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Compliance protocols MUST be approved and linked in SeRA to a SPO project record prior to award acceptance. 

See ORA's Award Acceptance Resources for additional information.

Modifying an Existing Subaward

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Modifying an Existing Subaward

When a subaward period of performance ends (usually annually), if the PI wishes to continue the subaward, an iProcurement Standard Change Order - Subaward requisition must be submitted to add the next year's time and funding. A contractual amendment to extend the subaward Agreement is required prior to paying any invoices after each period of performance ends.

When a Subaward Change Order requisition is submitted, the associated purchase order is reopened which prevents Accounts Payable from processing any pending and/or new invoices until the purchase order is reapproved.  Thus, prior to submitting a Subaward Change Order requisition, the department administrator should check and confirm in Oracle all invoices for the prior period have been received, reviewed, uploaded for payment and have been fully paid to ensure the reporting on the Final Financial Report (FFR) for the prior period is accurate and that invoices are NOT put on hold for the duration of the amendment negotiation.

A subaward requires a modification under the following circumstances (this is not a comprehensive list, other circumstances may warrant modification):

  • Addition of time to the period of performance
  • Addition of funding to the agreement
  • Reduction in funding of the agreement (deobligation)
    • Requisition should be for $.01 since negative amounts cannot be processed by the system. Funding will be reduced once the Amendment is fully executed 
  • Authorization of carryover (see below for additional information)
  • Alteration of any contractual terms and conditions
  • Revision of the SOW
  • Early termination of a Subaward agreement
    • Subaward agreements require 30 days written notice prior to terminating, so the desired date of termination may not be possible if the dept. has not notified the subrecipient prior to submitting the req

The following documents should be attached to the change order requisition when applicable:

  • SOW (if changed)
  • Budget (to match change order amount)
  • Prior approvals from the sponsor (such as carryforward)

For PTA change requests, please ensure there is enough outstanding commitment on the specific line you want to shift funding from before submitting the PTA change request requisition.

  1. Log in to Oracle Financials
  2. Click on SU Inquiry Tools and Forms
  3. Click on Requisition and Purchase Orders Query
  4. Search by the Purchase Order Number
  5. Scroll down and click on Show Commitment
  6. An additional column will show the Outstanding Commitment (unspent funds)

If authorizing carryover to the subrecipient:

  • Once you have recieved carryover authorization from the Sponsor (if carryover is restricted by the sponsor), a Standard Change Order - Subaward requisition must be submitted in iProcurement (receiving authorization to carryover from the sponsor will not automatticall flow down to the subrecipient, a contractual amendment is required)
  • The dollar amount of the requisition should be $.01 since the funding is already committed to the Purchase Order and is being moved, not added
  • The description on the requisition should note that the request is for carryover, the amount to carryover, and the period the funds are being carried over from
  • The sponsor authorization for carryover should be attached to the requisition
  • Check the Requisition and PO Query commitments to ensure the amount requested for carryover is available on the PO for the year you are authorizing 
  • Consult the Amendment Subaward Requisition Submission Checklist for more information

Once the subaward amendment is fully executed, funds will be moved within the Purchase Order to allow funding to be spent in the current year. This movement of funds on the Purchase Order only occurs when the funds must be moved across different PTA's. If the restriction is internal, the amendment to allow the carryover of funds is still required to authorize the subrecipient to carryover, but funding will not be moved due to all funding residing on the same PTA.