1

University of Kentucky College of Medicine Sponsored Research

Administrative Services

Identification M-SRAS 006

Version 3 Contact: SRAS Manager

Standard Operating Procedure

Date Effective:

11/XX/2017

Review Date: 11/XX/2018 Page 1 of 15

Initiation and Monitoring of Subcontract/Subawards on Sponsored Project Agreements

Purpose: The purpose of this standard operating procedure is to clarify and define the roles of the Principal Investigator (PI), Department Administrator (DA), and the Sponsored Research Administrative Services (SRAS) Grant Proposal Specialist (GPS), Grant Analyst (GA) and Reconciler, with regard to initiation, administrative monitoring, and amending of subcontracts/subawards on sponsored projects agreements. The assumption is the subcontract plans and budget were included in the proposal and subsequent award.

Introduction: Grants and contracts for sponsored projects represent a contractual obligation between the grantor and the University for the performance of a specific activity through which the grantor, or sponsor, is entitled to receive some consideration or benefits. The contractual obligation is normally documented by a proposal and award combination, contract, or a written memorandum of agreement. The University assumes full legal responsibility for complying with all requirements imposed by the grantor or sponsor upon acceptance of grants and contracts for sponsored projects, including a requirement for a report of expenditures or a provision for an audit. In turn, the College of Medicine (COM) must ensure its faculty is in compliance with all University and sponsor requirements including those as related to the subcontracting of funds to a consortium site, or other entity or institution via a subcontract agreement.

Procedure: To gather and review all institutionally-required subcontract materials for compliance purposes (at the proposal stage where a PI proposes to subcontract a portion of a project); to initiate subcontract requests, facilitate amendment processing, and monitor on-going related administrative functions (at the award stage). Proposal Stage:

1. During the eIAF and Proposal Preparation Process, the GPS will ask the PI if the proposal includes any external third parties performing part of the project’s scope of work as a subcontractor. If so, then the GPS will obtain the subcontractor’s contact information and, unless the GPS and PI agree otherwise, the GPS will contact the subcontractor and request the following:

a. Scope of Proposed Work b. Budget (preferably in NIH Detailed R & R Budget Form or budget form of comparable

detail) c. Budget Justification d. Signed Letter of Intent e. IRB and/or IACUC Approvals, if needed f. Facilities Description, if needed

2

g. Equipment Description, if needed h. Key Personnel Biosketches, if needed i. If the subcontractor does not participate in the Federal Demonstration Partnership

(FDP) Expanded Clearinghouse, then the GPS must complete the UK project information on UK’s Subrecipient Commitment Form (including UK’s project name, sponsor name, PI information, and Direct, Indirect and Total Budget figures) and send that form to the subcontractor for completion and institutional signature. See Appendix A for the Subrecipient Commitment Form. See the FDP website for participating institutions: https://fdpclearinghouse.org/organizations.

j. If the subcontractor does participate in the FDP Expanded Clearinghouse, the GPS will gather the additional information needed via the COM Subrecipient Contact Information Form. See Appendix B for this form.

2. If the GPS cannot obtain the Subrecipient Commitment Form from the subcontractor by the

proposal due date, the GPS will inform the Office of Sponsored Research Administration (OSPA) Research Administrator (RA) and continue follow-up with the subcontractor three times post-proposal submission. If obtained, the GPS should send this form to the OSPA RA assigned to the PI’s proposal.

3. The PI will negotiate any budgetary parameters with the subcontractor, including the GPS on the resolution to any issues.

4. Upon receipt of all subcontractor materials, the GPS will review the materials, including the budget and justification for compliance purposes, and bring any issues to the PI and subcontractor’s attention for clarification or correction.

5. For projects with three or more subcontracts, the GPS will populate and update an SRAS Subaward Management Excel Spreadsheet and upload it into Google Docs. The GPS will then send a link to the spreadsheet to the PI, DA, GA and OSPA Subaward Administrator. The GPS and GA will keep this document up-to-date, as will the OSPA Subaward Administrator.

Just-in-Time Stage:

1. If the PI receives a notice from the sponsor for additional information, thereby indicating an

award may be forthcoming, then the GPS will confirm such with the PI, copying the GA when a subaward is involved.

