How To

Set up a subaward.

Once a sponsored project award is accepted by Stanford University and an account (PTA) has been set up, the department submits a request to issue a subaward by processing a requisition through Oracle iProcurement.

  

The requisition documents: the desired subrecipient, the funding amount authorized by the PI for the subaward and the period of performance. OSR is not authorized to issue a subaward until an approved requisition and specific documents are on file. A Stanford PI or designee may not authorize a subrecipient to begin working without a fully executed subaward agreement in place.

Subawards are typically not issued for more than one year at a time to ensure adequate monitoring of the technical  progress to date and compliance with federal audit requirements. In no event can a subaward be issued for a period of time that extends before or after the period of performance of Stanford’s prime award.

The requisition should include any special requests that may be required, or that the PI may want included in the agreement, such as the following.

  • Particular payment schedules or terms
  • Increased invoicing requirements
  • Required deliverables
  • Prior approval requirements such as: rebudgeting restrictions and carry forward restrictions
  • Any concerns or prior issues in dealing with this subrecipient

Documents Required for a Subaward to be Drafted

The following items must be present in order for OSR to begin drafting the subaward agreement.   Though documents may have been collected at the time of proposal, some elements such as the subrecipient budget may have changed.  The administrator should attach the following items to the requisition.

  • Subrecipient Statement of Work
  • Subrecipient Budget that aligns with the amount of the requisition
  • Subrecipient’s OSR Form 33
  • OSR Form 45 (only if the prime is a federal contract)

Elements Required for a Subaward to be Signed & Issued

As part of its subaward issuance process, OSR will ensure the following are in place.

  • Audit Certification & Financial Status Questionnaire (OSR Form 47)
  • Applicable rate agreements
  • Applicable compliance approvals (e.g. IRB, IACUC)
    • Copy of subrecipient’s protocol approval
    • Incorporation of subrecipient in Stanford’s approved protocol as a collaborating/performance site
  • Verification of subrecipient debarment & suspension status
  • Other applicable documentation to comply with prime agreement requirements

As part of the issuance process, OSR performs a risk analysis of both the project-specific elements and the potential subrecipient.   The risk analysis process helps the OSR official draft a customized subaward agreement specific to the subaward.  It is also a federal requirement to conduct a risk analysis prior to subaward issuance.

Filed under Subawards

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