Subawards - Proposal Preparation

If subrecipients are included in a sponsored project proposal, the PI and department are responsible for submitting a required series of forms and materials to accompany the proposal to the SPA Project Officer to review. The subrecipient must also be budgeted appropriately.

If the proposal is awarded, the SPA Subawards Team will issue the subaward or subcontract agreements.

Below is information on required subrecipient forms and budgeting guidance.

For a downloadable one-page PDF version of all forms required, click here (updated 7/11/2022).

The SPA Project Officer requires the following materials and forms, at a minimum, during proposal review if subrecipients are included in the proposal:

Facilities & Administrative (F&A) rates for subrecipients:

If subrecipient is not in the FDP Expanded Clearinghouse, then the SPA Project Officer will also need:

  • If sponsor is federal - a copy of the most recent U.S. federally Negotiated Indirect Cost Rate Agreement (NICRA).
    • Prior to proposal submission to SPA, inform the SPA Project Officer if a proposed subrecipient does not have a NICRA to discuss the options. 
    • NOTE NIH caps F&A to 8% for foreign subrecipients.
    • NOTE NSF - if foreign subrecipient does not have a NICRA, the NSF grantee will fund the foreign subrecipient using the de minimis indirect cost rate recovery of 10% of modified total direct costs

Financial Conflict of Interest (FCOI) Policy confirmation:

Additional forms may be necessary if the prime sponsor is a PHS agency, or the sponsor follows the PHS Financial Conflict of Interest (FCOI) Regulation, (42 CFR 50, Subpart F, "Responsibility of Applicants for Promoting Objectivity in Research for which PHS Funding is Sought").

In very unusual circumstances, Principal Investigators can request that subrecipients be covered under Columbia's COI policy.  This form is to be used to request that such an exception be granted for a particular subrecipient on a specific project: