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

On this page:

Including an outgoing sub on your proposal

Vendor – A vendor agreement is likely appropriate if:
 
  • 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

The Proposal Package must include:

  • 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

The entire proposal, including the subrecipient proposal and budget, will be submitted by OCG's Proposal Analysts.

 

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 including sub paperwork to the Subcontracts team.

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:

  • 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

Signed subagreement received from subrecipient

The Subcontract Officer:

  • Approves CU Marketplace requisition and creates a Purchase Order
  • Sends the fully executed agreement and Purchase Order 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 

Paperwork needed:
 
  • Marked up PO

Paperwork needed:
 
  • Marked up PO

Paperwork needed:
 
  • Marked up PO
  • Subrecipient Revised Budget
  • Subrecipient Revised Budget Justification
  • Sub Review Form
  • Subrecipient Revised Statement of Work (if effected by change of funding)

Paperwork needed:
 
  • Marked up PO
  • Justification for Deobligation
  • Subrecipient Revised Budget
  • Subrecipient Revised Budget Justification
  • Sub Review Form
  • Subrecipient Revised Statement of Work (if effected by change of funding)

No paperwork is needed. Notice will be sent to the PI and department from the Subcontract Officer.

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.

If you have a Subs Closeout question email ocgsubscloseout@colorado.edu.

We are stewards of the University of Colorado Boulder. We operate with the PI, Department, University and Subrecipient’s best interests in mind.