Establishing Subawards to External Collaborators

A Step by Step Guide

April 8, 2014OSP Coffee Break

Will the work and funds be shared with an outside entity?

Yippee!

If yes…

Don’t forget there are strings attached!

So, know the rules before you share!…

Clearly define the work you are sharing!

Subawards• Make programmatic decisions within the

agreed upon scope of work• Would be considered a PI or Co-PI if at SU • Minimal direction from SU• Measured against prime sponsor

requirements• Work benefits the sponsor

Step #1Request to Issue

• PI/Project Staff prepares and submits the Request to Issue a Subaward to OSP– The Statement of Work and Budget must be

included.– This document is used as a guide to draft the

subaward agreement• Request to Issue

Step #2Subrecipient Assessment

• OSP follows Subrecipient monitoring process to assure compliance with requirement and SU policy.

• Past experience and review of entity documents (next slide) are used to evaluate any risks associated with engaging them on a sponsored project.

• The identified risk will be used to determine specific risk mitigation strategies that can be written into the subaward agreement.

Name (# Active Subawards) Date of Financial Profile on File

F&A Rated Expiring Date

A-133 Audit

Year on File

Financial Statement Year

on File

Debarment Recheck Date

CCR Expiration Date

Current Risk Assessment

Latest Review Date

AbleLink Technologies, Inc. (1) 11/29/12 N/A - - 12/4/12 7/10/13 High 12/12/12

Advocates for Human Potential, Inc. (0) 6/15/12 N/A 2011 2011 1/23/13 6/25/14 Low 10/14/13

Ohio State University (1) 3/28/14 6/30/16 2013 2013 1/23/13 2/25/15 High 4/4/14

Onondaga Community College (4) 6/24/13 N/A 2013 2013 12/6/13 11/5/14 Low 2/27/14

Subrecipient Review Summary

Note: this process can take some time!

Step #3Subaward Agreement

• OSP will draft, negotiate and execute the subaward agreement.

• Copies of the agreement will be forwarded to the PI and Department Administrator when finalized.

• Subaward agreements determine the rules for managing your collaborator.

• Subaward Agreements – Standard or FDP

Step #4Create Subaward Commitment

• OSP submits an E-pro Requisition to establish the applicable commitments reserving funds for the amount of the subaward.

• E-pro workflow forwards this request to the department for approval.

• Subaward invoices are posted against the commitment as payments are approved.

• Use FAB and OSP to monitor your subaward commitments.

Number Subcontractor Start Date End Date Award Total Available Funds Expended To Date Invoiced Thru Date % Spent

24294-02619-S01

Onondaga Community College

08/09/10 08/08/14 $150,000.00 $45,893.03 $104,106.97 Jan 31 2014 69.40 %

24294-02619-S02

The Research Foundation for the State University of New York at Buffalo St

08/09/10 08/08/14 $360,000.00 $13,525.69 $346,474.31 Oct 31 2013 96.24 %

24294-02619-S03

Clarkson University 08/09/10 08/08/14 $359,928.00 $43,379.12 $316,548.88 Feb 28 2014 87.94 %

24294-02619-S04

University of Rochester

08/09/10 08/08/14 $150,000.00 $60,514.46 $89,485.54 Feb 28 2014 59.65 %

24294-02619-S05

The Research Foundation for the State University of New York at U at Buff

08/09/10 08/08/14 $360,000.00 $7,178.05 $352,821.95 Aug 31 2013 98.00 %

Subcontracts

Managing Subawards

• On-going Activities– Monitoring the quality of work/progress is a

PI/Department staff responsibility– Manage Subaward Invoices

• OSP will Pre-Audit invoices by reviewing for consistency with the agreement and then forwarding them to the PI or Designee

• The PI or Designee will review and approved invoices for payment

– Submit Request to Modify a Subaward as needed– Annual Subrecipient Review is performed by OSP

throughout the life of the subaward.• Closeout

Questions?