OSR-Evanston Quarterly Network Recent and Upcoming Changes in Subcontract Issuance

1. OSR-Evanston Quarterly NetworkRecent and Upcoming Changes inSubcontract Issuance Tyra Darville-Layne, Grant & Contract OfficerOctober 29, 2012

2. Subawards in Context • In recent years, colleges and universities have seen a dramatic increase in collaborations and large-scale multidisciplinary projects that unite colleagues not only from within, but frequently across institutions and organizations.

3. Subawards in Context • In this age of national and worldwide collaboration, the subaward mechanism is the vehicle utilized to facilitate these collaborations and sets forth the expectations of the parties with regard to the work to be completed, and compliance with terms and conditions of the prime sponsor.

4. Office for Research and Huron Consulting • Northwestern University’s Office for Research brought in an outside consultant to review current processes, including the subaward process. After review, the consultant had the following recommendations: - Centralize the subaward process function - Improve the subaward process to ensure efficiency in the process

5. OSR Response and Implementation • OSR sets forth its priorities with regard to subcontracting: * Risk Management * Efficiency/Customer Service

6. OSR Response and Implementation • OSR Evanston expanded one GCO’s role to include the processing of all outgoing Subawards for Evanston campus. OSR Chicago already implemented this by centralizing subaward processing to one person. The two campuses are currently working together to streamline and further implement consistent practices where possible.

7. Subaward Process Workgroup • SubawardProcess Workgroup was established in spring 2012 and included members of the OSR staff and Research Administration staff from both Evanston and Chicago campuses.

8. Workgroup Members • Tyra Darville-Layne, Co-chair (GCO, OSR-Evanston) • Jackie Simon-Flowers, Co-chair (Assoc. GCO, OSR- Chicago) • Patti Pfister, (Sr. CGO, OSR-Evanston) • Manny Robert, (CGO, OSR – Chicago) • Susan Morris (McCormick Research Administration) • Matt Ruchin (Lurie Cancer Center Administration)

9. Workgroup Recommendations Workgroup efforts resulted in 9 recommendations to improve the subaward process in the following areas: • Subawardtemplates: use of FDP templates, establishing NU standard T&C when prime sponsor is non-federal, and use of BI Publisher 2. Subawardrequest form: OSR-SUB

10. Workgroup Recommendations 3. Workflow: OSR initiate the OSR-SUB 4. Use of Project Account Summary (PAS): appropriation note stating subcontract involved 5. Research compliance: IRB and IACUC approvals 6. Subrecipient questionnaire: risk analysis

11. Workgroup Recommendations 7. Update OSR-1/routing form: expand form to allow disclosure of whether humans or animals involved in subcontractor’s research work 8. Institutional signature: delegation of authority 9. Metrics: use of InfoEd agreements tab to track status

12. Implementation Highlights • The OSR-Evanston Contracting Team expanded to include Tyra and the subcontracting component. This allows close coordination of contract responsibilities, and the sharing of resources and information. Patti Pfister (Sr. CGO) is an immediate resource for working through, drafting, and negotiation of complex subaward terms and conditions.

13. Implementation Highlights • Written subaward procedures, i.e., formalized standard operating procedures • Update existing & create new OSR subcontract forms • FCOI, PI, and subrecipient commitment form • Subrecipient risk analysis • Subrecipient monitoring (collaborate with ASRSP to ensure subaward financial compliance at post award)

14. Implementation Highlights • Central email boxes for subawardrequests and correspondence established at both campuses: OSR-Subcontract-EV@northwestern.edu OSR-Subcontract-CH@northwestern.edu

15. QUESTIONS??