2. National Institutes of Health (NIH)-Specific Procedure: Note that, for NIH, this request is called

a Just-in-Time (JIT) Request. For NIH, the automated JIT email request may not be an accurate indicator that an award will be forthcoming. However, a second JIT email from an NIH Grants Management Specialist (GMS) may be a better indicator of whether an award will be forthcoming. In either case, the PI can confirm for the GPS whether an award is likely. If the PI is unsure, he or she may want to check with the GMS and/or Program Officer.

3. Upon confirmation that an award may be forthcoming, the GPS will check to see if the proposal

included the involvement of a subcontractor. If so, the GPS will check whether the subcontractor is an FDP institution. If the subcontractor is a non-FDP institution, then the GPS will check if a fully-completed and signed Subrecipient Commitment Form was received at the proposal stage. If not, then the GPS will renew efforts to contact the subcontractor for this signed form. Once received, the GPS should forward the form to the OSPA RA assigned to the

3

PI’s proposal.

Award Stage:

1. This procedure assumes that OSPA receives an award from the sponsor. At this point, the GPS will usually learn of the award in one of two ways:

a. The RA will notify the GPS of the award’s receipt and may indicate to the GPS whether the budget has been reduced from the proposed funding level. In this case, the GPS will notify the GA of the award and will assist the PI with a revised overall budget that the RA will use to set up the project’s account, or

b. The RA will receive the award and proceed with the project’s account set up, not needing to contact the GPS for any additional materials. In this case, the GA will identify the inclusion of a budget in the sponsored class for a subcontract as part of the PADR review process and will notify the GPS and PI of such.

2. As part of the PADR review process (refer to SOP M-SRAS-3), the GA will identify the

inclusion of a budget in the sponsor class(es) for a subcontract and contact the DA if there are any known discrepancies. E530200 is the sponsor class for Subcontracts under $25,000 and E530201 is the sponsor class for Subcontracts over $25,000.

3. Within five business days of completing a review of the PADR as provided in Section 2 as referenced above, the GA will initiate contact with the GPS to start the subcontract setup process by sending any correspondence already on file.

4. Regardless of the circumstance, once the GPS is alerted of an award, the GPS will assist with

items (a)-(e) of this section. a. The GPS will contact the subcontractor for any missing forms, such as the

Subrecipient Commitment Form, if needed (non-FDP institutions only). b. The GPS will coordinate with the subcontractor to update the budget, if necessary.

For example, if a sponsor did not require a detailed budget at the proposal stage, such as an NIH modular budget, then the GPS will request from the subcontractor a detailed budget form, such as an NIH Detailed R & R budget form. This may also include the GPS working with the PI to create a detailed prime budget.

c. If a PI decides to reduce (or perhaps increase) a subcontractor’s budget at this stage, the PI must negotiate those changes with the subcontractor. The GPS will then assist in obtaining a revised budget from the subcontractor.

d. The GPS will check with the subcontractor for other items that may need updating, including the following:

i. Budget justification ii. Scope of Work

iii. IRB or IACUC approvals iv. Dates of the subcontract (both project period and current budget period).

e. Once all materials are collected and reviewed by the GPS for compliance, consistency and accuracy, the GPS will forward the materials to the GA with the PI name, sponsor name, and account number, if available.

5. Once the GPS has gathered and reviewed all required subcontractor information, the GPS will

forward that information referenced in Step 4 of this section to the GA for completion of OSPA’s

4

On-line Subagreement Request Form, which is accessible at: https://www.research.uky.edu/aspnet/vsprojects/OSPA/SubAgreement/. While anyone with a Link Blue can enter the information in this on-line form, only the PI can submit the completed form to OSPA. See Appendix C for further information.

6. The GA will enter the details into the on-line request form.

7. The GA will notify the PI and DA that the on-line form is complete.

8. The PI will review the form for accuracy. If edits are needed, he or she will contact the GA for assistance. Once completed and in final form, the PI for the grant will submit the form to OSPA.

