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Workshop Outline

Workshop Outline. Building Blocks – Definitions Proposal Stage Lunch Break Subawards Subcontracts. Workshop Outline . Break FDP Subaward Agreement Monitoring, Invoicing, and Billing A-133, Closeouts and Audits. Definitions. Basic Concepts.

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Workshop Outline

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  1. Workshop Outline • Building Blocks – Definitions • Proposal Stage • Lunch Break • Subawards • Subcontracts

  2. Workshop Outline • Break • FDP Subaward Agreement • Monitoring, Invoicing, and Billing • A-133, Closeouts and Audits

  3. Definitions

  4. Basic Concepts • Financial Assistance– Provides support or stimulation to accomplish a public purpose. Award is a grant or cooperative agreement.

  5. Basic Concepts • Procurement – Purchase of goods and services to accomplish a government purpose; services can include research. Award is a contract.

  6. Definition of Award • Financial assistance that provides support to accomplisha public purpose. Includes grants and other agreements in the form of money or property in lieu of money by the federal government

  7. Definition of Award • Award does not include • Technical assistance • Loans, loan guarantees, interest subsidies, insurance • Direct payments of any kind to individuals, nor…

  8. Definition of Award • Contracts, which are required to be entered into and administered under procurement laws and regulations

  9. Definition of Subaward • Financial assistance made by a recipient to an eligible subrecipient • Includes any financial assistance when provided by legal agreement, even if the agreement is called a contract

  10. Definition of Subaward • Does not include the purchase of goods and services

  11. Definition of Pass-Through Entity • A non-federal entity that provides a federal award to a subrecipient to carry out a federal program

  12. Definition of Recipient • Organization receiving financial assistance from a federal agency to carry out a project or program

  13. Definition of Recipient • Term may include commercial, foreign or international organizations which are recipients and subrecipients

  14. Definition of Subrecipient • The legal entity to which a subaward is made and who is accountable to the recipient for the use of funds provided

  15. Definition of Subrecipient • See agency implementations of A-110 to determine what type of entity can be a subrecipient • Note guidance on distinguishing between a subrecipient and a vendor

  16. Subrecipient Agreements • Funding from a prime recipient to a subrecipient to carry out specific program activities • May be termed a subgrant from an assistance award, or…

  17. Subrecipient Agreements • May be termed a subcontract from a procurement award

  18. Reference Documents • OMB Circular A-21 • OMB Circular A-110 • OMB Circular A-113 • FDP Subrecipient Template • Code of Federal Domestic Assistance

  19. Subrecipient vs. Vendor • See OMB Circular A-133, __.210 • Subject to same audit standards as recipients

  20. Subrecipient vs. Vendor • Payments received for goods and services are vendor agreements and not subject to audit as subrecipient agreements

  21. Characteristics of a Recipient • Also applies to subrecipients • Determines who is eligible to receive what federal financial assistance

  22. Characteristics of a Recipient • Has performance measured against whether objectives of federal program are met • Has responsibilities for programmatic decisions

  23. Characteristics of a Recipient • Responsible for adherence to applicable federal program compliance requirements

  24. Characteristics of a Recipient • Uses federal funds to carry out a (research), compared to providing goods or services for a program

  25. Characteristics of a Vendor • Provides goods and services within normal business operations and to many purchasers

  26. Characteristics of a Vendor • Operates in a competitive environment • Provides goods and services ancillary to the operation of the federal program

  27. Characteristics of a Vendor • Not subject to compliance requirements of the federal program

  28. Both Subrecipientand Vendor • Substance of the relationship governs – need to know the detail of the relationship and desired outcomes • Use judgement

  29. In Practical Terms • Use subaward when intent is to have another organization carry out the scope of work described in the proposal

  30. In Practical Terms • Generally, two or more qualified entities work collaboratively on a sponsored project, each with its own principle investigator

  31. In Practical Terms • Performance measured against scope of work • Decides how to carry out own activities • PI may be author/coauthor on publications

  32. In Practical Terms • Retention of title to intellectual property it develops is common

  33. For-Profit Subrecipients • A-133 does not apply • Pass-through entity must establish requirements to ensure compliance by for profit subrecipient

  34. For-Profit Subrecipients • Include in agreement • Applicable requirements and responsibilities • May use pre- and post-award audits, ongoing monitoring, reporting, etc.

  35. Today’s Terminology • Subaward: Award to a subrecipient when prime award is assistance (grant or cooperative agreement) • Subcontract: Award to a subrecipient when prime award is procurement (contract)

  36. Case Studies 1 & 2

  37. Proposal Stage

  38. Reason For Subs • Increasing emphasis on: • Big Science – Big Solutions • Multidisciplinary Research • Inter-Institutional Research • Shift Administrative Burden

  39. Stages of Development • Early Warning System • Forging Partnerships • Proposal Preparation

  40. Early Warning System • Pro-active Administration • Office of big grants • Dissemination of announcement

  41. Early Warning System • Pro-Active Faculty • Tell the right people • Inform them early on

  42. Forging Partnerships • Connected Faculty • Connected Institutions • Teaming Agreements

  43. Teaming Agreements • Address Relationship • Address Responsibilities • Lead or sub • Address Timing

  44. Proposal Preparation • Lead Institution • Provide schedule • Coordinate writing • Prepare complete budget

  45. Proposal Preparation • Subrecipient Institution • Provide statement of work • Provide budget • Provide institutional approval

  46. Budgets • Prime Budget • Your institution’s costs • Subrecipient’s budget as a line item

  47. Budgets • Sub Budget(s) • Each subrecipient is separate • Each with own F&A and cost-sharing

  48. Checklist • Statement of Work • Budget • Authorized Official’s Approval

  49. Case Studies 3 & 4

  50. Subawards

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