Office of Sponsored Programs May 21, 2011 ospoff@syr.edu X2807.

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Slide 1 Office of Sponsored Programs May 21, 2011 ospoff@syr.edu X2807 Slide 2 Help us learn about you BBIs organizational structure Folks roles/responsibilities How you operate at various stages of the lifecycle Review Sponsored Project lifecycle & guiding principles Strategize on how to more efficiently work together to Facilitate achieving the awards goals & objectives while adhering to sponsors requirements & SU policies / practices Slide 3 Spending Federal Dollars Comes with strings attached Want to avoid knots or the noose Why?? Feds expectations: ?? At proposal submission SU agrees to follow awards terms and conditions including following SU policies/procedures, reporting requirements & the cost principles, which require that costs are: Allowable under terms of award and SU or entity policy Allocable can reasonably determine benefit received by award and cost proportional to benefit Reasonable prudent person test (necessary) Consistently treated either direct cost or indirect cost Slide 4 BBIs organizational structure Folks roles/responsibilities How you operate at various stages of the lifecycle including communications & information management Slide 5 Find FOAApply Negotiate Award & Set up Manage Award Close-out & Repeat or Recompete Slide 6 BBIs activitiesOSP How & Who? Go / no go process Who notifies OSP (MMcB) about plans & when ? COS IRIS Grants.gov / fbo.gov Distribute to BBI leadership Slide 7 Find FOAApply Negotiate Award & Set Up Manage Award Close-out & Repeat or Recompete Slide 8 BBIOSP Whos responsible for what? Needs FOA information ASAP URL PI & team Partners (non-SU) Ltr of Comtnt AOR SOW SOW Budget required format Budget required format Time to review & authorize 7 b-days: budget 3 b-days: complete app Service guidelines Service guidelines Slide 9 BBIOSP Internal Review What is goal of project? Who has expertise? BBI? Collaborators?? What is each group doing? Cost? Parts and whole Info Management Version control Naming conventions Reviews Application adherence IRR congruence Confirmation of 3 rd party approvals FAR exceptions Lots of other stuff Submits Slide 10 Decision to be made at proposal stage. Not all treated the same in terms of F&A Regardless of Type of 3 rd party relationship In advance, have a SOW or at a minimum a clear understanding of what they will do for you Characteristics of subrecipients, Vendors (purchased services) or consultants Characteristics of subrecipients, Vendors (purchased services) or consultants Lots of detailed information Subrecipient Responsible for work and award performance Subject to certifications/assurances (Human Subjects) If at SU would be PI or other key personnel Slide 11 Vendor Services provided are core to their mission Provide same services for many customers Price published or same rate for similar customers May be non-profit organization Caveat IHEs procedures may impact agreement type Consultant Individual who provides advice or discrete service modest scale A type of vendor in terms of award T&C (e.g., not subject to human subjects assurances but may be subject to confidentiality provisions.) Is work for hire Use worksheet for non-SU employees Slide 12 Made up of many parts Much of our focus is on: Project plan narrative, description etc Including Statement of Work (SOW) Budget Budget justification Slide 13 Budget SOW Budget is financial expression of statement of work (SOW). Work drives costs; each collaborator should define & own SOW Slide 14 Slide 15 Find FOAApply Negotiate & Set Up Award Manage Award Close-out & Repeat or Recompete Slide 16 OSP responsibilities / tasks BBIs responsibilities / tasks Subrecipient process under award management Slide 17 Grants / Contracts Standard Terms & Conditions or Troublesome clauses (reviewed and identified at proposal submission) Where FAR exceptions accepted? Was there a modification to submitted budget or work plan? Adjust key personnel effort Modify scope of work Allowable costs? Slide 18 Compliance check Human subjects congruence COI all folks Debarment/suspension IRR etc Slide 19 No Internal Routing and Review form No current COI for key personnel Human subjects protocols pending Allocate $$ (easier if clear up front) Human Subjects Not Human Subjects Allocation of award to multiple SU units not clear Slide 20 OSP OSA for Chartstring creation (new award) OSP BBI PI, budget manager & project manager Award package: chartstring, T&C etc. New OSP will confirm with BBI that any 3 rd party partners are the same as in proposal OSP will request institutional