streamlining (sub)award management
DESCRIPTION
Streamlining (sub)Award Management. Office of Sponsored Programs May 21, 2011 [email protected] X2807. Today’s goals… Get us all on the same page…. Help us learn about you BBI’s organizational structure Folks’ roles/responsibilities How you operate at various stages of the lifecycle - PowerPoint PPT PresentationTRANSCRIPT
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Help us learn about you◦ BBI’s 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 award’s goals & objectives while
adhering to sponsor’s requirements & SU policies / practices
Today’s goals… Get us all on the same page…
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Spending Federal Dollars◦ Comes with strings attached◦ Want to avoid knots or the noose
Why??◦ Fed’s expectations: ??
At proposal submission – SU agrees to follow award’s 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
Guiding principles
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BBI’s organizational structure
Folks roles/responsibilities
How you operate at various stages of the lifecycle including communications & information management
About BBI
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Find FOA ApplyNegotiate Award & Set up
Manage Award
Close-out & Repeat
or Recompet
e
The Sponsored Project LifecycleTransparency & Accountability to Avoid Fraud, Waste & Abuse
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Find Funding Opportunities
BBI’s activities OSP
How & Who?
Go / no go process
Who notifies OSP (MMcB) about plans & when ?
COS
IRIS
Grants.gov / fbo.gov
Distribute to BBI leadership
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Find FOA ApplyNegotiateAward & Set Up
Manage Award
Close-out & Repeat
or Recompet
e
The Sponsored Project LifecycleTransparency & Accountability to Avoid Fraud, Waste & Abuse
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It’s a go – you’re going to apply
BBI OSP
Who’s responsible for what?
Needs◦ FOA information ASAP
URL PI & team Partners (non-SU)
Ltr of Com’tnt AOR SOW Budget required format
◦ Time to review & authorize 7 b-days: budget 3 b-days: complete app
◦ Service guidelines
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You’re Applying….
BBI OSP
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 3rd party approvals
◦ FAR exceptions
◦ Lots of other stuff…
Submits
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Decision to be made at proposal stage.◦ Not all treated the same in terms of F&A
◦ Regardless of Type of 3rd 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 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
Subrecipient / Vendor / Consultant
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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 – IHE’s 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”
Subrecipient / Vendor / Consultant
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Made up of many parts…
Much of our focus is on:
◦ Project plan – narrative, description etc Including Statement of Work (SOW)
◦ Budget
◦ Budget justification
Reminder - Application…
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SOW vs Budget - two sides same coin -
BudgetSOWSOW
Budget is financial expression of statement of work (SOW).Work drives costs; each collaborator should define & “own” SOW
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SOWs from each individual component
SUSub#1Sub#2Sub#3PurchSvc#1PurchSvc#2Cons't#1Cons't#2
Project Work Plan comprises…
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Find FOA ApplyNegotiate & Set Up
AwardManage Award
Close-out & Repeat
or Recompet
e
The Sponsored Project LifecycleTransparency & Accountability to Avoid Fraud, Waste & Abuse
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OSP responsibilities / tasks
BBI’s responsibilities / tasks
Subrecipient process under award management
Award Negotiation & Set Up
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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?
Negotiate Award - OSP
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Compliance check◦ Human subjects congruence◦ COI all folks◦ Debarment/suspension◦ IRR◦ etc
Award Set up - OSP
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Common omissions delays… 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
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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 3rd party
partners are the same as in proposal OSP will request institutional profile & conduct risk
assessment
After negotiation & compliance reviews… Award Set up - OSP
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When GRANT agreement isn’t in hand – request as soon as known and practical
Contracts: only when we know start date and it’s not effective dated; high risk
Same compliance reviews as for awards
Not allowed◦ Subrecipient costs◦ Human subjects costs without congruence complete
What about forward funding?
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Find FOA ApplyNegotiate
Award& Set Up
Manage Award
Close-out & Repeat
or Recompet
e
The Sponsored Project Lifecycle Transparency & Accountability to Avoid Fraud, Waste & Abuse
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Manage the award - discussion
BBI OSP
Responsibilities◦ PI
◦ Day-to-day
◦ Financial
◦ Subrecipient
◦ Consultants
Information management
Negotiate amendments
Obtain sponsor prior approvals
Facilitate (sub)award administration
Facilitate compliance with SU / sponsor’s policies, T&C
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Review all expected obligations upon receipt of award materials◦ ALL BBI personnel effort: review / revise upon receipt of every new
award and anticipated award.◦ 3rd 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 & can’t do.
DoL & cooperative agreements much less flexibility ◦ You can’t move named personal around at will. ◦ CONSIDER – name only essential folks
Award Mngt: Worth repeating…
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Proposal Commitment:
SOWBudget &
Justification
Award –OSP BBI: Same 3rd 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: ProgressApprove $$OSP: costs, timing, pace
Subaward process Transparency & Accountability to Avoid Fraud, Waste & Abuse
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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’
Subrecipient Management - OSP
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Managing your Award
Award Management Aid
Manage the (Sub)award – BBI discussion
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Common challenges…and the consequences
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
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Issue New subaward
Modify Existing subaward
Proposed- Subaward materials Transmittal
Deep Dive: Request to
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Subaward Db - screenshot
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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
Other matters
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Continuation…
And a year goes by….
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Non-competing continuationsProcess varies by sponsor
BBI OSP
Annual Progress report
Complete ‘continuing application’
HINT: Work with sub’s 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
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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
Potential speed bumps
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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
Close-out
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Accepting federal $$ comes with MANY obligations, i.e there are strings attached.
Current administration –◦ Transparency and accountability to avoid Fraud, Waste, and
Abuse
Braiding and blending is not consistent with the allocobility cost principle
You will be audited. ◦ Following regulations, policies & SU procedures; timely actions; and
complete documentation are best protections against questioned costs, embarrassment, loss of reputation etc.
When bad things happen to good people
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Late awards to SU◦ Impacts subawards◦ Effort Reporting◦ Cost transfers – too many, and not timely
Debarment & suspension◦ Must be done prior to hiring◦ Sub’s – we ask for certification, but they are
responsible for conducting epls check
Last audit
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Effort – personnel compensation and supplemental pay (Extra Service) ◦ Subawardee effort procedures
Travel – especially foreign travel
Recharge Centers
Subrecipient monitoring
Administrative costs
Eligible activities
Future audits (IG work plans / A-133)
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Accepting federal $$ 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…
Summary