RevisedHilltopSubcontracProcedures(06-28-01).htm

HILLTOP PROCEDURES FOR OUTGOING
SUBCONTRACT AGREEMENTS

1.

Research Office Award Team forwards a copy of the Notice of Grant Award (NGA) and the proposal/continuation to the Research Office Subcontract Branch (RO).

2.

RO prepares the purchase (blanket) order for profiled subcontract funds. The purchase (blanket) order routes to the department for approval.

3.

Simultaneously with preparing the purchase (blanket) order, the RO prepares a letter of authorization for the Principal Investigator (PI) with the pertinent information for the subcontract (i.e., purchase order document number, grant number, budget period, cooperating institution, Co-PI, dollar amount to be subcontracted, and scope of work) and forwards it to the PI's Departmental Administrator. The PI authorization reminds the department not to pay invoices for the project until they are in receipt of a fully executed subcontract agreement.

4.

If any of the required information is missing for the subcontract, the RO requests it from the Departmental Administrator when the PI authorization is forwarded. (Normally missing information would be a scope of work or a line item budget for the cooperating institution.)

5.

The Departmental Administrator and PI review the information on the PI authorization for accuracy and either correct it or, if it is correct as presented, the PI signs the authorization and returns it to the RO. The Departmental Administrator approves the purchase (blanket) order, ensuring the dollars agree with the PI authorization.

6.

Upon receipt of the PI authorization (and any requested documentation) the RO prepares the subcontract agreement, records the purchase (blanket) order number on page one and exhibit A (budget), verifies that the purchase (blanket) order dollars are the same as those on the PI authorization, obtains institutional signature, and sends the subcontract agreement to the cooperating institution for review and execution.

7.

When the fully executed consortium agreement is returned, the RO distributes the agreement to Sponsored Projects Accounting, the Departmental Administrator and to the PI.

SUBCONTRACT PROCEDURES FOR MODIFYING
FUNDING DURINGTHE BUDGET PERIOD

INCREASING FUNDING:

1. Departmental Administrator or Principal Investigator (PI) will call the Research Office (RO) and request to change the awarded dollars or dates of the subcontract.

2. After RO determines that the change is allowable under the prime grant/contract's terms and conditions, RO prepares a change order to the subcontract's blanket order reflecting the requested change then contacts the department.

3. RO makes the changes indicated on the change order via a contract modification. Modification is signed on behalf of Washington University and mailed to the cooperating institution for execution.

4. Once the fully executed modification is returned, the RO distributes the modification to Sponsored Projects Accounting and to the departmental administrator, with a copy for the PI.

5. RO records the action of the modification in the outgoing subcontract database and files it. (Information recorded in the database is: WU PI, Co-PI, Cooperating Institution, grant number, subcontracted amount, budget period dates, WU #, blanket order number, change accomplished by this modification, and turn around times in the modification process.)

DECREASING FUNDING:

1. Departmental Administrator or Principal Investigator (PI) will call the Research Office (RO) and request to change the awarded dollars or dates of the subcontract.

2. After RO determines that the change is allowable under the prime grant/contract's terms and conditions, RO makes the changes indicated on the change order via a contract modification. Modification is signed on behalf of Washington University and mailed to the cooperating institution for execution.

3. Once the fully executed modification is returned, the RO prepares a Change Order to decrease the encumbered funds and distributes the modification to Sponsored Projects Accounting and the departmental administrator, with a copy for the PI. Attached to the department's copy is a memo stating the change order number and requesting the department approve the change order document.

4.
RO records the action of the modification in the outgoing subcontract database and files it. (Information recorded in the database is: WU PI, Co-PI, Cooperating Institution, grant number, subcontracted amount, budget period dates, WU #, blanket order number, change accomplished by this modification, and turn around times in the modification process.)

	HILLTOP PROCEDURES FOR OUTGOING SUBCONTRACT AGREEMENTS
1.	Research Office Award Team forwards a copy of the Notice of Grant Award (NGA) and the proposal/continuation to the Research Office Subcontract Branch (RO).
2.	RO prepares the purchase (blanket) order for profiled subcontract funds. The purchase (blanket) order routes to the department for approval.
3.	Simultaneously with preparing the purchase (blanket) order, the RO prepares a letter of authorization for the Principal Investigator (PI) with the pertinent information for the subcontract (i.e., purchase order document number, grant number, budget period, cooperating institution, Co-PI, dollar amount to be subcontracted, and scope of work) and forwards it to the PI's Departmental Administrator. The PI authorization reminds the department not to pay invoices for the project until they are in receipt of a fully executed subcontract agreement.
4.	If any of the required information is missing for the subcontract, the RO requests it from the Departmental Administrator when the PI authorization is forwarded. (Normally missing information would be a scope of work or a line item budget for the cooperating institution.)
5.	The Departmental Administrator and PI review the information on the PI authorization for accuracy and either correct it or, if it is correct as presented, the PI signs the authorization and returns it to the RO. The Departmental Administrator approves the purchase (blanket) order, ensuring the dollars agree with the PI authorization.
6.	Upon receipt of the PI authorization (and any requested documentation) the RO prepares the subcontract agreement, records the purchase (blanket) order number on page one and exhibit A (budget), verifies that the purchase (blanket) order dollars are the same as those on the PI authorization, obtains institutional signature, and sends the subcontract agreement to the cooperating institution for review and execution.
7.	When the fully executed consortium agreement is returned, the RO distributes the agreement to Sponsored Projects Accounting, the Departmental Administrator and to the PI.

	SUBCONTRACT PROCEDURES FOR MODIFYING FUNDING DURINGTHE BUDGET PERIOD
	INCREASING FUNDING:
1.	Departmental Administrator or Principal Investigator (PI) will call the Research Office (RO) and request to change the awarded dollars or dates of the subcontract.
2.	After RO determines that the change is allowable under the prime grant/contract's terms and conditions, RO prepares a change order to the subcontract's blanket order reflecting the requested change then contacts the department.
3.	RO makes the changes indicated on the change order via a contract modification. Modification is signed on behalf of Washington University and mailed to the cooperating institution for execution.
4.	Once the fully executed modification is returned, the RO distributes the modification to Sponsored Projects Accounting and to the departmental administrator, with a copy for the PI.
5.	RO records the action of the modification in the outgoing subcontract database and files it. (Information recorded in the database is: WU PI, Co-PI, Cooperating Institution, grant number, subcontracted amount, budget period dates, WU #, blanket order number, change accomplished by this modification, and turn around times in the modification process.)
	DECREASING FUNDING:
1.	Departmental Administrator or Principal Investigator (PI) will call the Research Office (RO) and request to change the awarded dollars or dates of the subcontract.
2.	After RO determines that the change is allowable under the prime grant/contract's terms and conditions, RO makes the changes indicated on the change order via a contract modification. Modification is signed on behalf of Washington University and mailed to the cooperating institution for execution.
3.	Once the fully executed modification is returned, the RO prepares a Change Order to decrease the encumbered funds and distributes the modification to Sponsored Projects Accounting and the departmental administrator, with a copy for the PI. Attached to the department's copy is a memo stating the change order number and requesting the department approve the change order document.
4.	RO records the action of the modification in the outgoing subcontract database and files it. (Information recorded in the database is: WU PI, Co-PI, Cooperating Institution, grant number, subcontracted amount, budget period dates, WU #, blanket order number, change accomplished by this modification, and turn around times in the modification process.)