Faculty & Staff

University Policy

The University has a Policy on Sponsored Project Subawards, which is frequently referenced in this section on subaward management. The Policy on Sponsored Project Subawards seeks to:

• Ensure that risks associated with a subaward or a subrecipient are identified and managed prior to the grant of a subaward
• Promote compliance with U.S. government (USG), state, and local laws relating to subrecipient monitoring
• Assign appropriate unit-level and individual responsibility and accountability for the establishment and management of subawards
• Ensure that a funding agency’s funds are appropriately spent and that the University and its funding agencies receive value for funds expended

This section not only covers the policy’s salient points, but also offers supplemental procedures to facilitate fulfillment of the policy’s stated goals in the implementation of subawards in international projects.

Mechanisms and Players

A subaward is an award of financial assistance, in the form of money or property in lieu of money, made by Columbia University to a collaborator. In this scenario, Columbia University is the recipient of an award in connection with which the University establishes a subaward to facilitate performance of and payment for specific work to be conducted by a subrecipient.

Agreements relating to subawards may also be called subcontracts, subagreements, subgrants, consortium agreements, purchase orders, purchase service agreements, or trial protocol agreements.

A collaborating agency, whether a university, an international agency, or a local organization in another country, is referred to as a subrecipient, or more specifically a subgrantee or subcontractor.

A subaward may be made by the University as a recipient of a primary award or as the subrecipient of another institution’s primary award.

Subawards must conform to USG and state laws and the restrictions placed by the funding agency upon the primary award, whether a grant, cooperative agreement, or contract. That is, subrecipients must comply with all flow-down provisions from the prime award that apply as well through the subaward mechanism. Columbia University is responsible for monitoring subrecipients for compliance with all funding agency regulations and grant/contract conditions.

For more detail, see the University’s Policy on Sponsored Project Subawards and the relevant USG circulars referenced in that policy.