1. SUBRECIPIENT Sponsor SFSU Sub

2. Sub-Award Checklist (Pre-Award)  Scope of Work  Budget  Budget Justification  Biosketch  Subrecipient vs. Vendor Determination Form  Subrecipient Commitment Form  Subrecipient Questionnaire  Conflict of Interest Policy (if applicable)  IDC (F&A) Rate Agreement (if applicable)  Benefit Rate Agreement (if applicable)  Consortium Agreement (if needed, usually pertains to NSF awards)

3. Resources/Intranet  Subrecipient Agreement Procedures  International Subrecipient Agreement Procedures

4. GSC Checks and Print SAM Record. Escalate to the Compliance Manger if:  SAM status is not active  Sub has SAM exclusions

5. GA/GSC locates following documents in Cayuse:  SOW  Budget  Budget Justification  Others (i.e. Sub Commitment Form, Sub Questionnaire, Sub vs. Vendor Determination Form, IDC Rate Agreement, etc.) if available GSC requests from PI:  Confirmation on SOW, contract amount, and start and end date.  Signed Subrecipient vs. Vendor Determination Form (if not rec’d from GA) Note: If subrecipient was not identified in the pre-award stage, sponsor approval is required before a subaward can be issued.

6. GSC requests from sub:  Contact Information (Email, Phone, Title) – administrative, PI, financial, and authorized official  Subrecipient Questionnaire (if not rec’d from GA)  Subrecipient Commitment Form (if not rec’d from GA)  Form 204/Vendor Data Form (if sub is not in SFSU vendor database)  Certificate of Insurance (if needed)

7. Additional Forms Required for International Subs:  Attachment B – Additional Considerations for Agreements with International Entities  W-8BEN-E  Statement of Foreign Service by NonResident Alien for US Tax Withholding  International Agreements and Transactions Memorandum

8.  Agreements/Policies: Indirect costs, fringe benefits, COI, human and animal subjects, A-133 audit report or financial statement. Hard/soft copies, or URL under Section D – Comments.

9. Even if an organization is subject to A-133 audit, Question 1 needs be answered and the Questionnaire must be signed.

11. Subrecipient Risk Analysis Note: If sub receives a score 41 or higher, GSC escalates to the Compliance Manager, Alison Ng.

12. GSC:  Assigns subaward number in the Sub/Vendor Roster in SharePoint Note: Go back to the Sub Commitment Form and the Sub vs. Vendor Determination Form and fill in the subaward number!  Creates REQ for subaward with reference to subaward number  Chooses agreement template (See decision tree)  Drafts agreement and send it out for confirmation/approval signature PI – Email Confirmation GA - Email Confirmation Pod Manager – Initials Subrecipient – Signature SFSU Procurement - Signature  Returns counter-signed agreement to subrecipient. FedEx or email (if accepted)  Routes scanned PDF of all subrecipient documents (amendments too!) to orspcomp@sfsu.edu orspcomp@sfsu.edu

13. Note: UC campuses are NOT considered state agencies.

14. GSC enters data under the “Subrecipient” tab in the CSU Sponsored Module

15. When an invoice is received from sub…  GSC stamps invoice with statement below for PI’s signature:  GSC checks and prints out SAM record  GSC stamps invoice, fill out chartfield info, PO number and other relevant info.  Once invoice is signed and returned from PI, GSC forward invoice to GA for signature.  Scan, log out, and forward invoice to A/P.

16. ONE LAST STEP! To close out subaward, GA asks subrecipient to complete, sign and return to us a Subrecipient Release Form, also called Subrecipient’s Release and Assignment.

17. What needs to be in a subrecipient folder?  Fully Executed Agreement  Subrecipient Commitment Form  Subrecipient Questionnaire  Subrecipient vs. Vendor Determination Form  SAM Printout  Subrecipient Risk Analysis  A-133 Audit Report/Financial Statement  F&A Rate Agreement (if applicable)  Fringe Benefit Rate Agreement (if applicable)  IRB Approval (if applicable)  IACUC Approval (if applicable)  Conflict of Interest Policy (if applicable)  Amendments (if applicable) Required for international subs:  Attachment B - Additional Considerations for Agreements with International Entities  W-8BEN  Statement of Foreign Service by NonResident Alien for US Tax Withholding  International Agreements and Transactions Memorandum

18. THANK YOU