During Award

Last updated: 05/30/2019 - 3:57pm

 

Information frequently requested by ASU units

 

My Subrecipient has never worked with ASU before. How can I help them become familiar with our institutional requirements?

The Subawards team has prepared information specifically to assist subrecipients with administrative and fiscal management responsibilities resulting from subawards issued by ASU.  Please provide your colleagues at the subrecipient institution with the following link:   https://researchadmin.asu.edu/subawards/subrecipient-information.  

Can a subaward be issued prior to receipt of an award to ASU?

It is not ASU’s practice to issue subawards until the award has been received and is accepted by ASU.   Issuing subawards prior to this time invites risk to the university and the unit.   If the project is not awarded or received in a timely fashion, any funds advanced to the other entity could be lost.   Therefore, entities who decide to begin the project before receipt of the subaward must use their own internal processes to determine risk and  decide whether or not to issue an “at-risk/advance” account.   The entity does so at their own risk and the ASU PI make no monetary promises to the other university.

Who drafts the subaward agreement?

The PNT subawards team will review the documents received from the subrecipient to determine the appropriate agreement.   Once drafted, the agreement is sent to the ASU PI to review, comment, and approve.   It is only at this point that agreement will be sent to the subrecipient for their review and signature.

How many agreement types does ASU issue?

ASU has six main types of agreements.   Each of these serve as the basis for beginning the drafting process.   They are modified to suit the particular circumstances.

Type of Agreement

When Used

Federal Demonstration Partnership (FDP) Subagreement

Used in instances when the award is a Federal Sponsor

The following Federal Agencies have established subaward template agreements: AFOSR, AMRMC, ARO, DOE, EPA, NASA, NIH, NSF, ONR, USDA

For federal sponsors not listed, a FDP template subagreement may be utilized and the prime sponsor special terms and conditions inserted in an attachment to the agreement

Subcontract

Used in instances when the award is a non-federal contract

Subagreement

Used in instances when the award is a non-federal grant or cooperative agreement

Letter of Understanding (LOU)

Used in instances when ASU is collaborating with another University in the State of Arizona (e.g.. University of Arizona or Northern Arizona University)

Authorization to Proceed (ATP)

Used in instances when ASU has not yet received the award. This may only be used in an at-risk instance.  A subaward agreement will be issued at a later date when the award is received.  

Foreign Subagreement

Used in instances when the subrecipient is a Foreign entity

 

How are changes to the subaward requested?

After a subaward is setup, a modification to the subaward agreement is necessary if there is a change to any of the following:

  •  ASU PI

  • Subrecipient key personnel

  • Transfer of subaward to another institution

  • Statement of work

  • Budget

  • Period of performance

  • Other terms and conditions

A modification to a subaward agreement may be prompted if a modification to the prime award is received by AMT or the department submits an ORSPA Action Form (OAF) to notifications@asu.edu. If  requesting a modification to change the statement of work or budget/budget justification, send revised versions of these documents to notifications@asu.edu
 

Where should Subrecipients send Invoices?

Subrecipients are required to submit invoices to awards.management@asu.edu on a monthly or quarterly basis, depending on the terms and conditions of the agreement. Once received, the AMT GCO conducts an initial review and routes the invoice to the PI for approval.  Once the PI gives his/her approval, AMT provides sponsored approval, and then sends the invoice to Accounts Payables for processing and payment.

 

HOW ARE SUBAWARD INVOICE PAYMENTS PROCESSED?

  1. AMT receives subaward invoice.

  2. AMT ensures the invoice is prepared in accordance with the requirements of the subaward.

  3. In the event of any issues with the invoice, AMT will work directly with the subrecipient to correct the invoice.

  4. Once reviewed, AMT will send the subaward invoice to the PI for approval.

  5. Once PI approval is received, AMT will send the subaward invoice to Accounts Payable to be entered into Workday for payment. 

  6. Once in Workday, the supplier invoice will be routed to the Grants Manager for approval.

  7. Once the Grants Manager approves, AP will release payment.

What should an ASU PI consider when reviewing an invoice from a subrecipient?

PI should confirm that:

  • The invoice is for the right account

  • The invoice is for expenditures within the period of performance

  • The cumulative amount is less than or equal to the subaward total

  • Expenditures are allowable, allocable and reasonable for work performed to date

  • Required deliverables have been received (e.g.., progress reports, technical reports etc.)

  • The expenses align with the subaward budget

How are time and funds extensions requested?

The PI will receive an automatically-generated Sponsored Project Notice stating that the project account is ending within 60 days. Below is additional guidance based for the scenarios described in the notice:

Action Sufficient Funds Remain in Parent and/or Child Account Insufficient Funds Remain in Parent and/or Child Account
Additional Time

Complete an ORSPA Action Form requesting that the subaward be modified.  Don’t forget to include a reason for why the additional time and/or funds are needed by the subrecipient.

Send to notifications@asu.edu

 

 

Confirm the additional funds are coming from the sponsor.

If yes, advise subrecipient that additional funds have not yet arrived from the sponsor and that the modification will need to wait for the new funds to arrive.   Do not promise the subrecipient additional funds.   They can only be provided to the subrecipient when/if additional funds arrive at ASU.   ASU will only issue modifications after receipt of funds.   If the subrecipient wishes to continue the project without a modification, they must do so at their own risk.

If no, additional funds may be not provided to the subrecipient unless additional funds come in from sponsor.

Additional Funds

Confirm whether the sponsor allows for a no cost extension of the parent account.

If yes, complete an ORSPA Action Form requesting a no cost extension sufficient to allow the project subaward to be completed.

If no, the child account may not be extended past the current end date of the parent account.

Additional Time and Funds:  Review the sections on time and funds above.   Take the action(s) noted.

What steps must the unit  take to closeout a subaward if there will no time or additional funds?

The unit must ensure that the final invoice is received from the subrecipient and that is reviewed and approved no later than 60 days after the end date of the subaward.  The PI should also receive the final technical report within the 60 day period.

Audit Documentation

Adequate audit documentation must be maintained to demonstrate compliance with ASU, Sponsor, State, Federal, and other applicable requirements.  The unit is the only location technical reports received from subawardees are maintained.  The Proposal & Negotiations Team (PNT) manages all ASU-issued subagreements, and can help identify any requirements specific to the particular sponsored agreement.  Typically, subaward agreements and expenditure support are maintained centrally with Research Operations.

Direct all audit inquiries to the Fiscal Oversight Team of Research Operations, which serves as the audit liaison for all sponsored audit and review requests (FIN 205-01 / RSP 510-02).  For additional information and frequently asked questions, see the Audit Readiness tab on the Financial Accountability sitelet.

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