Establishing Subawards to External Collaborators – A Step by Step Guide
Learn how to create subawards for external collaborators through a detailed step-by-step guide. This resource, dated April 8, 2014, was presented during an OSP Coffee Break session.
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Establishing Subawards to External Collaborators A Step by Step Guide April 8, 2014 OSP Coffee Break
Yippee! Will the work and funds be shared with an outside entity?
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 #1 Request 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 #2 Subrecipient 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.
Subrecipient Review Summary A-133 Audit Year on File Financial Statement Year on File Name (# Active Subawards)Date of Financial F&A Rated Expiring Date Debarment Recheck Date CCR Expiration Date Current Risk Assessment Latest Review Date Profile on File 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 Note: this process can take some time!
Step #3 Subaward 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 #4 Create 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.
Subcontracts Invoiced Thru Date Number Subcontractor Start Date End Date Award Total Available Funds Expended To Date % Spent 24294- 02619-S01 Onondaga Community College08/09/10 Jan 31 2014 08/08/14 $150,000.00 $45,893.03 $104,106.97 69.40 % The Research Foundation for the State University of New York at Buffalo St 24294- 02619-S02 Oct 31 2013 08/09/10 08/08/14 $360,000.00 $13,525.69 $346,474.31 96.24 % 24294- 02619-S03 Feb 28 2014 Clarkson University 08/09/10 08/08/14 $359,928.00 $43,379.12 $316,548.88 87.94 % 24294- 02619-S04 University of Rochester Feb 28 2014 08/09/10 08/08/14 $150,000.00 $60,514.46 $89,485.54 59.65 % The Research Foundation for the State University of New York at U at Buff 24294- 02619-S05 Aug 31 2013 08/09/10 08/08/14 $360,000.00 $7,178.05 $352,821.95 98.00 %
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
