Office of
Research and
Sponsored Programs
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All sponsored awards (i.e. grant awards, grant agreements, grant contracts, etc.) received by ETSU that require collaborative effort from a third party in support of the University's sponsored award must have a subaward agreement prepared to formalize the collaborative relationship between the University and the third party (a.k.a. collaborator or subrecipient). All such subaward agreements must be requested through the Office of Research and Sponsored Programs Administration (ORSPA).
With the assistance of the Principal Investigator/Project Director, ORSPA is responsible for the formal negotiation of terms and conditions relevant to the collaborator during the development or performance of the subaward.
Procedures for Obtaining a Subaward Agreement
(Note: forms can be downloaded from our Forms and Tools page.
1. Complete the “Request for Subrecipient Agreement” form.
2. After we receive and review your request, an “ETSU Pre-subaward Monitoring” form and a “W-9” form will be sent to the collaborator.
3. We will draft the Subaward Agreement according to the information provided by on the request form.
4. After the draft agreement is completed, it will be sent to the PI for his/her review and approval. Once the PI has filled out, signed and returned the “ETSU Sponsored Contract/Agreement Review Routing Form”, the ORSPA will route the Subaward Agreement for internal review and approval to: the relevant department chair and Dean, the VP for Research, the COM F&A office if the PI has an appointment in the College of Medicine and the Asst. VP for Procurement and Contract Services. Once approved it will be signed by the ETSU President or by the VP for Health Affairs.
5. If the Subaward Agreement involves human subjects research, the Subaward Agreement will require that the collaborator comply with procedures that protect human subjects, as provided in the ETSU Human Research Protections Program Policies and Procedures (see “Policy on Sponsored Human Subject Research” at http://www.etsu.edu/research/researchpolicies.htm). The Subaward Agreement will also require approval by the relevant ETSU Institutional Review Board (IRB) before it is finalized.
-
When the agreement
is signed, ORSPA will arrange for the Subaward Agreement to be
mailed to the collaborator. A copy will be retained in the ORSPA.
- When the fully-executed Subaward Agreement is returned, a copy will be sent to the PI.
Procedures
for Monitoring Collaborators/Subrecipients
- After the
Subaward Agreement is fully executed, it is the responsibility of
the PI to:
(a) monitor the technical conduct of the collaborators’ work;
(b) authorize payment for collaborator’s invoices;
(c) monitor rebudget requests;
(d) review technical and financial reports of collaborator; and,
(e) request additional Subaward Agreements or Amendments to Agreements if additional time and/or support is needed for the collaboration.
- It is the responsibility of the ORSPA to:
(a) advise collaborators of all applicable federal and state regulations; and,
(b) request and review A-133 audit reports from collaborators.
ETSU Office of Research and Sponsored Programs
Ada Earnest House · P.O. Box 70565 · Johnson City, TN 37614
ph: (423)439-6000 · fax: (423)439-6050
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