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Office of Research and Innovation
Research Administration and Compliance

Subward: Post-Award

For federal grants, contracts and cooperative agreements, the sponsor must approve all subawards. If a subaward was not included in the original proposal to the sponsor, post-award approval may be necessary, subject to the terms and conditions of the award. The College Research Office will work with the Principal Investigator (PI) to compile the subrecipient proposal package. The subrecipient’s documents are reviewed to ensure that they are accurate and that the costs proposed are fair and reasonable prior to submitting a Subaward Project Management Request (PMR) to Sponsored Programs.

Request a Subaward Action

College Research Office (CRO) coordinates with PI to prepare and submit PMR “Subaward (New)” or “Subaward (Modify)” to Sponsored Programs and Regulatory Compliance Services (SPARCS) for processing. Both subaward actions (initial issuance or modification) are initiated through the PMR system.

  • For rush requests, please include an explanation that will allow SPARCS to manage appropriately.
  • Once the prime award/account set up is complete, a PMR “Subaward (New)” can be initiated. This applies to both subawards included in the proposal and additional subawards approved by the sponsor post-award. SPARCS will not issue subawards without written direction from the PI via a PMR action.
  • Ensure Sponsor approval to issue the subaward. If Sponsor approval is needed, initiate a Subaward New PMR, upload the Subrecipient Proposal Package, and answer YES to the question, Does Subaward need Sponsor Prior Approval? Once Sponsor approval is obtained by SPARCS, the PMR will be routed for the subaward to be issued.  
  • If the Subrecipient Proposal Package in PINS/ Research Enterprise Data (RED) system is current, do not upload it again in the PMR System. If any document in the Subrecipient Proposal Package has been revised since it was uploaded in PINS/RED, please upload the revised documents in the PMR.
  • If the subaward involves human subjects and/or animal subjects, upload the subrecipient’s Institutional Review Board (IRB) and/or Institutional Animal Care and Use Committee (IACUC) approval or indicate in the comments of the PMR that a protocol is pending.
  • Subaward modifications follow similar Post-Award steps. A PMR “Subaward (Modify)” shall be initiated when needed. Subaward modifications that request additional funding, a deobligation or a rebudget must include an itemized budget uploaded in the PMR.

Issuing a Subaward or Subaward Modification

SPARCS drafts, negotiates and executes the new subaward or subaward modification.

  • SPARCS performs a risk assessment on all new subawards.
  • In the case of high-risk subrecipients, SPARCS will document the reasons for high-risk assessment in RED’s subrecipient entity record and on subaward notice of award to inform subsequent monitoring.
  • SPARCS will complete a subaward award action in RED
  • SPARCS will upload the subaward document to the PMR and approve the PMR request.
  • SPARCS will send the subaward to the Office of Contracts and Grants for account set up.

Subaward Monitoring

College Research Office and Principal Investigator oversee post-award monitoring of Subaward. PIs must monitor subrecipients’ performance through direct contact with the subrecipient’s PI, interim technical reporting, and invoice review. PIs must also approve all invoices submitted by subrecipients before they can be paid. The department and college must retain all documentation relating to each subaward for a minimum of three years following the end date or as otherwise required by the terms of the prime agreement.

  • Principal Investigators monitor subrecipients’ performance against awarded scope of work, ensuring all deliverables required under the subaward agreement are being completed and provided.
  • College Research Offices and Principal Investigators review all invoices submitted by subrecipients before approving for processing payment.
  • At the PI’s direction, College Research Offices submit PMRs to initiate/modify subawards, ensuring funding is available.
  • Principal Investigators and College Research Offices follow up with subawards for progress reports.
  • College Research Offices submit subaward closeout requests to subrecipient.
  • College Research Offices retain all supporting documentation related to each subaward for a minimum of three years following the end date, or as indicated by award-specific terms and conditions.