Establishing Subawards to External Collaborators A Step by Step Guide

1. Establishing Subawards to External CollaboratorsA Step by Step Guide April 8, 2014 OSP Coffee Break

2. Will the work and funds be shared with an outside entity? Yippee!

3. If yes… Don’t forget there are strings attached! So, know the rules before you share!… Clearly define the work you are sharing!

4. Subawards • Make programmatic decisions within the agreed upon scope of work • Would be considered a PI or Co-PI if at SU • Minimal direction from SU • Measured against prime sponsor requirements • Work benefits the sponsor

5. Step #1Request to Issue • PI/Project Staff prepares and submits the Request to Issue a Subaward to OSP • The Statement of Work and Budget must be included. • This document is used as a guide to draft the subaward agreement • Request to Issue

6. Step #2Subrecipient Assessment • OSP follows Subrecipient monitoring process to assure compliance with requirement and SU policy. • Past experience and review of entity documents (next slide) are used to evaluate any risks associated with engaging them on a sponsored project. • The identified risk will be used to determine specific risk mitigation strategies that can be written into the subaward agreement.

7. Subrecipient Review Summary Note: this process can take some time!

8. Step #3Subaward Agreement • OSP will draft, negotiate and execute the subaward agreement. • Copies of the agreement will be forwarded to the PI and Department Administrator when finalized. • Subaward agreements determine the rules for managing your collaborator. • Subaward Agreements – Standard or FDP

9. Step #4Create Subaward Commitment • OSP submits an E-pro Requisition to establish the applicable commitments reserving funds for the amount of the subaward. • E-pro workflow forwards this request to the department for approval. • Subaward invoices are posted against the commitment as payments are approved. • Use FAB and OSP to monitor your subaward commitments.

11. Subcontracts

12. Managing Subawards • On-going Activities • Monitoring the quality of work/progress is a PI/Department staff responsibility • Manage Subaward Invoices • OSP will Pre-Audit invoices by reviewing for consistency with the agreement and then forwarding them to the PI or Designee • The PI or Designee will review and approved invoices for payment • Submit Request to Modify a Subaward as needed • Annual Subrecipient Review is performed by OSP throughout the life of the subaward. • Closeout

13. Questions?