Responsibility: KE Contracting Services
Prepared by: Subawards Functional Group
Work Instruction Number: WI-MS-30
Updated: April 23, 2025
Verification of new subaward request
Verification of new subaward request
[email protected] will receive an email notification when AMT activates the subaward account and Subaward Contract Number (ASUB#).
The Team Lead (or Subawards GCO) will then assign the task in ERA. Once assigned, the task will state will change to “Verification”. The task will remain in this state while the Subawards GCO requests and reviews subaward documentation, registrations, and other required items in the Subawards Checklist.
If the subrecipient was included at proposal time, the Subawards GCO will review the Funding Proposal (FP) site for the subaward documents. Subawards GCOs will download any relevant documents uploaded within the FP Subaward Budget “Attachments” smartform. If the subrecipient was added post-award, the GCO will review the Attachments tab of recent AWD Modifications for any subaward documents. In the event that no documents are found or there are missing documents, the GCO will reach out to the Research Administrator (RA) to collect them.
Subaward tasks automatically include the FP’s RA as the “RA Contact”. This contact is used as a starting point for any subrecipients included at proposal time. For subawards added post-award, Subawards GCOs will contact the “RA Owner” of the AWD Modification that created the subaward task for any missing documents or corrections.
Documents and registrations are reviewed against the criteria within the Subawards Checklist. Additional information and guidance on required documents can be found on the Subrecipient Information page.
When all subrecipient documentation is received, they will be saved in their respective fields on the “Negotiation Information” page of the task. The Subawards GCO can now begin drafting and negotiating the subagreement.
Negotiation of new subaward
The Subawards GCO will determine the subagreement type to be used using the Types of Subaward Agreements and Amendments as a guide.
Once the agreement type has been determined, the Subawards GCO will draft the subagreement and send it to the Principal Investigator (PI) or PI fiscal delegate for approval (cc the RA) using the email function in ERA or via Outlook. The Subawards GCO will then change the task state to “With Internal Parties.”
Once PI approval is received, the approval will be noted in the Subawards Task under the Brief Task Status of the “Negotiation Information” page. The PI approval email will be uploaded to the “Finalize Subaward Task Request” page.
The Subawards GCO will send the subagreement to the Subrecipient for review and signature using the email function in ERA or via Outlook if the subagreement file size is too large. The task status will be updated to “With External Parties.”
If necessary, the Subawards GCO will negotiate any clauses the Subrecipient takes exception to. Any changes to clauses that would directly impact the project, such as publication restrictions, intellectual property, compensation, period of performance, or records retention, would be re-approved by the PI.
There are several high-risk clauses included in the non-FDP (ASU) subagreement templates used for subagreements issued under non-federal and federal contract prime awards. Due to their critical risk to the project and university, these clauses require either elevated director-level review and approvals, external department or team reviews, or both. Some of these clauses include invoicing, indemnification, intellectual property, audit requirements, data use, ownership, and privacy, information security, and insurance requirements. Exceptions to these sections take additional time to review and secure necessary external reviews and approvals.