Subaward Preparation

Subaward Preparation

What is a Subaward?

Research endeavors often require the collaboration of multiple investigators. Rutgers may seek to enter into a subagreement with an outside institution in order to collaborate research efforts on an award.

The Prime institution is responsible to the sponsor for the work of any collaborator on a project. The issuance of subagreements involves many important considerations, such as determining the appropriate type of subagreement to use and the appropriate terms and conditions to include in any agreement, based on a risk assessment by the Prime institution. Please see subaward processing (link to subaward processing) for more information.

Please contact RU_SUBAWARDS@grants.rutgers.edu with any requests or inquiries regarding subawards.

Including Subawards in Proposals

If a potential subagreement is anticipated, the Prime institution must collect relevant documents from any potential Subaward institution(s) for submission to the sponsor during the proposal stage, including:

  • Statement/Letter of Intent: Required of potential Subaward institutions during the proposal stage. This form serves as an indication of a potential research collaboration as well as confirmation that the Subaward institution is prepared to make every effort to enter into an appropriate agreement, should an award be made. Other institutions also typically require a statement of intent when Rutgers is the Subaward Institution.
  • Subrecipient Commitment Form: Required of potential Subaward institutions when Rutgers is the awarding Institution. This form collects all necessary disclosure information from the subrecipient, such as compliance and institutional contact information. Other institutions typically require similar forms be completed when Rutgers is the Subaward Institution. Rutgers’ institutional information  can be useful in completing documents sent by an outside institution.

  • Scope of Work: Required of the potential Subaward in order to outline expected work to be completed. Please see SOW guidelines below for more information.

  • Budget and Budget Justification: Required of the potential Subaward in order to categorize and justify expected costs of conducting research. Please see additional guidelines for budget preparation.

Subrecipient Documents are due to ORSP at 12pm Noon on 5 business days in advance of the sponsor’s proposal submission deadline. Please note that many forms require the signature of the requesting investigator as well as that of an authorized official. Downloads for associated forms can be found to the right.

Subawards vs. Service Contracts

There is an important difference between a subaward and a service contract. A research subaward is issued by ORSP and involves financial assistance activities to perform a substantive portion of the Prime Award, whereas a contractor/consultant/vendor involves the procurement of goods and services.

Note: A subaward should never be issued to an individual. Determine whether the prospective agreement is a subcontract or service contract based upon the criteria below:

Subaward vs. Service Contract

Scope of Work Guidelines

The scope of work (SOW) content should be carefully tailored to address how the subrecipient will contribute to the success of the prime award objectives. The table below provides guidance for the information detail that the scope of work should include:

Scope of Work (SOW) Guidelines