RSP-Initiated Sub-Agreement Process

Detailed Step-by-Step Description of the New Sub-Agreement Process RSP-Initiated Sub-Agreement Process Step 1. PI / Department prepares the proposal for submission 1. PI and staff prepare a project proposal and route it using WISPER to the appropriate offices for approval. The project proposal includes one or more sub-agreements to outside institutions (sub-recipients). a. In the WISPER record for the proposal, the General tab includes a question Outgoing subagreement(s)? The answer should be yes. 2. The final project proposal includes the following information and approvals for each subagreement. All included information is uploaded to WISPER: a. Institutional approval from sub-recipient (see sample template entitled Statement of Intent to Establish a Sub-agreement ); b. Contact information for the institutional official; alternatively, a face page, including, at a minimum, (a) the sub-recipient organization s name and address, (b) the name and contact information of sub-recipient s institutional official. An alternative would be to use: i. SF 424 (http://grants.nih.gov/grants/funding/424/index.htm); or ii. PHS 398 (http://grants1.nih.gov/grants/funding/phs398/phs398.html); c. Contact information for the sub-recipient PI(s); d. Sub-agreement budget(s); e. Sub-agreement scope(s) of work; and f. Bio-sketch(es) of sub-recipient PI(s) (only if required by sponsor). 3. After all necessary approvals are received (e.g., Department Chair, the Dean s Office, and/or the Director), the proposal is sent to the sponsor via RSP. Step 2. RSP receives the Notice of Award (NOA) 4. The proposal is successful and a notice of grant award is received via e-mail by RSP. 5. RSP Pre-award sets up the award and sends the Award Summary to the PI and contact person(s). This document identifies the Project Number. Page 1

6. RSP Pre-award checks to see if the proposal fits the following criteria: Page 2 a. Check that the Outgoing Subagreement(s)? question has an answer of yes. 1 b. If a is not applicable, check the budget detail and the award document to see if there is any mention of a sub-agreement and/or a sub-recipient [this can be included in the Pre-Award checklist of things to look for in an Award document] c. This is a new sub-agreement (not a modification of an existing sub-agreement) 7. If the above criteria is met, RSP Pre-award will do the following: a. Finalize the award as usual. b. Send an e-mail to outgoingsubs@rsp.wisc.edu with the following information: i. Subject line: Start New Subagreement on MSN# xxxxxx / Project # PRJXXXX ii. Body of e-mail: leave this blank. However, if Pre-Award is not sure about the project number or cannot find any additional information about the sub-agreement, state this in the body of the e-mail. iii. This e-mail will alert Sub-Agreement Processing (Cherry Hill) to begin processing the sub-agreement. c. Per Post Award request, Pre-Award should always choose a LARGE RED EXPANDABLE FOLDER for awards with subagreements. d. Insert the red cardstock 1-pager labeled Subaward(s) in Process (available in Pre-Award file room). e. Leave the folder with the insert in the back processing table with the other award documents for Admin Team. 8. RSP Admin will create the label as usual and will forward the folder to Post-Award contract set up staff. 9. Based on the e-mail in 7(b), Sub-Agreement Processing will take the following steps: a. Print the relevant attachments (award summary, budget, and t-form) of the WISPER record to process the sub-agreement. b. Create a manila Subaward file labeled with the subrecipient s name, the requisition number, and the MSN number. c. Flag the award file with a red sub-agreement sheet (which indicates that a sub is in process) d. Forward the original award file to the appropriate Post-Award Contract Set Up Staff. e. Check to make certain that this is not a duplicate record by searching the Subaward Tracking System, e.g., by the PI s name. The Subaward Tracking System is found at: http://www.rsp.wisc.edu/services/admin/sub_search.cfm 1 Only WISPER records after May 2009 have this question included.

