Roles & Responsibilities

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.