er for m a cer t a in p or t ion of s a id r es ea r ch

WHE RE AS , t h e S u b con t r a ct or h a s r ep r es en t ed t h a t it h a s t h e p r es en t a b ilit y t o p er for m s a id r es ea r ch

NOW THE RE F ORE , t h e p a r t ies h er et o d o h er eb y m u t u a lly a gr ee a s follows :

ARTICLE III - Pe r i od of Pe r for m a n c e

Th e t ot a l es t im a t ed cos t t o Pen n S t a t e for t h e p er for m a n ce of t h is s u b con t r a ct s h a ll n ot exceed

Ms. Cathy Romig

Ms . Lis a Good -Reit er

Ms . S a n d y Lit zen b er ger

Pen n S t a t e Leh igh Va lley

A fin a l s t a t em en t of cos t s in cu r r ed , m a r k ed "FINAL", m u s t b e s u b m it t ed NOT LATE R THAN s ixt y

In s er t P.O.C. fr om Op t ion 1 , a b ove

All p a ym en t s s h a ll b e con s id er ed p r ovis ion a l a n d s u b ject t o a d ju s t m en t wit h in t h e t ot a l es t im a t ed

excep t ion h a s b een t a k en a s a r es u lt of a u d it a n d / or in s p ect ion , s h a ll b e r et a in ed b y t h e

ARTICLE VIII - Ri g h t s i n Da t a a n d Ma t e r i a l s (Us e wh en p r im e s p on s or is t h e Fed er a l Govt .)

ARTICLE IX - Au d i t s a n d Au d i t Re p or t s (for u s e wit h a ll d om es t ic u n iver s it ies a n d n on -p r ofit s )

Mich elle Ku h n , S u b con t r a ct in g Coor d in a t or

ARTICLE XIII - Ci vi l Ri g h t s a n d Non d i s c r i m i n a t i on

Tit le VI of t h e Civil Righ t s Act of 1 9 6 4

ARTICLE XV S c i e n t i fi c Mi s c on d u c t (F o r u s e wit h NIH s u b c o n t r a c t s )

ARTICLE XVI - Gove r n i n g La w s

An y a n d a ll cla im s , d is p u t es or con t r over s ies a r is in g u n d er , ou t of, or in con n ect ion wit h t h is

A. Bin d in g Ar b it r a t io n . All con t r over s ies a n d / or d is p u t es a r is in g ou t of t h is s u b con t r a ct s h a ll b e

ARTICLE XXI - Re vi e w of Hu m a n S u bje c t s i n Re s e a r c h Pr oje c t s (Us e on ly for NIH Pr im e Awa r d s )

ARTICLE XXII - Re vi e w of An i m a l We l fa r e i n Re s e a r c h Pr oje c t s

S u b con t r a ct or 's Relea s e

Pa ym en t of Fin a l In voice s h a ll b e wit h h eld p en d in g r eceip t a n d a ccep t a n ce of a ll Clos eou t

ARTICLE XXV - Con fl i c t of In t e r e s t (For U. S . Gover n m en t p r im e a gr eem en t s on ly)

By An Authorized Official of Subcontractor

S TATE ME NT OF E XPE NDITURE S

Tota l Dir ect Cos ts

Cer tifica tion

ADDR E S S E S F OR R E P OR TS DIS TR IBUTION

Fin a l Rep or t (Dr a ft & Ap p r oved )

S u b con t r a ct or 's Relea s e

S u b con t r a ct or 's As s ign m en t of Refu n d s , Reb a t es ,

(You r Na m e) __________________, Con t r a ct s a n d Pr op os a ls S p ecia lis t

CLOS E OUT DOCUME NTS

SUBCONTRACTOR'S ASSIGNMENT OF REFUNDS, REBATES,

SUBCONTRACTOR A-133 CERTIFICATION

THE PENNSYLVANIA STATE UNIVERSITY

______ YES Property was acquired under this Subcontract.

Yes ___ No___

If no, FFATA reporting of this subaward is not required.

Office of Sponsored Programs

Original OSP No.

Subcontractor Certifications applicable, Yes or No?

Standard Agreement under FNG02(A)

The attached commits __$

Session ID: 7270117

SUBCONTRACTOR'S ASSIGNMENT OF REFUNDS, REBATES,

SUBCONTRACTOR A-133 CERTIFICATION

THE PENNSYLVANIA STATE UNIVERSITY

______ YES Property was acquired under this Subcontract.

Office of Sponsored Programs, Subcontract Administration

Amendment No.

Yes _ No_

Closing Statement for Subcontract No.with __under Prime