9. The PI and the DA will be copied on the email when the subcontract document is emailed to the

subawardee. The GA and GPS are not copied on this correspondence.

10. Invoicing processing is handled by UK’s subaward on-line approval system. Once the approval is successfully completed, then UK’s Accounts Payable Service. For more, please see the following: https://www.uky.edu/ufs/accounts-receivable-compliance#Subaward Monitoring.

11. The GA will monitor the grant to ensure the appropriate encumbrances appears on the grant via a

monthly account review.

12. Via the SRAS Post-Award Discrepancy List, which is part of the SRAS Reconciliation Process, the SRAS Reconciler will monitor expenses to ensure that there are regular invoices being processed and paid on the grant. The GA will contact the DA and PI, if necessary, should subcontract expenses not appear to be posting to the grant.

13. Through the regular grant account review, the GA will monitor the balance remaining in the

sponsored class(es) for subcontracts and contact the DA and/or PI, if there appears to be a need to rebudget and/or liquidation of the subcontract encumbrance based on the expenses being incurred.

14. For OSPA or PI budgetary or other administrative questions related the subcontractor materials,

the GPS will serve as the primary point of contact. Multi-Year Projects: The basic steps from the Award Stage remain the same when a project is multi-year (such as an NIH R01 award). The following are some steps that are specific to multi-year awards. Note that, for non-FDP institutions, as long as a Subrecipient Commitment Form is on-file, the GPS will not need to request a new one each year. 1. For a multi-year project, the sponsor will likely send the PI and OSPA a new year’s notice of award,

adding additional funds and extending the project for another period of months or years. The GPS will usually learn of this either via notification from OSPA, typically within the context of asking for updated budget information, or, from the GA during PADR review, if new year funds are added to an existing project’s subcontract line(s).

2. If the GA learns of the new year’s funding through PADR review, the GA will check the remaining

balance, if any, for the previous year’s subcontract(s) in SAP via the T-Code ME2K and advise the PI, DA and GPS of the existence of carryforward.

5

3. The GPS will have primary responsibility for gathering and confirming the accuracy of new-year

subcontractor budgets and other materials. For some sponsors, detailed, multi-year budgets are prepared either at the Proposal Stage or with an annual progress report. In that case, the GPS will check to confirm that the most recent budget is accurate in comparison with the award and PI and subcontractor expectations. Once gathered and fully reviewed by the GPS for compliance, consistency and accuracy, the GPS will provide those and any other items to the GA.

4. If the GA has not already performed the following step as part of the PADR review process, the GPS

will advise the PI and DA of the amount remaining of the current subcontract by checking the Purchase Order (PO) in SAP, the University’s financial system, via T-Code ME2K. The GPS will advise if any remaining funds can be carried-forward into the next budget period.

5. Once the GA receives updated materials from the GPS, then the GA will provide the requested

information to OSPA in one of two ways: (1) if the award will receive a new account number each year (meaning carryforward of previous year’s funds is not automatic), then the GA will complete a new OSPA On-line Subagreement Request Form or (2) if the project will keep the same account number each year (meaning carryforward of the previous year’s funds is automatic), then the GA will send updated information to the OSPA Subaward Administrator via an email containing the updated items gathered by the GPS (see Award Stage Step 4 for a list of those materials).

Roles and Responsibilities: Principal Investigator (PI) is responsible for: Proposal Stage:

Providing the GPS with subcontractor contact information.

Providing clarification or correction to the GPS and/or subcontractor regarding any inconsistencies in the subcontractor materials as identified by the GPS.

Negotiating any budget parameters with the subcontractor, if necessary. Just-in-Time Stage:

Providing the GPS with notice of a Just-in-Time request from a sponsor.

Confirming to the GPS plans to comply with any such requests. Award Stage:

If necessary, working with the GPS on a detailed prime budget, if one was not required by the sponsor at the Proposal Stage.

Negotiating any budget increases or reductions with the subcontractor, if necessary.

Upon request from the GPS, providing any clarification or corrections that may be needed to ensure that subcontractor materials are compliant, consistent and accurate prior to submission to the GA for further processing.

Providing information needed to complete the OSPA On-line Subagreement Request Form, if requested by the GA.

