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Roles & Responsibilities

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Last updated: 01/12/2021 - 10:18am
Principal Investigator Responsibilities:
  • Selects subrecipients for inclusion in the proposal
  • Ensures that the scope of work outlines only the work to be done by the subrecipient
  • Verifies that the budget/budget justification supplied by the subrecipient aligns with the scope of work to be performed
  • Provides RA with the name and contact information for the individual at the subrecipient institution responsible for assisting with proposal development
  • Assists PNT Subawards with the following subaward documents:
  • Conducts a review of the subaward agreement for content and accuracy
  • Provides input regarding deliverables and other needs specific to the project
  • Determines the frequency for providing technical reports and maintains documentation for such reports
  • Completes the informal Cost-Price Analysis for subawards under $100,000 a
  • Reviews the formal Cost-Price Analysis for subawards over $100,000
  • Provides Sole Source Justification
  • Notifies PNT subawards of any known risks in issuing an agreement to the subrecipient
  • Reviews subaward amendments for content and accuracy
  • Monitors progress of the work being performed under the subaward and communicates issues directly to the subrecipient PI and project collaborators
  • Reviews invoices and provides payment authorization verifying the following:
  • Dates match the correct period of performance
  • Charges are reasonable and allowable
  • The charges fall within the subaward budget and statement work
  • Required deliverables have been received (e.g.. progress reports, technical reports, etc.)
  • Progress to date is satisfactory
  • Discusses concerns and/or requests additional detail from Subrecipient PI when needed
  • If invoice is unacceptable, notifies the subrecipient and awards.management@asu.edu of issues
  • Provides awards.management@asu.edu with written approval to pay and follows up with the subrecipient to:
  • Obtain late/missing invoices
  • Obtain cost sharing documentation, where appropriate
  • Notifies RA and/or awards.management@asu.edu of concerns including:
  • Failure to make satisfactory progress
  • Late/missing deliverables, technical reports, etc.
  • Inability to obtain documentation from subrecipient for
  • Invoices
  • Cost sharing documentation
  • Notifies awards.management@asu.edu to initiate subaward closeout at the appropriate time.
RA/Unit Responsibilities:
  • Contacts subrecipient to seek completion of subrecipient commitment form or letter (as appropriate) with required attachments (e.g.. budget, budget justification, SOW), other sponsor required documents, and provides timeline for receipt
  • Responds to questions from the subrecipient related to subaward to be included in the proposal
  • Provides missing subrecipient form information to assigned Subaward GCO at the time of project initiation (Subawards cannot be drafted until this information is complete)
  • Answers PNT Subawards team questions regarding the subaward to be issued or modified
  • Prepares and submits Award Change Request for
    • subawards that were not budgeted in the proposal
    • needed changes to dates, scope of work, key personnel, and/or budget during the life of the subaward
  • May assist the PI with the review of invoices and may follow up with the subrecipient counterpart for
    • additional detail related to the invoice
    • cost sharing documentation
    • late and/or missing reports and deliverables
  • Provides Grant Manager approval in Workday for subaward invoice payments
  • Advises concerns of PI related to subaward to subawards@asu.edu
  • Notifies awards.management@asu.edu to initiate subaward closeout, when applicable
OKED FOT (Fiscal Oversight Team) Responsibilities:
  • Conducts audit, financial, and internal controls risk assessment prior to issuance of a subaward
  • Coordinates annual subrecipient audit compliance reviews
ORSPA PNT (Proposals & Negotiations Team) Responsibilities:
  • Reviews subrecipient commitment form or letter (as appropriate) for completeness – requesting missing info from RA or subrecipient
  • Reviews Award Change Request and accompanying information for modifications (e.g.. revised budget, budget justification, scope of work, etc.)- requesting missing information from RA or subrecipient
  • Performs compliance check for items such as:
  • SAM Registration
  • Visual Compliance
  • Audit Review
  • PHS COI
  • FFATA
  • Mandatory Disclosure
  • Requests subaward documents from subrecipient such as:
  • Cost price analysis
  • W9, W8BEN or W8BENE when needed
  • IRB and IACUC approvals, where applicable
  • Requests sole source justification from ASU PI
  • Performs Risk Assessment analysis
  • Drafts subaward agreement or modification and sends to PI for review , input and approval
  • Sends PI approved subaward agreement or modification to subrecipient for review and signature
  • Negotiates subaward terms and conditions with subrecipient and seeks PI input when necessary
  • Distributes fully executed agreement or modification
  • Coordinates annual subrecipient audit compliance reviews
  • Works with purchasing to issue an SC or modify the SC
ORSPA AMT (Award Management Team) Responsibilities:
  • Sets up child account to allow for issuance of subaward either based on award notice or by request of RA/unit
  • Seeks approval from sponsor for changes to scope of work or budget, if required
  • Seeks approval to issue a subaward that was not included in the proposal, where necessary
  • Initiates a PNT Subaward task for subaward set up and modification
  • Manages subaward invoicing process including:
  • Receiving subaward invoices directly from subrecipient at awards.management@asu.edu or by mail
  • Invoices are reviewed, processed and routed for PI approval
  • PI approved invoices are sent to accounts payable for processing and payment
  • Addresses accounting and payment issues which arise during the project
  • Manages subaward closeout process including:
  • Receiving notification of subaward closeout from Subrecipient, RA, AMT GCO or PI
  • Issues closeout documents to subrecipient for review/completion
  • Processes signed closeout document once returned
  • Reconciles subaward account at closeout: issues final payment, reviews property and inventory reports, and works with Purchasing to close out the subaward account
Subrecipient Responsibilities:
  • Complete the subrecipient commitment form or letter (depending on clearinghouse guidelines)
  • Prepare a scope of work, budget, justification, cost-price analysis (if applicable) and other documents required by the sponsor
  • Prepares revised scope of work, budget, justifications for modifications to the subaward
  • Provide official endorsement on the subrecipient commitment form or letter and other sponsor documents
  • Satisfactorily performs a substantive portion of the project objectives
  • Makes decisions about how to accomplish the objectives of the SOW
  • Maintains compliance with IRB, IACUC, PHS FCOI requirements, Mandatory Disclosure
  • Spends funds in an allowable and reasonable manner
  • Submits invoices and cost sharing documentation to ASU in accordance to the guidelines outlined within the subaward agreement
  • Provides reports/deliverables to the ASU PI as required by the subaward agreement
  • Submits final invoice and completed closeout documents to awards.management@asu.edu.
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