Subcontracts

1. Subcontracts New Policies/Procedures Brown Bag March 24, 2010 Deb Fisher, Director ORS Preaward

2. ORS Subcontract Personnel • Flossie Perry – Subcontract Administrator • Susan Pomponio – Sr. Subcontract Administrator • Tina Hunt – Subcontract Admin. Assistant • Kim Garrison – Director, Post Award Administration • Tina Nemetz – Subcontract Assistant • TBD – Subcontract Associate Director

3. Subcontracts Focus Group • Deborah Fisher, Research Services • Angela Hay, School of Medicine • Tina Hunt, Research Services • Gayle Meadows, School of Medicine • Tina Mellon, School of Arts and Sciences • Peggyanne Molli, School of Arts and Sciences • Linda Nace, School of Medicine • Flossie Perry, Research Services • Susan Pomponio, Research Services • Christine Zay, School of Arts and Sciences

4. Subcontract Statistics • First qtr. 2010: 146 new subcontracts and 76 modifications – 36% increase from first qtr. 2009 • 90% increase in number of BA memos in February from average over the last 12 months – shows effectiveness of new mailbox.

5. Subcontract Process • Receipt of Subaward request form • Determination of package completeness • Subrecipient monitoring • Assembling subaward and sending to subrecipient • Receipt of executed subaward and final execution • Issuance of notice to dept. BA to process PO

6. SUBAWARD REQUEST FORM (draft)

7. Receipt of Subaward request form • Challenge in distributing and tracking the volume of requests received • Establishment of dedicated email account • One person responsible to assign requests based on fund number • Subfolders allow tracking of request status from receipt until completion • Mandatory use of PennERA activity log as status source available to the department

8. Determination of package completeness • More than half of the subaward request forms received are incomplete • What information does ORS need and why? • Revised form content and format for easier completion • Decision regarding responsibility for obtaining certain information and documentation has affects on processing time at ORS

9. Subrecipient Monitoring • Converting from a “reactive” to a “proactive” approach • New procedure to request A-133 reports as well as financial reports from all current sub-recipients beginning each April. • Current recommendation remains that departments should request foreign subs at, or close to, the time of proposal rather than waiting until the award is received.

10. Assembling subaward and sending to subrecipient • Template choices, sending signed or unsigned agreements, distribution process • Thorough review of all available templates – decision on appropriate templates for use – central location for easy access • New policy to send subcontracts unsigned when all documentation is not yet available • New policy to send all subcontracts electronically to both subrecipient sponsored programs official and dept BA when identified

11. Receipt of executed subaward and final execution • Executed subcontracts being received different places at ORS • Cover letter clearly states that subcontracts should be sent electronically to subcontracts@lists.upenn.edu • Subcontracts received by ORS staff are to be forwarded to same email address • Subcontracts received hard-copy are scanned and sent to same email address

12. Issuance of notice to dept. BA to process PO • Lag time in issuance of BA memos – responsibility for new vendors • One person responsible for issuance of BA memos. • BA memos issued electronically • Dept BA’s responsible for identifying and establishing new “suppliers” with Purchasing.