Reviewing the completed OSPA On-line Subagreement Request Form and working with the GA to make any edits.

Submitting the OSPA On-line Subagreement Request Form (this can only be done by the PI).

Using the UK subaward online system to approve subcontractor invoices and facilitate subcontractor payment by UK’s Accounts Payable Services.

Providing any guidance or clarification, as necessary, if the GA identifies the need for a potential

6

budget revision. Multi-Year Projects:

Upon receipt of new year’s award funding, notifying the GPS of such.

Determining the budget for the amendment based on the new funds available to be added, and considering if any remaining funds may be carried-forward.

Negotiating any budget changes with the subcontractor, and advising the GPS of the resolution of such negotiations.

Confirming any changes in the scope of work or other related items as requested by the GPS. Department Administrator (DA) is responsible for:

Proposal Stage:

For projects with three or more subcontracts, reviewing Google docs spreadsheet with subcontract information and status.

Award Stage:

Providing information needed to complete the OSPA On-line Subagreement Request Form, if requested by the GPS.

Serving as a cc’d contact on emails to the PI regarding the OSPA On-line Subagreement Request Form’s ready status for the PI to review and submit.

Providing any input as needed regarding instances in which the GA alerts the PI and DA of the potential need for budget revisions.

Multi-Year Projects:

Providing any input as needed regarding instances in which the GA alerts the PI and DA of the potential need for budget revisions.

Sponsored Research Administrative Services Staff (SRAS) Grants Proposal Specialist (GPS) is responsible for:

Proposal Stage:

Asking the PI if there will be one or more subcontractors for a grant proposal submission.

Requesting contact information any subcontractors.

Unless the PI requests otherwise, establishing initial contact with the subcontractor to request the following:

o Scope of Proposal Work o Budget (preferably in NIH Detailed R & R Budget Form or budget form of comparable

detail) o Budget Justification o Signed Letter of Intent o IRB and/or IACUC approvals o Facilities description, if needed o Equipment description, if needed o Key Personnel Biosketches, if needed o Subrecipient Commitment Form (non-FDP Institutions)—requires subcontractor’s

institutional signature o Subrecipient Contact Information Form (FDP Institutions)—does not require

subcontractor’s institutional signature

If a Subrecipient Commitment Form is required, completing the UK project information on the

7

form prior to sending the subcontractor (including UK’s project name, sponsor name, PI information, and Direct, Indirect and Total Budget figures).

Reviewing subcontractor materials, including Budget and Budget Justification, for, compliance, consistency, and accuracy.

Continuing efforts to obtain Subrecipient Commitment Form, even if it is not available at the time of proposal submission. Three attempts serves demonstration of due diligence. If obtained, the GPS will forward to the OSPA RA.

For projects with three or more subcontracts, creating the SRAS Subaward Management Excel Spreadsheet, uploading to Google Docs, making the link available to PI, DA, GA and OSPA, and keeping the spreadsheet updated.

Just-in-Time Stage:

Upon receipt of a Just-in-Time Information request, confirming with PI that he or she is planning on complying with the request.

For NIH Just-in-Time Requests, providing background to the PI regarding the implications of an auto-generated notice as opposed to one that is sent from the GMS/Program Officer.

Checking the eIAF for any subcontracts included in the proposal budget.

If there are subcontractors, checking whether the Subrecipient Commitment Form was obtained (applicable for non-FDP institutions only). If the form is needed but not on-file, then GPS will renew attempts to obtain the form and forward it to the OSPA RA.

Copying the GA for notification purposes on email correspondence regarding any Just-in-Time requests for projects with one or more subcontractors.

Award Stage:

Notifying the GA of the award, if the GPS learns about the award prior to account set up.

Checking for missing documentation, especially the Subrecipient Commitment Form (for non-FDP institutions only).

If the sponsor did not require a detailed prime budget at the proposal stage, updating the prime budget per the PI’s direction.

If there was not a detailed subcontractor budget at the proposal stage, requesting one as part of the process of updating subcontractor materials.

