Initiating a Subaward Requisition
After a prime award has been accepted by Stanford and PTAs have been set up, the PI or his/her authorized administrator must submit an iProcurement Standard Subaward Requisition to start the subaward agreement issuance process.
- Subaward requisitions automatically route to OSR. Please do not add an OSR staff member to the routing list in Oracle.
- To minimize delays in processing, OSR's Subrecipient Monitoring Associate reviews each subaward requisition prior to department/school approval of the requisition to ensure compliance and completeness, including the ensuring correct expense coding for each line on the requisition.
- If any required subaward documents were not included in the requisition, the requisition may be returned to the subaward requisition initiator with the request that the missing documents be attached to the requisition prior to it being resubmitted for approval.
- Following OSR approval, the subaward requisition routes to the dept./school approver(s) associated with the PTA(s) funding the subaward requisition. The PTA approver(s) authorizes the PTA(s) to be utilized to fund the subaward agreement.
- Once the requisition is fully approved, a SeRA transaction is created to process and assign the subaward in OSR.
OSR does not begin drafting a subaward agreement until an approved subaward requisition and required documents are received by OSR. Requisitions should be submitted as soon as possible once the prime award has been accepted by Stanford and the associated PTA(s) has/have been setup and is/are active given the negotiation process for new subawards can be lengthy depending on the subrecipient size, type, location, industry, experience with managing federal funding, etc.
The requisition initiates the subaward transaction process, specifies the subrecipient, funding amount and performance period for the subaward. Subawards are issued with a one-year period of performance to ensure adequate monitoring of technical progress and compliance with university and sponsor audit requirements.
Change order requisitions are required for each subsequent funding year to add time and funding to the subaward. Subawards cannot be issued for a performance period outside of Stanford’s prime award performance period. A Stanford PI or designee may not authorize a subrecipient to begin work without a fully executed subaward agreement in place, however a subrecipient may commence work at their own risk.
Department administrators should check for an active supplier or payee record in the university’s database before requesting a new supplier or payee setup. Information on how to search for an existing supplier or payee record, reactivate a supplier or payee, create a new address site, or request a new supplier or payee record, can be found on Fingate’s Make a Supplier or Payee Request page.
Required documents and other important information to be attached or included in the requisition
- Statement of Collaborative Intent known as the OSR Form 33 (ensure complete and signed)
- Scope/Statement of Work (SOW)
- Budget (to match requisition amount)
- Budget Justification
- Fair & Reasonable Cost Price Analysis and Sole source Justification known as the OSR Form 45 (if Federal Contract)
- IRB/APLAC approvals (if applicable and available)
Department is also responsible for
- Incorporation of the subrecipient in Stanford’s approved protocol as a collaborating/performance site (done in eProtocol)
- Applicable sponsor requested information such as: updated Certificate of Cost or Pricing Data, Small/Small Disadvantaged Business Plan, etc.
- If needed, prime award sponsor approval to issue a subaward or any other prior approvals
Department should include the following information as applicable
- Special requests or terms PI or administrator may want included in the subaward agreement
- Required prior approval by Stanford/PI for actions such as: rebudgeting of funds across line items or carry forward of remaining funds to the next budget period
- Required deliverables or progress reports as condition for additional funding or time
- Specific payment terms or schedules
- Specific invoice detail or backup Increased requirements
- Any concerns or prior issues in dealing with the subrecipient
Any documents that are not provided as part of the requisition or are not complete and accurate, may delay the issuance or negotiation of the subaward agreement.
From Subaward Requisition to Fully Executed Subaward Agreement
Once a subaward requisition is submitted, please monitor the status of the requisition in Oracle until all departmental approvals have been completed and the requisition has routed to OSR.
To view a subaward requisition’s status in Oracle:
- Log in to Oracle Financials
- Click on SU Inquiry Tools and Forms
- Click on Requisition and Purchase Orders Query
- Search by the Requisition Number
- Look at the Requisition Approval List
Once OSR receives the fully departmentally approved subaward requisition your OSR Contract and Grant Officer (CGO) will review the requisition. Assuming the requisition is complete and includes all the requisite documents, the CGO will draft the subaward agreement and begin the subaward negotiation process with the subaward entity. You can track to status of the subaward negotiation by viewing the comments in the relevant SeRA subaward transaction.
For Subawards Being Issued off of Sponsored Awards i.e. contracts, grants, cooperative agreements etc.
- Log in to SeRA
- Click on Search in the upper right corner
- Search for and select the relevant SPO number
- Click on the Subawards tab
- Click on the relevant Requisition Number to see additional information
- Check status by viewing the comments from the CGO/CGA working on the transaction
- For any additional needed information regarding the status of the subaward negotiation, contact the Assignee showing on the upper right corner for questions
For Subawards being Issued off of University Research Awards and/or Non-sponsored Funds
- Log in to SeRA
- Click on Search in the upper right corner
- Search for and select the relevant Agreement Number, e.g., AGR123456
- See the Comment section for status
Subaward Agreement Timeline Expectations
There is no standard time in which it takes to negotiate a subaward or amendment due to the vastly different processes and policies of subrecipient organizations. Typically subaward delays are due to the time it takes to negotiate terms with subrecipients, or for subrecipients to obtain approval and signature from their authorized officials. However, the following can also cause delays in the negotiation process:
- Incorrect requisition (make sure details like dates, amounts, carryforward are accurate before submitting)
- Missing or inaccurate documents (Budget, Justification)
- Insufficient SOW (should be sufficiently detailed to be relied on for desired outcomes and in case of dispute)
- IRB/APLAC approvals not obtained by the subrecipient, or subrecipient is not in eProtocol as collaborating institution or site
- Subrecipient has not providing audit/financial docs and certification for risk assessment
- Subrecipient has not obtained their DUNS number (all subrecipients) or SAM Registration (Fed Sponsor only) or registration has expired
- Negotiation of indirect costs if the subrecipient does not have a federally negotiated rate
Once the subaward agreement is fully executed by both Stanford and the subaward entity, the SeRA subaward transaction will be finalized, and the subaward PO will be fully approved. Typically, a subaward PO is approved and becomes open for invoice uploading in Oracle within 5 business days of the subaward agreement being fully executed.