1. Outgoing Subawards Award Stage
DSP:   Jessica Boyle GAO:  Jodi Kennedy May 24, 2017
          Erin Brothers           Angie Klein
          Kathie Gonzales          
Britt Murdock
          Edie Pierce-Thomas
       

2. Table of Contents Subaward Process-Where are we? (Erin Brothers)
Issuing a New Subaward (Britt Murdock)
Invoicing, Monitoring and Closeout (Angie Klein)
Subaward Amendments (Jessica Boyle)
Pitfalls and DSP Research Tracker (Kathie Gonzales)

3. Table of Contents Subaward Process-Where are we? (Erin Brothers)
Issuing a New Subaward (Britt Murdock)
Invoicing, Monitoring and Closeout (Angie Klein)
Subaward Amendments (Jessica Boyle)
Pitfalls and DSP Research Tracker (Kathie Gonzales)

4. DSP Subaward Process
Jessica

5. Subawards Proposal Stage Recap
Roles and Responsibilities
PI determines collaborator status (contractor, consultant, subrecipient) based on Uniform Guidance/UI definitions
Budget, justification, conflict of interest policy
Proposal Submission
Type of Subaward (cost-reimburseable; fixed-price)
Follow sponsor’s guidelines
F&A calculation (Federally negotiated rate; sponsor’s limitation; de minimus of 10%)
Fixed Price Subawards (2 CFR , ); require prior approval and cannot exceed $150,000 total

6. Table of Contents Issuing a New Subaward (Britt Murdock)
Subaward Process-Where are we? (Erin Brothers)
Issuing a New Subaward (Britt Murdock)
Invoicing, Monitoring and Closeout (Angie Klein)
Subaward Amendments (Jessica Boyle)
Pitfalls and DSP Research Tracker (Kathie Gonzales)

7. Project is Funded: It’s time to Issue the Subaward
If Subrecipient is other than U.S. university, send the Audit Certification and Financial Status Questionnaire (ACFSQ) to Subrecipient
Examples: foreign site, small business, hospital
PI reviews SOW and budget with Subrecipient and modifies if applicable
Any compliance issues have been resolved (i.e. COI, IRB, IACUC)
Prime Award is approved in DSP and GAO has issued AAAN

8. Example: Audit Certification and Financial Status Questionnaire (ACFSQ) Form

9. Starting a Preq
Currently, the process to request a NEW outgoing subaward for a sponsored project is through the UI Purchasing Requisition System or 'Preq System':
Preq Resources for Departments: departments
*Note: Advanced Payment Subaward Requests should be noted in the comments on the Preq, see here for additional information on required documentation:

10. Issuing a New Subaward
If Subrecipient is a new vendor to the UI, click ‘Vendor is New’ button and UI Purchasing will send Vendor Application Form to Subrecipient
If Vendor is in database, but new address is needed, click on the box marked ‘Update Vendor Address’
Make sure there is an listed in the address line or internal comments of the Preq-this is where the subaward is sent and will prevent delays!
Questions about a Vendor? Purchasing Vendor File Team (VFT)

11. Complete the Preq Attachments: What to Complete: Statement of Work
Detailed budget- including supporting documentation for fringe benefits if not federally negotiated
Subaward Compliance and Reporting Requirements form
REQUIRED: under federal funding 
RECOMMENDED: for all other subawards
Audit Certification and Financial Status Questionnaire (ACFSQ)- required for Subrecipients other than U.S accredited institutions of higher education. (For example: foreign entities, small businesses, hospitals, etc.)
Federally Negotiated Indirect Cost Rate Agreement
If requesting advance payment, attach advance payment forms 
Other documentation as required by prime award
What to Complete:
Use Category Code   specific for Subawards (this sets up DSP/GAO workflow)
Budget & Project period of performance dates 
Subrecipient contact to whom the subaward draft should be sent
Sole Source Justification- if subaward exceeds $50,000
Send Preq through Workflow
Resource:

12. Preq
Category Code:

13. Subaward Compliance and Reporting Requirements Form

14. Subaward Compliance and Reporting Requirements Form (cont’d)
Compliance Section –NEW!
Will animal or human subjects research be performed by the Subrecipient?
Will human subjects data be exchanged?
(mark as applicable)
UI to Subrecipient only
Subrecipient to UI only
Both ways?
Will the data be identifiable or de-identified? (add note in comments)
Data Management/Sharing Plan submitted to Prime funding agency?

15. Table of Contents Invoicing, Monitoring and Closeout (Angie Klein)
Subaward Process-Where are we? (Erin Brothers)
Issuing a New Subaward (Britt Murdock)
Invoicing, Monitoring and Closeout (Angie Klein)
Subaward Amendments (Jessica Boyle)
Pitfalls and DSP Research Tracker (Kathie Gonzales)

16. Subaward Invoices & Payments
Subrecipient should submit invoices directly to Grant Accounting Office for payment 
118 S. Clinton Street, Iowa City, IA 52242
Subrecipient invoices the UI no more often than monthly but at least quarterly under Cost Reimbursement subawards. Fixed amount subawards may have different requirements. 
*It is the PI/Department’s responsibility to monitor the Subrecipient and contact GAO or DSP due to lack of performance or invoices by the Subrecipient. 

