Updating the Subcontract Issuance Process at

CSU Fullerton

Myrna A. Lindo, MBA, CRA

Grants and Contracts Officer / Subcontract Lead

Collect and map the necessary data of the subcontracting process at CSU Fullerton

• What is our process now?

• Gather and review subcontract/subaward templates and forms currently utilized

OGC receives award document from sponsor

Office of Grants and Contracts (OGC) contacts Principal Investigator (PI) to collect Subcontract Issuance Request Form and other subrecipient docs

Current process issuing a new subcontract

Sub-recipient Commitment Form

Upon approval subcontract is sent to sub recipient for review and partial-execution

The partially-executed subcontract is received by OGC and sent to OSP for full execution

Upon full execution OSP will send a copy to sub recipient and OGC by email

OGC will draft subcontract and send to Office of Sponsored Programs (OSP) and PI for approval

OGC receives award document from sponsor

OGC contacts PI to collect Subcontract Issuance Request Form and other sub recipient docs

Current process issuing a subcontract

1. Timing/Communication: Amendments for incrementally funded awards

2. Sub recipient Monitoring – Sub recipient Risk Analysis

The problems with the current process

Identify new roles and responsibilities of all stakeholders in the

subcontract issuance process

OGC Role – Award Stage

• Collect Subcontract Issuance Request Form from PI

• Obtain Statement/Scope Of Work, Detailed Budget and Budget Justification.

• Prepare and issue award documents to subrecipients

• Negotiate terms as required

• Prepare transmittal to OSP for for subcontract execution

Roles and Responsibilities

OSP Role – Award Stage

• Complete risk assessment for all new and amended subcontracts

• Review and approve award documents to subrecipients

• Obtain signature from Authorized Official for all subcontracts

• Distribute fully-executed subcontract to subrecipient, Principal Investigator (PI) and OGC

Roles and Responsibilities

PI Role – Award Stage

• Complete the subcontract issuance request form

• Review subcontract award documents for accuracy, specially, SOW, Budget, and any special terms or reporting requirements. Any necessary changes shall be communicated to OGC/OSP.

• Grant approval to OGC to issue award documents as prepared.

Roles and Responsibilities

Subrecipient Role – Award Stage

• Review subcontract award documents, and provide requested edits on subcontract terms, conditions, and scope and budget as necessary to OGC.

• Negotiate award terms, as applicable

• Provide partially-executed subcontract to OGC Officer for full execution.

Roles and Responsibilities

Establish an open line of communication with OGC and OSP

Communication Process Improvements

• OGC and OSP agree no subawards will be issued without the completion of risk assessment

• Upon receipt of the award, OGC will transmit subaward documentation to OSP Compliance Officer who will complete risk assessment

• For incrementally funding awards, OSP will notify PI to contact OGC to release next increment of funds based on the subawards performance and compliance with the current subcontract terms

• Establish quarterly meetings with OSP to discuss incrementally funded subcontracts

Identify the new requirements that are not being met - Sub recipient Risk

Analysis

Sub recipient Risk Analysis

• OSP Compliance officer completes a risk analysis matrix to assess the level of risk posed by the subrecipient and provides copy to OGC

• If a subrecipient is deemed to be a high risk the terms will be modified as appropriate (e.g. Invoice details) and a monitoring plan will be established, and handled on a case-by case basis.

OGC will not move forward with a subaward without completion of risk

analysis!

Risk analysis matrix

Upon approval subcontract is sent to subrecipient for review and partial-execution

The partially-executed subcontract is received by OGC and sent to OSP for full execution by Authorized Official

Upon full execution /OSP will send a copy to subrecipient, PI, and OGC via email

OGC will draft subcontract and send to OSP and PI for review and approval

OGC receives award document from sponsor

OGC contacts PI to collect Subcontract Issuance Request Form and other sub recipient docs

New process of issuing a subaward

OGC will send subrecipient documentation to OSP Compliance Officer for completion of Risk Analysis

Lessons learned from the Lead Me Program

• Learned how to apply techniques to help me develop leadership skills and how to identify opportunities and make decisions to act upon them

• Created a network of resources and support from other colleagues in the industry

• Learned how to focus on solutions rather than attacking individuals/problem

• Learned how to identify the writing on the wall, and how to make changes to avoid falling behind

My Commitment to NCURA 2015

• Volunteer to co-present at an NCURA meeting (Regional or Annual Meeting)

• Serve as a committee member for conference planning

• Help promote and encourage fellow research administrators to become NCURA members and join the LEADMe program.

Thank You!