profile & conduct risk assessment Slide 21 When GRANT agreement isnt in hand request as soon as known and practical Contracts: only when we know start date and its not effective dated; high risk Same compliance reviews as for awards Not allowed Subrecipient costs Human subjects costs without congruence complete Slide 22 Find FOAApply Negotiate Award & Set Up Manage Award Close-out & Repeat or Recompete Slide 23 BBIOSP Responsibilities PI Day-to-day Financial Subrecipient Consultants Information management Negotiate amendments Obtain sponsor prior approvals Facilitate (sub)award administration Facilitate compliance with SU / sponsors policies, T&C Slide 24 Review all expected obligations upon receipt of award materials ALL BBI personnel effort: review / revise upon receipt of every new award and anticipated award. 3 rd party collaborations plan ahead Standing orders plan ahead Avoid confirming invoice attached Not named folks debarment / suspension (epls.gov) Review award materials especially terms and conditions to know what you can & cant do. DoL & cooperative agreements much less flexibility You cant move named personal around at will. CONSIDER name only essential folks Slide 25 Proposal Commitment: SOW Budget & Justification Award OSP BBI: Same 3 rd parties? BBI: Req 2 Issue & refine/ revise SoW & Budget OSP: Request Profile & conduct risk assessment OSP: Develop Subaward, Negotiate, Execute Set up PO Manage /monitor subawards BBI: Progress Approve $$ OSP: costs, timing, pace Slide 26 From risk assessment, develop subaward Cost reimbursable vs fixed price WHY Reporting requirements Financial supporting docs etc Execute subagreement Create PO in ePro Set up in SADb Send subagreement to BBI Monitor process Slide 27 Managing your Award Managing your Award Award Management Aid Award Management Aid Slide 28 Collaborators Letters of commitment from authorized rep. Partner may reject award Certs & Assurances not obtained from subaward delays Budget / budget justification Financial risk Statement of work missing or Ambiguous standards of performance Not unique to project Errors in management Braiding & Blending allocobility concerns Slide 29 Issue New subaward Issue New subaward Modify Existing subaward Modify Existing subaward Proposed- Subaward materials TransmittalSubaward materials Transmittal Slide 30 Slide 31 Questions frequently asked of OSP Why am I not being paid??? There is no agreement in place No agreement no obligation by SU No invoice has been received No invoice no way to pay Invoice review guidance Invoice review guidance Slide 32 Continuation Slide 33 BBIOSP Annual Progress report Complete continuing application HINT: Work with subs same time to obtain updated SOWs and budgets for next budget period (~90d out) Carry over? Signs as authorized official or AOR, as required. Reviews /approves budgets Requests carry over, as applicable Slide 34 OSP not informed of continuation process Subaward continuation challenges Not done in a timely manner Ambiguous statement of work SOW similar to other awards Budget poorly justified with little linkage to SOW Inadequate budget justification Baton gets dropped along the way Communications / info management challenges Agreement execution Invoice management Slide 35 Formal process to ensure that all University obligations to sponsor have been met. Programmatic All required reports Invention reports Financial Final Financial report Review all documentation Property Reports Subaward as above Slide 36 Accepting federal $$ comes with MANY obligations, i.e there are strings attached. Current administration Transparency and accountability to avoid Fraud, Waste, and Abuse Braiding and blending is not consistent with the allocobility cost principle You will be audited. Following regulations, policies & SU procedures; timely actions; and complete documentation are best protections against questioned costs, embarrassment, loss of reputation etc. Slide 37 Late awards to SU Impacts subawards Effort Reporting Cost transfers too many, and not timely Debarment & suspension Must be done prior to hiring Subs we ask for certification, but they are responsible for conducting epls check Slide 38 Effort personnel compensation and supplemental pay (Extra Service) Subawardee effort procedures Travel especially foreign travel Recharge Centers Subrecipient monitoring Administrative costs Eligible activities Slide 39 Accepting federal $$ brings with it the obligation to be responsible steward of those $$ Efficient and effective practices facilitate stewardship Strategize / document what can we each do to support this goal

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