Subcontracts may be issued to collaborators outside the realm of the University, both nationally and internationally, in order to further specific research goals.
The Subcontracts Team partners with University and outside collaborator staff members to insure appropriate documentation is in place. We strive to provide the highest caliber of professionalism and to serve as an effective representative for the research enterprise at the University and beyond.
Lifecycle of an Outgoing Subaward
Including an outgoing sub on your proposal
- Provides goods and services within normal business operations
- Provides similar goods and services to many different purchasers
- Their role does not provide programmatic decision-making
- Operates in a competitive environment
- Provides goods or services that are ancillary (secondary) to the operation of a Federal program
* These agreements are set up through CU’s Procurement Service Center.
** Set up on proposal budget as direct cost with IDC charged on full amount
Subrecipient - A subaward is likely appropriate if:
- The Scope of Work represents an intellectually significant portion of the programmatic effort of the overall project
- Has its performance measured in relation to whether objectives of a Federal program are met
- Has responsibility for programmatic decision making
- Is responsible for adherence to applicable Federal program requirements specific in the Federal award
* These agreements are set up through the Office of Contracts and Grants
** Set up on proposal budget as Direct Cost
- Statement of Work
- Budget and Justification
- Any other documents required by OCG or Sponsor
- Signed Subrecipient Commitment Form
- Assess technical expertise and financial viability of subrecipient organization and key personnel
- PI completes Sole Source Justification
- Include subrecipient proposal in the full proposal
- Include the subrecipient’s budget total as a single direct cost line item in proposal budget
- Include other forms (e.g, budget, biosketches, other support) as required by Sponsor
- Forward completed proposal to Proposal Analyst for review
Subrecipient Statement of Work Components:
- Purpose or objective of the work to be performed by the Subcontractor
- Possible timetable or schedule of the work to be performed
- Any deliverables, products, or expected outcomes
Prime award received with outgoing sub(s)
After an award is received, the Grant or Contract Officer negotiates and processes the prime award and sets up the sub accounts in the database.
The Grant or Contract Officer then routes the award to CCO.
Subcontract Officer receives new outgoing sub
When a new outgoing sub is received, the Subcontract Officer logs sub into the Sub Database.
The Subcontract Officer reviews sub paperwork and works with the PI, Department Administrators, and the Subrecipient to obtain all missing documentation.
The Subcontract Officer during this phase also:
- Completes Cost/Price Analysis, Checklist, and Risk Analysis
- Drafts Subagreement along with flowdowns from the Prime Award
- Negotiates agreement with the Subrecipient
- Subrecipient Budget (Revised Budget from Proposal if Funding Amount Changed)
- Prime Award Budget with Subrecipient as Line Item
- Subrecipient Budget Justification
- Statement of Work (Revised Statement of Work if Scope of Work Changed from Proposal)
- Subrecipient Commitment Form
- Sole Source Justification
- Sub Review Form
- Human and/or Animal Subjects Approvals, if applicable
- Any Special Terms that the PI would like to add (reports, communication, deliverables, etc.)
- Subrecipient’s Federally Negotiated Indirect Cost Rate Agreement (statement of how indirect cost rate is determined)
- Export Control Information (foreign nationals, home country) if applicable
- How to set up a new requisition in Marketplace
- Creating Subcontract SPOs with F&A Split
Signed subagreement received from subrecipient
The Subcontract Officer:
- Approves CU Marketplace requisition and creates a Purchase Order
- The fully executed agreement and Purchase Order will be automatically be sent to the subrecipient and department administrator
- Subrecipient can begin invoicing
Modification received to prime award with outgoing sub(s)
The Grant or Contract Officer negotiates and processes the mod and routes to the Subcontract Officer.
Modification routed to Subcontract Officer
The Subcontract Officer logs modification and reviews sub paperwork and works with PI, Department Administrators, and the Subrecipient to obtain all missing documentation.
Types of Modifications
- Marked up PO
- Subrecipient Revised Budget
- Subrecipient Revised Budget Justification
- Subrecipient Revised Statement of Work (if effected by change of funding)
Closeout of Sub
The Closeout Specialist handles the closeout of all awards, both main and Subs. The Subcontracts Team will assist the Closeout Specialist as needed. Looking to close out a subrecipient before the end of the period of performance? Watch Removing Funds from a Subrecipient Video Tutorial for next steps.