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A sub-award is an award issued under a larger sponsored research award for
the procurement of specific services or program-related tasks. Issuance of a
sub-award under a federal prime award is subject to compliance with federal
law. All sub-awards are subject to the terms and conditions of the larger
sponsored research award and the normal purchasing requirements of Dartmouth
College.
There are two basic types of sub-award arrangements:
- When Dartmouth College is the recipient of a
sub-award:
- This agreement ties Dartmouth College or the DHMC to a larger proposal
submitted by another institution or group of institutions. The prime award is
made to another institution or group of institutions, then a portion of it
distributed to Dartmouth College to complete specific tasks as part of the
larger proposal. When Dartmouth College or DHMC is part of a larger project,
the management of funds is treated as a 'stand alone' project, for financial
management purposes. While the Principal Investigator and OSP may have specific
technical and financial reports to submit to the larger project, internally the
project is viewed financially as an independent project. Facilities and
Administration Cost rates are calculated on the percentage negotiated between
Dartmouth College and the Federal government, not the hosting institution's
rate.
- When Dartmouth College is the grantor of a
sub-award:
- Work to be completed under the auspices of a Dartmouth College or DHMC
sponsored research award is contracted out to a third party. Dartmouth College
awards a portion of a sponsored research award to a third party. Usually, this
third party is brought into the project because resources or skills for
completing specific tasks are not readily available at the College or DHMC. The
intended use of the third party will be articulated in the approved proposal.
Attempts to add new sub-awards to an existing project must have prior approval
by the sponsor. All questions concerning sub-awards should be referred to staff
in the OSP. Once the proposal is awarded, staff in the OSP will prepare a
sub-award agreement, reflecting the specifics of the proposal (budget,
workplan, etc.), the appropriate sponsor's terms and conditions and the
policies and procedures of Dartmouth College. Because sub-award agreements are
written to assign a portion of the programmatic effort to another organization,
they are responsible for managing the technical and administrative aspects of
its scope or work and making progress reports to the Dartmouth College
Principal Investigator or Project Director, and financial reports to OSP.
After an award has been made to Dartmouth College, it may become necessary
to issue a sub-award not outlined in the originally funded proposal. The
Principal Investigator must prepare in writing a letter to the sponsor that
addresses the reasons for selecting a particular sub-award to complete the
work. This letter must be signed by staff in the OSP, before being forwarded by
the Principal Investigator to the sponsor.
Each Notice of Award should be reviewed for sub-awards by the Principal
Investigator and the Department Grant Administrator. If there is a sub-award
present in the sponsor's notice of award the Principal Investigator and Grant
Administrator are responsible for completing a Request for Sub-Award Form. The
form should be signed and returned to the OSP.
Quick Reference
- Sub-Awards
- Department admin reviews proposal for new/existing sub-awards
- Not in budget/proposal – prior approval (agency specific)
- Setup: Notice of Award reviewed by department, submit Request for Sub-Award
Form signed and dated to OSP Sponsored Research Manager
- Attach statement of work, budget, even if in proposal
- Carryover budget needs separate budget
- OSP Manager checks then gives to Sub-Award Coordinator to process (2 week
turnaround under normal circumstances)
- Sub-Award mailed (3 originals: 1 each for recipient, OSP and
department)
- Payment: Invoice (at least) monthly
- OSP Sponsored Research Manager sends original to department for Principal
Investigator to review for appropriate costs, work progress and signature,
- Returns signed and dated - OSP manager approves,
- Department turnaround 5 business days (from date of receipt),
- OSP turnaround 1 to 2 days,
- Original to accounts payable; copy in file.
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