How To

Set up a subaward.

After a prime award has been accepted by Stanford and an account (PTA) has been set up, the PI or department administrator submits a requisition in Oracle iProcurement identifying the proposed subrecipient.

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 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 Issued

The department administrator attaches the following documents to the requisition. (Most were gathered and submitted at the proposal stage.)

OSR gathers the following documents.

OSR Form 33  

Subrecipient Commitment Form

33 CT

Subrecipient Commitment Form for Industry Sponsored Clinical Trials

The Statement of Work

The  Budget

The Budget Justification

One of the following:

 OSR Form 45

OSR Form 45 A

OSR Form 45 B

 

The subrecipient's F&A rate

If not included as part of the OSR Form 33

OSR Form 47

Audit Certification and Financial Status Questionnaire

IRB and IACUC Approvals

Copy of Subrecipient’s protocol approvals

Incorporation of the subrecipient in Stanford’s approved protocol as a collaborating/performance site 

 

Applicable sponsor requested information such as: updated Certificate of Cost or Pricing Data, Small/Small Disadvantaged Business Plan, etc.

 

One of the following IF UNDER FEDERAL or STATE CONTRACT:

 OSR Form 45

 Sole Source/Fair and Cost/Price Analysis

OSR Form 45 A or B

Annual Subrecipient A-133 Certification or a copy of the subrecipient's most recent A-133 audit, or the link to its record on the Federal Audit Clearinghouse

Special Requirements

the PI may wish to impose prior approval requirements, report formats, or due dates, etc

 

Filed under Subawards

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