When Stanford is a Subrecipient
When Stanford is being incorporated into another institution's proposal as a subrecipient the Stanford subaward proposal must be reviewed and institutionally endorsed by Stanford like any other sponsored project proposal. Stanford subaward proposals should always be reviewed and institutionally endorsed before being submitted to the other institution aka the pass-through-entity (PTE).
For proposals submitted through the School of Medicine’s Research Management Group (RMG), the PI/ department should within the Stanford Electronic Research Administration (SeRA) system complete a Proposal Intake Form (PIF) in SeRA and submit to RMG for intake and processing (recommended at least 30 days in advance of the sponsor deadline). The Research Process Manager (RPM) will then follow up with a draft budget, internal deadlines, and proposal guidance as needed.
For proposals submitted through the Office of Sponsored Research, the PI/ department should within the Stanford Electronic Research Administration (SeRA) system complete a Proposal Development Routing Form (PDRF) in SeRA and submit to OSR for intake and processing in accordance with the Stanford internal proposal deadline policy.
- When Stanford will be a subrecipient the selected agreement type on the associated SeRA PDRF should be subcontract.
- Attach to the SeRA PDRF both the program guidelines for the prime proposal as well as any instructions/guidelines provided by the PTE in addition to all other standard PDRF attachments.
At the Time of Award
The Office of Sponsored Research is the institutional office that negotiates and accepts all incoming subawards at Stanford.
View who will negotiate and accept your incoming subaward via the OSR Institutional Official Contacts and Department Assignments
When Stanford is a subrecipient the pass-through-entity (PTE) may request that Stanford complete the Federal Demonstration Partnership (FDP) Attachment 3B to provide subrecipient contact information. Below is a sample FDP Attachment 3B for Stanford.
The PTE may also request certification forms regarding Stanford’s single audit status. These forms can be sent to firstname.lastname@example.org for completion, authorized signature, and return to the PTE. For quick reference, most institutional information requested by the PTE can be found on the DoResearch Institutional Facts page.
If you have questions regarding the Attachment 3B or PTE audit certification forms, please contact your OSR Contract and Grant Officer.
Terms and conditions
When Stanford is a subrecipient the award agreement we receive from the PTA may include terms and conditions that are more restrictive than the prime agreement from the prime sponsor. It is critically important for research administrators managing incoming subawards to follow the order of precedence of the terms for the award.
Prior Approval Requests
When Stanford is a subrecipient, any sponsor prior approval requests, including but not limited to any significant reduction of PI and/or senior key personnel effort, should be initiated through the appropriate SeRA Central Office Request and ultimately submitted from a Stanford Institutional Official to a business official at the PTE and should NOT be submitted directly to the prime sponsor.
Incoming subawards are invoiced and collected by the ORA Sponsored Receivables Management (SRM) Team. However, some PTEs request additional documentation of expenses and/or reporting to accompany invoices. When project invoicing requires this type of documentation, strong communication between ORA SRM and the department is necessary to ensure the requirements are met.
If project invoicing is based upon deliverables, it is critically important that the department provide ORA SRM notification when a deliverable or milestone is met so invoicing can be completed. Establishing timelines and check-ins on progress may be helpful to stay on track.
Incoming subawards are closed out at Stanford very similar to other sponsored projects. The managing department must ensure all Stanford expenditures have been incurred so that Stanford can accurately report to the sponsor and conclude any final sponsor billing. This includes PI & Key Personnel effort having been appropriately charged to the project in accordance with the award’s terms & conditions.
A PTE in their subaward to Stanford may…
- Specify a shorter closeout timeline than the standard 120 days we have for awards made directly from most sponsors (refer to your subaward terms and conditions) or…
- Give Stanford an earlier end date or shorter final period of performance than the prime award
Either of these options may occur in order to allow the PTE sufficient time to collect all of Stanford’s final expenditure and technical information to incorporate into their prime award closeout.
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