17. Subaward: Invoices & Payments
GAO receives, reviews and submits invoices to Accounts Payable for payment. GAO reviews and verifies: 
Invoice meets UI invoice requirements 
Invoice includes Certification statement and is signed
Invoice billing period falls within the Subaward budget period
Reviews expenses for consistency with Subaward budget
PI/Department receives "Receipt" notification from Accounts Payable. Prior to approving payment, the PI/Department is responsible for the following: 
Review invoice for consistency with subaward budget
Verify invoice is reasonable and consistent with subrecipient progress 
Assure compliance with the terms of the prime award
PI/Department contacts AP and GAO immediately with questions or if payment of an invoice should be placed on hold

18. Subaward: Subrecipient Monitoring
PI, Department and GAO all have monitoring obligations
PI receives progress and invention reports (as specified in Subrecipient Compliance & Reporting Requirements form)
PI maintains documentation of review ( , annotation with “reviewed” and date)
PI maintains subrecipient reports and other documents for the required document retention period (for federal awards generally three years from the project end date)
PI monitors financial and programmatic progress of subrecipient, including verifying expenses are proper and in accordance with subaward budget and award terms and conditions
PI notifies DSP and GAO immediately with concerns involving subrecipient performance 

19. Subaward: Subrecipient Monitoring (cont’d)
Annually GAO requests and reviews subrecipient audits and/or financial reports
GAO may determine additional documentation or reporting requirements are needed
GAO works with DSP if changes are needed

20. Subaward: Closeout
IMPORTANT for GAO to receive final invoice by deadline established within subaward agreement in order to request funds and file final reports timely.
Grant Accounting sends a copy of the final invoice to the PI and Department for approval before submitting to Accounts Payable
PI/Department confirms completion of work
PI/Department reviews final expenses are consistent with subaward budget
PI/Department assures all required progress and invention reports have been or will be received
All reports will be retained by the PI and department
Fixed Price subawards only - GAO requests Certificate of Completion from subrecipient
If necessary, Department and GAO work with AP to close Subaward PO

21. ePro changes and process improvements
March,
GAO now submits Subrecipient invoices electronically to Accounts Payable allowing campus to view invoices as soon as voucher "Receipt" notification s are sent.
May 1, 2017
New Subaward (Uniform Guidance) specific assurances have been added to both the voucher "Receipt" notification  and ePro application. 

22. Table of Contents Subaward Amendments (Jessica Boyle)
Subaward Process-Where are we? (Erin Brothers)
Issuing a New Subaward (Britt Murdock)
Invoicing, Monitoring and Closeout (Angie Klein)
Subaward Amendments (Jessica Boyle)
Pitfalls and DSP Research Tracker (Kathie Gonzales)

23. Subaward Amendment Request Form
Subaward Amendments
BR (Budget Reference) for the prime award is indicated on the AAAN (illustration to follow)
What form do I use for my Subaward Request
New Preq
Subaward Amendment Request Form
New Subaward for Project X
New Increment of Funding
Did the BR Change?
(Yes)
(No)
Additional funds in current budget period (Supplement)
*Carryover Approval
(Contact DSP for special circumstances)
No Cost Extension
Link to information on DSP website on “Revising an Existing Subaward”:

24. Carryover under Outgoing Subaward Amendments
If the BR does not change
The UI’s default is to add new funding to the previously authorized subaward amount
If the PI/department does not want to authorize carryover, contact DSP before submitting the subaward amendment request form
If the BR changes
The UI does not automatically authorize carryover
If carryover is requested, contact DSP
Sponsor approval
Confirmation from GAO of the amount of unexpended funds
PI’s approval

25. Finding the BR (Budget Reference)

26. Subaward Amendment Request Form (Sample)

27. Table of Contents Pitfalls and DSP Research Tracker (Kathie Gonzales)
Subaward Process-Where are we? (Erin Brothers)
Issuing a New Subaward (Britt Murdock)
Invoicing, Monitoring and Closeout (Angie Klein)
Subaward Amendments (Jessica Boyle)
Pitfalls and DSP Research Tracker (Kathie Gonzales)

28. Pitfalls: Reasons Your Subaward May Be Delayed
Attachments or required information are missing from the Preq
Budget does not match Preq dollar amount
Vendor name in Preq system does not match subrecipient name
Agreement is pending subrecipient signature (this shows in the Purchasing Workflow as waiting on DSP approval; 
For a more accurate status: see DSP Tracker for more detailed information)
Subawards under prime contracts generally take longer to draft than subawards under prime grants
Business Associate Agreement (BAA) may be required

29. Finding Subaward Documents and Status Information
Use Simple Search for any single identifier (Req ID/PO number, etc)
Advanced Search on multiple identifiers:
DSP Item # (formerly DSP Sequence number)
Req ID/PO #
Grant Program #
UI Investigator 

30. DSP Research Tracker Subaward Status
Click on “project”, then expand “Out Going Subawards” (click on “+”) to see status information
Status information available in simple search tab.
Status Categories
Pending – Agreement Requested
Pending – Draft Sent to Subawardee
Pending – Partially Executed and Pending UI Action
Funded/Approved

31. Feedback & Upcoming Courses
Thank you for attending! Please complete the UI Learning & Development Survey-we value your feedback! Stay tuned! Changes to simplify how to request an Outgoing Subaward are in the planning stages with Purchasing, ITS, GAO & DSP in late 2017/early 2018 Ideas for classes from GAO or DSP? Let us know and we would be happy to reach out to your department or campus wide as applicable.

32. Contact Us Division of Sponsored Programs (DSP) 2 Gilmore Hall
Phone:   
Grant Accounting Office (GAO)
118 S. Clinton Street
Phone:   
(for submitting invoices for payment)
Other Resources: