|For an overview of subawards and specific information about basic considerations, roles/responsibilities, as well as activities related to pre- and post-award activities, visit the Subawards sitelet.|
Verify that all information required at proposal time was completed. If any documents are missing, they must be provided as soon as an award notification from the prime sponsor is received. If the scope of work or budget/budget justification have changed since proposal time, revised versions must be provided. Request these and IACUC/IRB approval from the subrecipient organization - if applicable.
In addition, the ASU PI must complete the following:
- Sole source justification
- Cost/Price Analysis and Sole Source Justification Form - Under 100K
- Cost/Price Analysis Form - U.S. University or Non-Profit Subrecipients - Over 100K
- Cost/Price Analysis Form - Commercial or International Subrecipients - Over 100K
Subawards will not be setup until all of these documents and any other additional documents requested by PNT Subawards are received.
Each subaward will be set up as an individual account. In accordance with ASU’s negotiated rate agreement for federal sponsors, the first $25K of the subaward will be encumbered under object code 7314 (full F&A charged). The balance exceeding $25K will be encumbered under object code 7315 (no F&A charged). It is important to confirm the amount is encumbered correctly. Incorrect encumbrance can result in either an over- or under-encumbrance of F&A.
- For non-federal sponsors that do not pay the full F&A rate, the entire balance of the subaward may be encumbered under object code 7314 (assuming the sponsor does not have a stipulation prescribing a restriction).
Subaward invoices are normally received by the Award Management team and forwarded to the PI for review and approval. The RA or the unit's public email box will be copied on the email. The Award Management team will ensure the invoice is prepared in accordance with the requirements of the subaward. The PI of the project is responsible for reviewing and approving invoices. When approving the invoice, the PI is certifying that they are satisfied with the progress/results of the subawardee.
- If the PI/RA receives the subaward invoice directly from the subawardee, the invoice should be forwarded to email@example.com for processing. If the PI has reviewed and approved the invoice, the PI’s approval should be forwarded along with the invoice to firstname.lastname@example.org to avoid duplication of effort.
PI Oversight of Fiscal & Programmatic Performance
The subawardee's technical progress and invoicing should be reviewed on a quarterly basis at a minimum. Because each subaward is set up in its own account, the balance can be viewed using the SuperReport in the Dashboard.
- If the subaward account is not showing any expenditure for 3-4 months, the RA should contact the assigned GCO to confirm no invoices have been received by ASU.
- If no invoices have been received, the PI/RA staff should follow up with the subawardee to investigate why there is a delay and encourage timely invoicing.
Paperwork regarding potential expenditures should be kept together and organized for ready accessibility and in a way that is easily understandable by anyone who would require access in the event of an audit or the absence of a record keeper per FIN 103.
The PI may have received an automatically-generated Sponsored Project Notice stating that the project account is ending within 60 days. Below is additional guidance based on the three scenarios described in the letter.
Additional time and/or funding is expected from the sponsor:
Contact the Unit/Department RA staff notifying that the plan is to extend or close the subaward once the award modification is received. The RA will initiate an OAF request to ORSPA on the PI’s behalf.
Additional time and/or funds is not expected from the sponsor but a No-Cost Extension is needed to continue work on the project:
Contact the Unit/Department RA notifying them if of the need to extend or close the subaward once the no-cost extension is approved. The RA will initiate an OAF request to ORSPA.
Additional time and/or funds from the sponsor and do not need additional time to complete the work on the project:
Notify the assigned RA staff who will send an email to email@example.com confirming the closeout of subaward can commence. The subaward closeout process will automatically commence 60 days from the subaward end date if a request for extension is not received.
UNIT/DEPT ADMINISTRATOR (I.E.. RESEARCH ADVANCEMENT STAFF, BUSINESS OPERATIONS MANAGERS)
A Sponsored Project Notice stating a sponsored account within the unit is ending within 60 days may be received by the RA. Perform the following actions:
Confirm subawardees are current on submission of invoices; work with PI to develop SOW and budget if not included in the original subaward request. Complete an ORSPA Action Form, if subaward(s) need to be extended and/or additional funds added. (NOTE: subawards can be extended only if the parent project account will be as well.)