Outgoing Subcontracts

The Nuts and Bolts

Amy Carver, Assistant Grants Officer

CREDITSThe following humorous drawings are from the

blog, hyperboleandahalf.blogspot.com

Agenda

• Process overview• A few specifics– Sub request checklist– Carry Forward– Agreements Tab– Follow Up

PROCESS OVERVIEW

Definitions

• Subcontract/Subaward: A legal instrument by which a recipient provides funds to an eligible subrecipient to perform a substantive portion of the grant-supported program or project. (NIH Glossary)

• Outgoing Subcontract: one in which Northwestern is seeking out subrecipient(s) to perform a substantive role in research being conducted by Northwestern.

Prequel: What Happens First

• Sponsor issues an award to Northwestern.• PI determines how much money to give the sub(s). • Northwestern obtains approval to issue subcontract.• RA prepares an OSR-3. Sends to the GA. • GA creates a chart string.• Note: previous agreement/amendment must be fully

executed before any additional amendment requests are made.

Asking for a Subcontract

• RA/department prepares a subcontract request…• Complete the OSR-6, -7, or ESPR form.• Include supporting documentation (e.g. budget,

SOW)• Route for signature.

Who Are Your friends?

• Is this subcontract allowed? Has it been approved? – Friend: your GO

• How much to obligate? What SOW? – Friend: PI, note: within sponsor’s approval

• Where do I get a budget? – PI and/or subrecipient• Invoices? Leftover balances? – your GCFA• I am also your friend.

Once I Receive It…

• Check the request against the prime award. • Analyze any risk the subrecipient institution or

individuals might pose.• Contact the RA about any questions or concerns. • Prepare the subcontract. • Send to the sub.• Start the InfoEd record of the subcontract’s progress.

(“Agreements” tab)

In Their Court

• Subrecipient receives the subcontract, reviews, and requests revisions (if any).

• I negotiate the subcontract with input from the RA, PI, and GO as needed.

• The sub signs and returns. • I have the subagreement counter-signed and return

it to the sub, department, and ASRSP.

Occasional Extra Loops

• Subrecipient Questionnaire• FCOI– Investigator: any person regardless of title or position who is responsible for the design, conduct, or reporting of research.

A FEW SPECIFICS

ONCE MORE - IN DETAILWhat does a good subcontract request look like?

New Subcontract

• OSR-6 form or ESPR “Request to Issue New Subaward”

• Chartstring (see “prequel”)• Documents: budget (matching the dollar amount on

the OSR-6/ESPR), budget justification, and SOW• Dates: must be inside or equal to prime award dates• NU-Chicago does not allow automatic carry forward• Any other notes for OSR or special documentation

(e.g. letter of approval from sponsor)

Amendment to a Subcontract

• OSR-7 form or ESPR “Change to Existing Subaward”/ “Continuation Subaward”

• Chartstring or SP* number• Any documentation to support change (e.g. adding

funds, include budget)• Dates: inside prime award dates, no gap in subaward

period• Reminder: indicate if carry forward is allowed• Subrecipient contact information (if changed)

CARRY FORWARD

Carry Forward Approval

• Prime award – sometimes requires carry forward approval from sponsor, sometimes not

• Outgoing subcontracts – we do not allow automatic carry forward on any outgoing subcontracts

• Who needs to approve? – Automatic carry forward on prime award: Northwestern PI– No automatic carry forward on prime award: Sponsor & PI

Carry Forward Amount

• Full amount – general language (e.g. “Carry forward is approved from year x (mm/dd/yyyy – mm/dd/yyyy) to year y (mm/dd/yyyy – mm/dd/yyyyy).”)

• Restricted (either by sponsor or PI) amount– requires specific dollar amount.

A Note on No-Cost Extensions

• A no-cost extension request on an outgoing subcontract that does not mention carry forward is essentially saying the subrecipient intends to work for free.

AGREEMENTS TABTracking your subcontract request in InfoEd

FOLLOW UP

Follow Up Responsibilities

• Subcontract GO (me) after 30 days• RA/department…– In pressing situations– Knowledge of a better contact– At will

QUESTIONS & ANSWERS

Contact Info

Amy CarverAssistant Grants OfficerNorthwestern University, Chicago Campus312-503-3170Amanda.carver@northwestern.edu

Presentation date: 3/20/14