Coordinating with the subcontractor for updated materials/information, if needed, including the following:

o Budget o Budget Justification o Scope of Work o IRB and/or IACUC Approvals o Dates of the subcontract’s anticipated Project Period and Current Budget Year o For non-FDP institutions, signed Subrecipient Commitment, if one is not on file.

Reviewing all materials for compliance, consistency and accuracy.

Forwarding all finalized materials together in one email to the GA with the PI name, sponsor name, and account number, if available.

Serving as the primary contact for questions regarding subcontractor materials, including budgets and justifications.

Multi-Year Projects:

Repeating steps for reviewing materials from the previous year, including any updated budgets with submitted progress reports, and coordinating with the subcontractor for updated materials for the next year.

Checking ME2K in SAP and advising the PI of any potential carryforward from the previous

8

budget year.

Reviewing all subcontractor materials for the coming year for compliance, consistency and accuracy.

Sending all finalized materials to the GA for an amendment request in one email with PI name, sponsor name, and account number, for upcoming year, if available.

Sponsored Research Administrative Services Grants Analyst (GA) is responsible for:

Just-in-Time Stage:

Making note of GPS correspondence that a Just-in-Time request has been received by the PI on a project with one or more subcontracts.

Award Stage:

Making note of GPS correspondence that an award has been received by the PI on a project with one or more subcontracts.

Identifying as part of the PADR review the inclusion of a budget in the sponsored class(es) for a subcontract.

Within five business days of PADR review and identify of one or more subcontracts, contacting the GPS to start the subcontract start-up process.

Once provided with updated subcontractor materials by the GPS, entering the details into OSPA’s On-line Subagreement Request Form

Notifying the PI and DA that the OSPA On-line Subagreement Request Form is complete and ready for PI submission.

Making any edits to the OSPA On-line Subagreement Request Form per the PI’s direction, prior to PI submission.

Via the SRAS Post-Award Discrepancy List, reviewing whether there are regular invoices being processed and paid on the grant, and contacting the DA if there are not.

Monitoring balance remaining in subcontract budget lines and contacting the DA and/or PI regarding the potential need for any budget revisions.

Multi-Year Projects:

Contacting the PI and DA to confirm continuing plans for subcontract arrangements when funds are added to a multi-year project and identified as part of the SRAS PADR review process.

Advising the PI and DA of the amount remaining of the current subcontract, (by checking the purchasing order/PO in SAP, the University’s financial system) and advise if any of those funds can be carried-forwarded into the next year.

Preparing either a new OSPA On-line Subagreement Request Form (if the new year’s funding will receive a new account number) or an email to the OSPA Subaward Administrator If the new year’s funding be added to the previous year’s account) with updated information for the new year.

Working with OSPA, keeping the PI and DA cc’ed on email communications regarding the arrangements for the issuance of the amendment.

Sponsored Research Administrative Services Reconciler is responsible for:

Monitoring expenses at the post-award stage to ensure that there are regular invoices being processed and paid on the grant.

9

Abbreviations:

CGO – College Grants Officer COM – College of Medicine

DA – Department Staff/Administrator

eIAF – Electronic Internal Approval Form for grant proposals

F&A – Facilities and Administrative costs

GA – Grant Analyst GPS – Grants Proposal Specialist

IBU – Integrated Business Unit

OSPA – Office of Sponsored Projects Administration

PADR – Project Account Data Record

PI – Principal Investigator

RA – OSPA Research

Administrator

SRAS – Sponsored Research Administrative Services

Subrecipient Commitment Form

Office of Sponsored Projects Administration 109 Kinkead Hall, Lexington KY40506-0057 Phone: (859) 257-9420 Fax: (859) 323-1060

To be completed by institution issuing the subaward: PI Name PI Department

Prime Sponsor Performance Start Performance End

Proposal Title

Institution To be completed by the subrecipient organization (Sponsored Program/Business Office):

Institution’s Legal Name

Address City State ZIP + 4

EIN DUNS Congressional District Institution Type

Registered in SAM? Yes No Check if Institution is: less than or equal to 5 yrs. old HUB-Zone or small disadvantaged business

Sponsored Program Administrative Name Title

Sponsored Program Administrative e-mail Sponsored Program Administrative Phone

Performance Site Address Address same as above? Yes No If no, provide performance site address below.

