A subaward to the institution should be treated like any other sponsored agreement coming to the institution. As soon as an investigator knows she or he will be included as a subawardee, a proposal record should be created in KR PD and routed appropriately. Most lead or prime institutions will want an approved budget and budget justification, scope of work, and additional materials such as a biographical sketch, current and pending support, and information on CSU facilities, equipment, and personnel in support of the project. Additionally, the prime institution will likely want a signed letter of institutional commitment. This letter will be provided by the Office of Sponsored Programs after required proposal components have been routed through KR PD.<\/p>\n\n\n\n
When CSU receives an award that includes other institutions or organizations that will be programmatically and financially responsible for completing part of the project\u2019s scope of work (subrecipients), the OSP issues a subaward agreement (aka, Outgoing Subawards).<\/p>\n\n\n\n
There are two aspects of the subaward process that should occur during the pre-award stage:<\/p>\n\n\n\n
Investigators and administrative personnel should work collaboratively to determine if collaborators outside CSU should be classified as consultants, contractors, or subrecipients. The OSP provides a checklist to aid in making this determination. Accurate determination is important for budget development and sponsor approvals.<\/p>\n\n\n\n
Once a subrecipient determination has been made, investigators and administrative personnel should collect the following information from the subrecipient:<\/p>\n\n\n\n
Collection of subrecipient information at the pre-award stage allows for accurate budgeting and calculation of indirect costs (aka, F&A costs), documentation of commitments from subrecipient organizations, subrecipient assessment for risk as required by governing regulations, and facilitation of subaward issuance once an award has been made.<\/p>\n\n\n\n
There are two aspects of the subaward process that occur during the post-award stage:<\/p>\n\n\n\n
When CSU transfers a portion of an award to another entity, we are responsible for monitoring the technical progress and financial management of the subrecipient for compliance with the award terms and conditions. Subrecipient monitoring involves the investigator, unit administrators, and the central OSP.<\/p>\n\n\n\n
In addition to subrecipient monitoring, under the Federal Funding Accountability & Transparency Act (FFATA) of 2010, entities receiving federal funding are required to report how those funds are being spent\u2014 this includes funds exceeding $25,000 that are subawarded to another entity.<\/p>\n\n\n\n
Collection of financial data, review of subrecipient invoices, monitoring of research expenditures, and collecting data for programmatic and financial reports takes a collaborative effort among investigators and administrators, both at CSU and at the subrecipient organization.<\/p>\n\n\n\n