Subawards - Award Management
updated 12/13/2023
Announcements
See Columbia's recent presentation on NIH Update: Oversight of Foreign Subawards (presented on 12/13/2023)
For more information on NIH's policies concerning subawards, see NIH Subawards.
Summary
The issuance and monitoring of subawards is governed by our Institutional Subawards Policy.
As the prime recipient of a sponsored award containing subrecipients, the SPA Subawards Team will initiate a subaward or subcontract agreement with the subrecipient. The Team will work closely with PIs, departmental administrators and SPA staff to initiate subaward agreements in a timely manner after receipt of the prime Notice of Award (NOA). It is University policy that subawards are funded for a maximum of one year, renewable for additional periods as appropriate.
Below is a summary of the process and the items needed to initiate a subaward agreement.
All requests and correspondence should be directed to the SPA Subaward Team at the appropriate campus:
Morningside campus: [email protected]
Medical Center Campus: [email protected]
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Subaward requests should use the new Request for Outbound Subaward (ROS) form.
- See Request for Outbound Subaward (ROS v2) and ROS Form User Guide
- See training video on ROS form (recorded 10/20/2021)
- This will generate Attachment 3A, to be included in the subaward agreement.
- Also include:
- Attachment 3B - Subrecipient Contacts (subrecipient should complete page 1, and page 2 only if applicable)
There are several reasons a subaward agreement may need to be amended. Reasons include to issue an increment of funding, a change in scope or PI, to issue carryover of funds, to issue a no cost extension, to reduce/de-obligate an award, or to terminate.
Materials needed to issue an amendment:
- For each subrecipient complete the Request for Outbound Subaward (ROS) Form. Include:
- Subrecipient's detailed budget, if awarding another increment of funds
- Budget justification, if awarding another increment of funds
- Statement of work (SOW)
- Copy of subrecipient's IRB, IACUC, or any other applicable compliance approval. These are collected on an annual basis.
- Only if change from original agreement: Completed Attachment 3A (completed by you) and Attachment 3B (completed by subrecipient).
A Subaward Purchase Order (SAPO) number is a unique number to be referenced by the subrecipient on an invoice in order to receive payment. Departments also use this number in order to pay the subrecipient.
SPA creates SAPO numbers, and it is usually created before the SPA Subaward Team issues an amendment or agreement. The following steps describes the process for the issuance of SAPOs:
- At the time a PI receives a Notice of Award (NOA), the department submits an Award Setup Form to the SPA Financial Analyst. The department indicates how they would like the budget reflected, and the Financial Analyst sets up a project in ARC for spending.
- Department will indicate on the form the number of subawards, the subrecipient’s legal name (or Vendor ID if known), the subrecipient’s principal investigator’s name, and total amount for each one, if applicable.
- Financial Analyst will ensure there are enough funds awarded to cover each subaward, and that the entire budget is in line with the Notice of Award.
- Financial Analyst will create the SAPO #s in ARC.
- Subaward Team will reference the SAPO # on the subaward agreement to the subrecipient, and will reference this # in communications to the subreceipient and department.
SAPO numbers may change over time depending on actions initiated by the department or PI. Generally, a new SAPO number is generated if the sponsor does not allow for the automatic carryover of funds.
For questions concerning SAPO numbers, refer to your assigned SPA Financial Analyst.
The Subawards Policy requires that the PI:
- Routinely gather and review technical performance reports;
- Routinely review invoices and expenses relative to budget;
- Conduct periodic on-site visits, when necessary; and
- Initiate audits, when necessary.
For more information, please refer to the Subaward Policy above.