Address City State

ZIP + 4 DUNS Congressional District

Subrecipient PI Subrecipient PI Name Department Phone

E-mail eRA Commons user name NIH proposals only.

Subrecipient Budget Request Total $ Direct $ F&A Rate (%) F&A Amount ($) Cost-sharing $ Must be in budget & budget justification.

Participant Support $: Yes No Program Income: Yes No Clinical Trial: Yes No

OSPA, 09/18/2015 Subrecipient Commitment Form, Page 1 of 2

APPENDIX A

10

Compliance Information

Financial Conflict of Interest (FCOI) Compliance Statement Applicable PHS, NIH, NSF, DHHS, or any other program requiring federal financial disclosure (check one).

Subrecipient organization certifies that it has an active and enforced conflict of interest policy that is consistent with the provision of 42 CFR Part 50, Subpart F, “Responsibility of Applicants Promoting Objectivity in Research.” Subrecipient does not have a compliant conflict of interest policy but will develop one prior to issuance of a subaward. A model policy is available at the Federal Demonstration Partnership web site. Subrecipient does not have a compliant conflict of interest policy and agrees to be bound by the conflict of interest policy of the issuing institution. (University o f Kentucky - P rior OSPA Approval) Not applicable - Project is not being funded by PHS, NIH, NSF, DHHS, or any other program requiring conflict of interest financial disclosure.

Responsible Conduct of Research (RCR) Only check if appropriate.

Not applicable because this proposal is not being funded by NSF or NIFA.

If NSF, subrecipient institution certifies that it maintains an institutional plan which is compliant with NSF’s Responsible Conduct of Research (PCR) requirement.

If NIFA, subrecipient institution certifies that it will comply with the “Responsible and Ethical Conduct of Research” requirements of the NIFA Agency-Specific Terms and Conditions.

Checklist of Proposal Documents Required

Statement of Work

Budget and budget justification

This form signed by subrecipient’s Authorized Official

Subrecipient Approvals

IRB and/or IACUC (if applicable) F&A rate agreement or link

Financial Audit or link

Other

Authorized Official Name Signature of Authorized Official

Title Date Signed

OSPA, 09/18/2015Subrecipient Commitment Form, Page 2 of 2

FOR UNIVERSITY OF KENTUCKY USE ONLY - OSPA review completed by:

CGO Subaward Administrator Date

With signature that follows, the Authorized Official certifies the information on this form is true and correct. Further, the appropriate programmatic and administrative personnel involved in this application are aware of sponsoring agency policy in regard to subawards and are prepared to establish an inter-institutional agreement consistent with those policies. Any work begun and/or expenses incurred prior to execution of a subaward agreement are at the subrecipient’s own risk.

Human Subjects: Yes No Vertebrate Animals: Yes No Institutional Assurance No. Animal Welfare Assurance No. Approval Pending? Yes No Approval Pending? Yes No

Export Control: Do you anticipate the useor development of items, software, or technology that would require review under Export Control laws?

Approval Date if approved Approval Date if approved Yes No Unknown at this time

11

SubrecipientContact Information Form

Office of Sponsored Projects Administration 109 Kinkead Hall, Lexington KY40506-0057 Phone: (859) 257-9420 Fax: (859) 323-1060

To be completed by institution issuing the subaward: PI Name PI Department

Prime Sponsor Performance Start Performance End

Proposal Title

Institution To be completed by the subrecipient organization (Sponsored Program/Business Office):

Institution’s Legal Name

Address City State ZIP + 4

EIN DUNS Congressional District Institution Type

Registered in SAM? Yes No Check if Institution is: less than or equal to 5 yrs. old HUB-Zone or small disadvantaged business

Sponsored Program Administrative Name Title

Sponsored Program Administrative e-mail Sponsored Program Administrative Phone

Subrecipient PI Site Address Address same as nstitution Yes No If no, provide performance site address below.

Address City State

ZIP + 4 DUNS Congressional District

Subrecipient PI Subrecipient PI Name Department Phone

E-mail eRA Commons user name NIH proposals only.