f. Check WISDM to verify that adequate funding is available in the project g. Check for appropriate spending edits. h. Verify that each sub is approved by checking that Consortium/Contractual costs are in the RSP proposal budget and in the Notice of Award. If the sub was not originally included in the proposal, then verify that the sponsor has subsequently approved the sub. If not, then contact the PI and the contact person to ask them to provide this information. i. Fill out the UW section of the Sub-Agreement Information Table (left column) based on information available in the WISPER record and the proposal. Step 3. RSP confirms the accuracy of sub-agreement information with PI / Department AND PI / Department approves the sub-agreement information 10. Send an e-mail notification and the Sub-Agreement Information Table to the PI and campus contact person to ask them to provide all information for the Sub-Recipient section of the Table (right column) and to send the latest version of the budget and Scope of Work (SOW). The sub-agreement contact person for that School or College will be cc ed on all correspondence. This list will be provided separately 11. Create a new Subaward in the Subaward Tracking System, and update the status of the Subaward by selecting the appropriate Pilot Phase 1 status. 12. Create a tickler sheet for the pending subaward file. 13. If the PI/contact person has not responded within 2 weeks, Sub-agreement Processing will contact the PI / campus contact person for an update, with a cc: to the designated sub-agreement contact person for that School or College. 14. The PI/contact person will do the following: a. Provide the most current budget and SOW of the sub-agreement. b. Verify all information in the Sub-Agreement Information Table and provide any missing information. c. Send the finalized SOW, budget, and Sub-Agreement Information Table to Subagreement Processing in RSP. Step 4. RSP prepares the sub-agreement 15. Sub-agreement Processing will then take the following steps: a. Create a record in the External Requisition Generator, which generates the subagreement number (otherwise known as the requisition number). Page 3

i. Account codes: 1. 3840 for the 1 st $25,000 dollars. 2. 3845 for dollars above $25,000. 3. The $25,000 threshold covers the entire project period of a grant. Competitive renewal grants will reinstate the charge again. ii. Make sure the item descriptions match budget and back-up documentation. iii. Add sponsor name and correct address on first lines of requisition. iv. Add proper edits. v. Add proper time period. vi. Add agency grant number. vii. Add GR as the funding type. b. Check WISDM again to verify that adequate funding is available in the project c. Update the record in the Sub award Tracking System with the appropriate Pilot Phase 1 status 16. Sub-agreement Processing will decide what type of sub to prepare: a. RSP will use the FDP for: i. All federal agencies under FDP (see: http://thefdp.org/phase5_members.html) ii. The FDP model will be used for awards under FDP, including those that have the additional requirement to obtain prior approval for carryover. iii. Whenever possible, all non-profit organizations (unless foreign, which would use non-fdp). b. Fill out proper FDP sub-agreement forms by using the link in the Subaward Tracking System to create an FDP PDF. Do the following: i. Check that the Prime Award Number and Subaward Number are on the first page ii. Check that the dates of the subaward match the dates in the Subagreement Information Table iii. Check that the Project Title is complete iv. Save the finalized PDF in the G:\SHARED\APR SP Phase I-Subagreement process\subagreements folder and print v. Stamp and include all needed attachments (#2 (agency-specific attachment available from FDP website), 4, and 5). vi. Include prime award document with sub. vii. Obtain authorized signature c. Use the non- FDP long form sub agreement for: i. Foreign entities (including foreign non-profit organizations) ii. For-profit entities (including both U.S. and foreign) iii. NIH Cooperative agreements with limited expanded authorities[?] iv. Use the FDP long form template Page 4

1. Be sure to update the appropriate fields with the current agreement info. Check the dates and funds match the info form received from campus. 2. Save in G:\SHARED\APR SP Phase I-Sub-agreement process\subagreements folder and print. v. Stamp and include all needed appendices (A, B, & C). d. Send an e-mail to the sub recipient requesting: i. A copy of the sub-recipient institution s most recent indirect cost rate agreement ii. A copy of the sub-recipient institution s fringe benefit rates. iii. A statement that identifies the dates of the sub-recipient institution s fiscal year and whether or not the sub-recipient institution has federal expenditures in excess of $500,000 during the fiscal year covered by the agreement. Alternatively, a copy of the institution s A-133 Audit Report may be provided instead. iv. Verification of the status (for profit, not for profit, or other). v. Signature on the sub-agreement cover page and completion of Attachment 3B. vi. For all sub-agreements that use the FDP model, RSP will sign the agreement first and then send it to the sub-recipient for review and signature. NOTE: RSP Sub Processing must still ensure that the subrecipient provides all required audit information (items #1-4 above). For all sub-agreements that do NOT use the FDP model, RSP will NOT sign the agreement first; rather, RSP will send unsigned agreement to the subrecipient for review and signature. After receiving the signed subagreement from the sub-recipient will RSP sign and execute the subagreement. e. All documents will be sent as a pdf attachment via email. f. Update the Subaward Tracking System. 17. If the sub agreement has not been returned after two weeks, RSP will contact sub recipient for an update. a. Check the Subaward Aging Report to follow-up with sub recipient once every 2 weeks. b. If there is no response from the sub recipient, consider informing the PI and/or the subagreement contact person in the Division of the situation. Step 5. Sub-recipient signs and returns the sub-agreement and requested information to RSP 18. Sub-recipient receives the sub-agreement and provides all requested information in Step (14)(c)(iii) above. Page 5

