DGA Community Meeting December 13, 2011

DGA Community Meeting

December 13, 2011

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DGA Community Meeting: AgendaDecember 13, 2011

Agenda Item Discussion Leader

Welcome and Introductions Marisa Zuskar

Sponsored Project Records Retention Kira Homo

Marisa Zuskar

Vendors vs. Subrecipients Liz Denecke

Post-Award General Updates Marisa Zuskar

Pre-Award General Updates

Welcome and Introductions

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Sponsored Project Records Retention

Kira Homo, Electronic Record Archivist

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Vendors vs. Subrecipients

How do you decide?

Liz Denecke

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SubrecipientFEDERAL LANGUAGEA-133.210(b)

MODIFIED DESCRIPTION

(b) Federal award. Characteristics indicative of a Federal award received by a Subrecipient are when the organization:

A subaward is the transfer of a portion of a sponsored award to a Subrecipient (Sub) for the purpose of the Sub contributing programmatic effort on the project.

1. Determines who is eligible to receive federal financial assistance.

1. Sub has the authority to issue a subaward/subcontract to a 3rd party.

2. Has its performance measured against whether the objectives of the Federal program are met.

2. Unlike a Vendor who only has to provide the required goods or services to be evaluated successfully, a Sub’s performance is evaluated based on how well its work helped to meet the objectives of the project.

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3. Has responsibility for making programmatic decision making.

3. A Sub takes full responsibility, including intellectual leadership, for the portion of UO’s Statement of Work (“SOW”) that it will undertake. In other words, UO assigns a defined portion of their SOW’s intellectually significant activity to the Sub to fulfill.

4. Has responsibility for adherence to applicable Federal program compliance requirements.

4. The Sponsor’s Terms and Conditions accepted by UO “flow down” to the Sub, who must agree to comply and be capable of complying with them (e.g. audit/conflicts of interest/IRB and IACUC).

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5. Uses Federal funds to carry out a program of the organization as compared to providing goods or services for a program of the pass-through entity.

5. Work is performed by Sub’s personnel using Sub’s resources, usually at their site in a noncommercial setting, in an area or field in which they have specific expertise.

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VendorFEDERAL LANGUAGEA-133.210(c)


(c) Payment for goods and services. Characteristics indicative of a payment for goods and services received by a vendor are when the organization:

A procurement action is the purchase of goods/service with no transfer of programmatic effort from a Professional Service/Vendor (a dealer, distributor, merchant, or other seller providing goods or services). A Professional Service/Vendor:

1. Provides the goods or service within normal business operations.

1. A Vendor is a business selling either a product or goods (e.g. widgets) or services (e.g. routine soil testing). Under this definition, the professional services of a consultant could be treated as Vendor costs if they also meet items 2-5 below.

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2. Provides similar goods or services to many different purchasers.

2. A Vendor sells its goods or services to many different purchasers.

3. Operates in a competitive environment.

3. A Vendor competes with other Vendors selling similar goods or services.

4. Provides goods or services that are ancillary to the operation of the Federal program.

4. A Vendor provides a good or a service that might be necessary to the success of the sponsored project. Vendors do not make programmatic decisions regarding the scope of work or their performance. Vendors are not critical to the intellectual purpose of the Statement of Work, e.g. widgets or routine soil testing.

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5. Is not subject to compliance requirements of the Federal program. But see A-133.210 (f)

5. A Vendor is subject to less constrained federal compliance requirements, and is NOT subject to federal program-specific programmatic compliance requirements. See A-133.210(f)

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Budget Tips

SPS FY2011 Annual Report

• Posted to the SPS website

BUDGET TIP

• If the Party meets the definition of a Subrecipient, BUDGET this cost under the sub-award/sub-contract line item.

BUDGET TIP

• If the Party meets the definition of a Vendor above, then BUDGET the Vendor under the supplies, consultants, or other line item.

• 1. University wants to agree to co-host a conference with another organization. The organization does not typically meet the definition of a Vendor, e.g. Nonprofit or university. The statement of work provides that the Organization would coordinate the production of meeting materials, conference meals, conference meeting rooms and AV equipment. UO was to reimburse Organization for half of those costs.

Example 1

• 1. We concluded this was a procurement. Even though Organization is not a Vendor, University was not transferring any programmatic effort to Organization.

Conclusion 1

• 2. A colleague at a private institution has effort on a project and a statement of work that states he/she will be obtaining, analyzing and interpreting data. The UO PI wants to list this colleague as a Co-PI on the project. The collaborating institution prefers to be paid via a PSC.

Example 2

• 2. We concluded that this was a subaward relationship and therefore the Co-PI should be paid via a subaward. The preference of the collaborating institution is not determinative.

Conclusion 2

• 3. A project requires software specific to the purpose of the award. The software must be developed, and the development is to be performed by a professor at another institution. That institution has responsibility for making decisions about how to develop the software to specifically meet the purpose of the project.

Example 3

• 3. We concluded this was a subaward: The second institution had responsibility for making programmatic decisions in developing the software that would be central to the overall success of the project.

Conclusion 3

– Example 4.A: • School District (SD) will provide publicity,

rooms, equipment, food/refreshments and parking for workshops. UO will reimburse SD for costs associated with providing those items.

• SD will arrange for substitute teachers to replace teachers while the teachers attend the workshops. UO will reimburse SD for the cost of the substitute teachers.

Example(s) 4. Three SD contracts

• Example 4.A. We concluded this was a procurement. There was no programmatic effort.

Conclusions (4) SD contracts

– Example 4.B:• SD will allow UO staff access to students for

testing.• SD will help UO staff schedule teachers for

professional development training.• SD will give UO demographic data.• UO will reimburse SD for substitute teachers to

cover teachers while in the development trainings.• UO will pay SD teachers an incentive for providing

trainings.


• Example 4.B. We concluded this was a procurement. There was no programmatic effort.


– Example 4.C:• SD staff will communicate weekly with UO Staff.• SD will assist with implementing UO research activities in SD

schools.• SD will assist in development of research protocols and materials.• SD will assist in the analyses, reporting and dissemination of

project results.• UO will reimburse for substitute teacher costs to free up teachers to

participate in the project.• UO will reimburse for extended contract hours for teachers to

participate in the project.• UO will reimburse SD for project materials.


• Example 4.C. We concluded this was a subaward because the SD assumed programmatic activities that would be central to accomplishing the intellectual purpose of the grant.


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STILL UNSURE WHETHER A PARTY IS A VENDOR OR A SUBRECIPIENT?

SPS PREAWARD: SPS CONTRACTING:

Kari Vandergust 6- 5013Rebecca Roby 6- 5133Glen Bennett 6- 5039

Liz Denecke 6-5132 John Sites 6-3107 Orca Merwin 6-0832

Post-Award General Updates

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Post-Award General Updates

SPS FY2011 Annual Report

• Posted to the SPS website

Post-Award Associate Director Candidate

• Friday – this week! – 1:30 – 2:00 PM

• ORSA (SPS) Conference Room

DGA Community Training: Cost Transfers

• Review why Cost Transfers are so “high risk”

• Discuss how to best complete the Cost Transfer Justification Form

• Review some tips and tricks for using the UO systems – PHAREDS and JVs!

Pre-Award General Updates

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Documents

DGA Community Meeting December 13, 2011