Administrative Contact Name

Email

Phone

Primary Administrative Contact

APPENDIX B

12

APPENDIX C

…to start your online Subagreement Request, enter your UK link blue User ID and Password.NOTE: Both PIs and departmental administrators can enter and SAVE data, but only the PI can SUBMIT the Subagreement request to OSPA.

…the next screen looks like this…

…at this point you can choose to make a New Entry (click the first icon) or search a GrantAccount Number (WBS element) for all entries made to date on that account number.

Searching a UK Grant # / WBS element will return a Screen that looks like this…

Click on “select” to see details associated with the subagreement request.

Welcome to OSPA’s NEW On-Line…

Subagreement Request System

Once you log-on, you will be taken to the electronic version of the Subagreement Request Form.You have the option to complete the form in its entirety and submit. Or, you can save it, review, editand submit at a later time. This system is designed to allow anyone to enter data, but only thePrincipal Investigator may submit the request to OSPA. This serves as the PI’s “signature” toauthorize the subagreement.

Subagreement Request System Search

Subagreement Request Search

3048100001

13

The new online Subagreement Request screen is very similar to the hard-copy version with 4 exceptions as highlighted below…

All items with a red * are required elements. Format requirements are provided in blue. You’ll find several “Help” links to provide guidance as needed.

You may save your request at any time and return to complete your request. Once the PI has provided a final review, the Subagreement Request can be sent to OSPA. The PI will receive an electronic confirmation with an ID# assigned to the request.

Should you need assistance with the On-Line Subagreement Request form, contact the Subawards/Subcontracts Administrator at OSPA@uky.edu or call 859-257-9420.

14

Help Screens – On-line Subagreement Request System

User Name

This is your link blue account user name, also referred to as myUK user ID.

Password This is your link blue password. The password you enter here is not readable by anyone else.

Log In

Once you log-on, you will be taken to an electronic version of the Subagreement Request Form. You have the option to complete the form in its entirety and submit. Or, you can save it, review, edit and submit at later time. This system is designed so that Administrative Personnel can assist with data input, but only the Principal Investigator will be able to submit the request to OSPA. This serves in place of the PI's "Signature" to authorize the Subagreement.

Log Out

When you click on “Log-Out”, you will be sent back to the “Log-In” screen. Re-enter your User Name and Password to Enter a New Request. You may exit the On-Line Subagreement Request Input Screen by closing your web browser, but, any data entries you have made will not be saved automatically.

To Save your data, scroll to the bottom of the screen and click on the “Save Data, Do Not Send to OSPA” button.

Reuse This feature is designed to populate the UK Invoice Contact Information so you do not have to re-key the data for the UK Account # / WBS Element you enter. You still have the ability to change data in any Invoice Contact Information field.

Subaward a Continuation?

Some awards and their subawards receive a new Account # / WBS Element each year. If you click “Yes,” a window will open asking you to provide the previous year’s Account # / WBS Element for the subaward.

If your award retains the same Account # / WBS Element number, then click “No.”

Is the award you received the First Year of a New Competing Segment? Click “Yes,” then enter the prior competing segment Account # / WBS Element.

This question has been added to assist OSPA in determining which General Ledger code (530200, 530201) should be used to create and/or amend the Purchase Order associated with the subaward.

Send to OSPA

After you click “Send to OSPA,” you will receive a confirmation message that your Sub Agreement Request has been sent to OSPA.

As long as you have entered a correct account number, you will be able to view your entry using “Search all Subageements,” but, you will not be able to make any further changes.

If you cannot retrieve your entry, contact the Subawards Administrator at OSPA@uky.edu, or by calling 859-257-9420, identifying the date, approximate time of submission, and account number you attempted to use.

What to do if you've already sent your request, but you know you have errors.

Should you find you have errors in an entry you have sent to OSPA, do not attempt to resubmit. Rather, contact the Subawards Administrator at OSPA@uky.edu, or by calling 859-257-9420, identifying the date, approximate time of submission, and the account number you used. Provide details about the errors you’ve made. The Subawards Administrator can help you with the corrections.

15