19. If the sub-recipient disagrees with the terms of the sub-agreement, then the sub-recipient and RSP Sub-Agreement Processing will negotiate and agree on mutually acceptable agreement terms. Step 6. RSP completes the sub-agreement process 20. When the signed sub agreement and requested information is returned to RSP, Sub- Agreement Processing will do the following: a. For all non-fdp sub-agreements, RSP will sign and return the fully executed copy to the sub-recipient. [since FDP sub-agreements had previously been signed by RSP prior to being sent to the sub-recipient, this step is not necessary with those sub-agreements]. b. Scan and upload a copy of the agreement to the Projects Attachment tab in SFS Grants, which will subsequently be accessible via WISDM. c. Update the Sub award Tracking System (if there is a formal name change give to Stephanie Gray in RSP to make an update to the system). d. Finalize the requisition by having an Authorized RSP Official sign and date. e. Put original requisition in RSP mail bin Requisition Only Purchasing Outgoing no copy of agreement attached. Purchasing s role will continue to be the same. f. Take copy of agency return cover letter, F&A and FB rates and mark on top - A-133 Audit Info. Put in Sarah s A-133 basket. It is not necessary to keep a copy of this information for the file. g. Create Award modification in SFS, which will send an overnight notification of sub-agreement activity to everyone on the WISPER Department E-mail Contacts list. In order to check and/or change who is on this list for a particular department or division, instructions can be found here: http://www.rsp.wisc.edu/wisper/wisper_dr_deptemail.pdf. h. Create a sub-agreement file in a manila folder to be inserted into the financial file. i. Fill out and include the invoicing spreadsheet. ii. Staple together the requisition, agreement and correspondence. iii. File the completed manila folder in the appropriate financial file and remove the red sub-agreement sheet. Exception Process #1 RSP Pre-Award Misses a Subagreement Step 1. PI / Department notifies RSP of a Sub-Agreement 1. RSP Pre-Award may miss the fact that an award includes a sub-agreement since WISPER records prior to May 2009 do not include the flag Outgoing subagreement(s) yes or no?. Page 6

2. PI / Department should provide the following to Sub-agreement Processing at RSP (outgoingsubs@rsp.wisc.edu) a. Required: i. WISPER# of the award that should have a subaward. ii. Documentation from the sponsor indicating that the sub-agreement is approved. b. At this point, the PI/Dept can also provide the following, or Sub-agreement Processing at RSP will ask for the following: i. Sub-agreement budget ii. Sub-agreement scope of work iii. The Sub-Agreement Information Table completed in full 3. RSP Sub-agreement Processing will process the sub-agreement by doing the following: a. Locate the project folder and duplicate the relevant pages of the award file required to process the sub-agreement. b. Flag the project folder with a red sub-agreement sheet (which identifies that a sub is in process) and refile the folder. c. Check to make certain that this is not a duplicate record. d. Check WISDM to verify that adequate funding is available in the project e. Check for appropriate spending edits. f. Verify that each sub is approved by checking that Consortium/Contractual costs are in the RSP proposal budget and in the Notice of Award. If not, then contact the PI and the contact person to ask them to provide this information. g. Check the information provided in the Sub-Agreement Information Table for completeness and accuracy. Any questions should be clarified with the PI and the contact person. [Continue with #13 in above RSP-Initiated Process] Exception Process #2 PI/Dept Wants to Add a Subagreement Not Yet Approved by the Sponsor Step 1. PI / Department obtains Division, RSP, and sponsor approval for adding a subagreement 1. If the PI / Department wants to add a sub-agreement that was not originally included in the proposal, this will likely require sponsor approval. In such cases, it should be submitted via WISPER to obtain the Division s and RSP s approval. If the sponsor has provided approval for this new sub-agreement, include that approval as an attachment to the WISPER record. 2. RSP will submit the request to the sponsor. Page 7

3. After the sponsor approves the sub-agreement, RSP Pre-Award will identify this as a new subagreement and will continue with Step #7 in RSP-initiated process. Page 8