1. Outgoing Subcontracts The Nuts and Bolts Amy Carver, Assistant Grants Officer

2. CREDITS The following humorous drawings are from the blog, hyperboleandahalf.blogspot.com

3. Agenda Process overview A few specifics – Sub request checklist – Carry Forward – Agreements Tab – Follow Up

4. PROCESS OVERVIEW

5. 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.

6. 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.

7. Asking for a Subcontract RA/department prepares a subcontract request… Complete the OSR-6, -7, or ESPR form.OSR-6, -7, or ESPR form Include supporting documentation (e.g. budget, SOW) Route for signature.

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

9. 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 subcontracts progress. (Agreements tab)

10. 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.

11. 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.

12. A FEW SPECIFICS

13. ONCE MORE - IN DETAIL What does a good subcontract request look like?

14. 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)

15. 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)

16. CARRY FORWARD

17. 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

18. 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.

19. 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.

20. AGREEMENTS TAB Tracking your subcontract request in InfoEd

25. FOLLOW UP

26. Follow Up Responsibilities Subcontract GO (me) after 30 days RA/department… – In pressing situations – Knowledge of a better contact – At will

27. QUESTIONS & ANSWERS

28. Contact Info Amy Carver Assistant Grants Officer Northwestern University, Chicago Campus 312-503-3170 Amanda.carver@northwestern.edu Presentation date: 3/20/14