The University of Chicago
The University of Chicago

Local Business Center, Division of the Physical Sciences

Subawards (from URA’s website)

Subawards should be budgeted in the proposal, but are not formally established until after the award is funded. For a full examination of the subaward process consult URA's subaward page and "Lifecycle of a Subaward."

Outgoing Subawards

For outgoing subawards, when the subaward was included in the University proposal, and approved by the Sponsor, a subaward agreement is prepared:

  • PI and Financial Administrator review award.
  • The Financial Administrator requests a current workscope, budget/justification and contact information from the Subrecipient.
  • The Financial Administrator uploads the Outgoing Subaward Request Form and required documents in the Update Subaward view in AURA. The Financial Administrator then should notify the URA Manager for the award that the documents have been uploaded to AURA.
  • The URA Manager drafts the subaward and returns to PI and Financial Administrator for PI concurrence so that it can receive institutional endorsement.
  • The partially executed PDF document is then emailed to the appropriate office at the Subrecipient’s institution for execution.

Life of a Subaward – Outgoing

In general, the life of a subaward will go through the following stages:

1. UC receives prime award

  • PI and Financial Administrator review award to determine if a revised budget and/or workscope is needed for the Subrecipient
  • The Financial Administrator requests a current workscope, budget/justification and contact information from the Subrecipient.

2. UC issues subaward for budget period awarded

  • Subrecipient submits invoices to the Financial Administrator. Financial Administrator monitors, tracks and pays subaward invoices for costs that are allowable and within the performance period of the subaward agreement. The administrator checks the invoice to ensure it is consistent with award budget (check also for a cost sharing expenditure report, if applicable) and the PI attests that the invoice appears reasonable in light of the Subrecipient’s progress reports. The Subrecipient Payment Authorization Form, Subrecipient invoice, Direct Payment Voucher and any explanations required by the Subrecipient Payment Authorization Form are sent to the Sponsored Award Accounting Section of the Comptroller’s Office. It’s recommended that the Financial Administrator also keep a spreadsheet on payments made and balance available.
  • Communicate early and often about any financial or technical progress report information required by the sponsor; if the sponsor requires approval for carryover of funds from one budget period to the next, Subrecipient must submit a request to The University of Chicago for carryforward.

3. UC receives prime award for subsequent budget period

  • Review award for any new terms and conditions that need to be flowed down to the Subrecipient; address issues of budget and carryover with the Subrecipient; obtain budget for new budget period.

4. UC issues an amendment or modification to the Subrecipient for each new budget period

  • Extend performance period, include budget for new budget period (include carryover funds if applicable), revised workscope (if applicable) and any other new terms/conditions or changes that need to be addressed. The Financial Administrator iniates these continuations by creating a concurrence request in AURA.

5. Continue through step 2 through 4 until the end last budget period.

  • Communicate early and often about final financial and technical report information required by the sponsor.

6. Closeout the subaward.

Through the life of a subaward, any change can be addressed with an amendment or modification:

  • Change in PI
  • Change in performance period
  • Change in workscope
  • Revised budgets
  • Reporting requirements
  • Change of institution (PI from original Subrecipient institution may move to a new institution. This requires closing out the original subaward; approval from the sponsor to add the new institution as a Subrecipient.) This action will require the same information required for establishing a new subaward: workscope, budget, F&A agreement. This request must be routed through URA.
  • Termination of the subaward agreement.

Subaward agreements are initiated when the Financial Administrator creates a concurrence request in AURA. The URA Manager prepares and signs all subaward agreements and subsequent amendments/modifications.

Incoming Subawards

With incoming subawards, the prime awardee will request a workscope, budget/justification, and contact information in order to issue its subaward agreement to the University. The appropriate account(s) will be created and the University will invoice the prime awardee (through Financial Services) according to the schedule stipulated in the agreement.

Non-Research Subaward Agreements

Because of the special needs of such agreements, the local administrator should contact URA who will work with the Office of Legal Counsel to prepare an agreement appropriate to the requirements of the project.

George Herbert Jones Laboratory

PSD LBC Main Office

Jones Laboratory: 5747 S. Ellis Avenue, Chicago, IL 60637

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Eckhart Hall

PSD LBC Satellite Office

Eckhart Hall: 5734 S. University Avenue, Chicago, IL 60637

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Gordon Center for Integrative Science

Chemistry Business Center

Gordon Center for Integrative Science: 929 E 57th Street, Chicago, IL 60637

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