Restricted categories, such as Subaward and Participant Support reallocations, are administered by the Office of Contracts and Grants (OCG) due to the restricted nature or potential sponsor approval required. The distinction between unrestricted and restricted funds is maintained through the use of separately balanced groups of accounts in order to provide acceptable reporting of stewardship to donors and other external agencies. Sub and participant support funding are accounted for separately in the financial system.

  • A subaward change may include adding a new subaward after award acceptance, altering subaward funding, or transferring a subaward from one entity to another.
  • A participant support reallocation involves reducing or increasing funding to a Participant Support category approved by the sponsor.

Sponsor Award Budget approved categories are derived from the Sponsor Budget provided on the Notice of Award document and input into the Award and Financial database as of September 2018.

The Subaward and Participant Support Reallocation form is used to determine what amount of funds are moving to and from the restricted fund categories. The University of Colorado Boulder Department/Institute should reference the current available financial information to fill the form accurately. Prior to the change, please email the form to ocg@colorado.edu where our team will distribute the information to the appropriate Contract/Grant Officer and Subaward Officer to determine next steps, such as attaining sponsor approval or deobligating an existing subagreement. If you have specific questions please contact your Contract/Grant Officer.

Subaward and Participant Support Reallocation Form

Steps for Completing Reallocation

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  1. Notify OCG of intent to reallocate Subaward or Participant Support Costs

    • PI and Department Fiscal Manager complete Subaward and Participant Support Reallocation Form and return to ocg@colorado.edu.
    • PI/Department is responsible for determining the applicable funds required for reallocation and assuring the availability of funding in indicated account codes being deobligated.
    • If a new Subaward is intended to be added, provide the subcontract proposal documents if they have already been obtained.
    • Internal revised budget (estimation tool) is not required at this point.

     

    Subaward and Participant Support Reallocation Form

  2. Notification to applicable Contract/Grant Officer and Subaward Officer

    • OCG loggers will determine if the project is identified as Grant or Contact and will forward the request to the appropriate officer; the appropriate Subaward Officer will also be included in the notification, unless the reallocation is for participant support costs only.
    • Award Officer will determine level of sponsor approval that is required; Subaward Officer will initiate deobligation of existing sub(s) if applicable to request. Contract/Grant Officer and Subaward Officer will be in close communication to coordinate next steps. For more information, please watch the Removing Funds from a Subrecipient video.

  3. Sponsor Approval is required

    • Contract Officer/Grant Officer will inform the department of the required documentation that needs to be collected.
    • Required subaward documents are: Sole Source Justification (contracts only), Sub Budget, Sub Budget Justification, Sub Scope of Work, Subrecipient Commitment Form (or letter if part of FDP Clearinghouse), Indirect Cost Rate Agreement.
    • Revised Project Budget: required if necessary for Sponsor approval. PI/Department is responsible for revising internal budget or sponsor formatted budget if specific format is required by the Sponsor. OCG is not responsible for verifying totals or the availability of funds. Contract/Grant Officer may direct PI/Department to Proposal Analyst if in-depth assistance is needed.
    • Once required documentation has been obtained, Contract Officer/Grant Officer will formally submit request to Sponsor.
    • Once Approval is received, Contract/Grant Officer will process Reallocation Approval within infoEd.
    • If Reallocation includes the addition of a Sub, Subaward Officer will be notified to initiate official Sub agreement.

  4. Sponsor Approval is not required

    • Contract/Grant Officer will process Reallocation Request within infoEd.
    • If Reallocation includes the addition of a Sub, Subaward Officer will inform the department of the required documentation that needs to be collected, if it has not yet already been obtained.
    • Required subaward documents are: Sole Source Justification (contracts only), Sub Budget, Sub Budget Justification, Sub Scope of Work, Subreceipent commitment (form or letter, as appropriate), Indirect Cost Rate Agreement.
    • Once required documentation has been obtained, Subaward Officer will initiate official Sub agreement.

  1. Notify OCG of intent to reallocate Subaward or Participant Support Costs

    • PI and Department Fiscal Manager complete Subaward and Participant Support Reallocation Form and return to ocg@colorado.edu.
    • PI/Department is responsible for determining the applicable funds required for reallocation and assuring the availability of funding in indicated account codes being deobligated.
    • If a new Subaward is intended to be added, provide the subcontract proposal documents if they have already been obtained.
    • Internal revised budget (estimation tool) is not required at this point.

     

    Subaward and Participant Support Reallocation Form

  2. Notification to applicable Contract/Grant Officer and Subaward Officer

    • OCG loggers will determine if the project is identified as Grant or Contact and will forward the request to the appropriate officer; the appropriate Subaward Officer will also be included in the notification, unless the reallocation is for participant support costs only.
    • Award Officer will determine level of sponsor approval that is required; Subaward Officer will initiate deobligation of existing sub(s) if applicable to request. Contract/Grant Officer and Subaward Officer will be in close communication to coordinate next steps. For more information, please watch the Removing Funds from a Subrecipient video.

  3. Sponsor Approval is required

    • Contract Officer/Grant Officer will inform the department of the required documentation that needs to be collected.
    • Required subaward documents are: Sole Source Justification (contracts only), Sub Budget, Sub Budget Justification, Sub Scope of Work, Subrecipient Commitment Form (or letter if part of FDP Clearinghouse), Indirect Cost Rate Agreement.
    • Revised Project Budget: required if necessary for Sponsor approval. PI/Department is responsible for revising internal budget or sponsor formatted budget if specific format is required by the Sponsor. OCG is not responsible for verifying totals or the availability of funds. Contract/Grant Officer may direct PI/Department to Proposal Analyst if in-depth assistance is needed.
    • Once required documentation has been obtained, Contract Officer/Grant Officer will formally submit request to Sponsor.
    • Once Approval is received, Contract/Grant Officer will process Reallocation Approval within infoEd.
    • If Reallocation includes the addition of a Sub, Subaward Officer will be notified to initiate official Sub agreement.

  4. Sponsor Approval is not required

    • Contract/Grant Officer will process Reallocation Request within infoEd.
    • If Reallocation includes the addition of a Sub, Subaward Officer will inform the department of the required documentation that needs to be collected, if it has not yet already been obtained.
    • Required subaward documents are: Sole Source Justification (contracts only), Sub Budget, Sub Budget Justification, Sub Scope of Work, Subreceipent commitment (form or letter, as appropriate), Indirect Cost Rate Agreement.
    • Once required documentation has been obtained, Subaward Officer will initiate official Sub agreement.