The OCGA/Purchasing Subaward Checklist and Subaward Agreement

Transcription

1 The OCGA/Purchasing Subaward Checklist and Subaward Agreement Outgoing Subaward and Subcontract Initiation and Management The OCGA/ Purchasing subaward checklist is completed by the dept, providing the required information for OCGA and campus Purchasing to prepare and issue a subaward agreement. 1

2 After completing this module you will Be familiar with the checklist used to issue subawards under grants and cooperative agreements Know how to complete the checklist thoroughly and correctly Be familiar with the steps the OCGA Subaward Administrator takes once checklist is received Be familiar with the checklist used to issue subawards under grants and cooperative agreements Know how to complete the checklist thoroughly and correctly Be familiar with the steps the OCGA Subaward Administrator takes once checklist is received 5

3 The OCGA/Purchasing Subaward checklist helps to prevent delays in the set-up of subawards by making sure all required information is provided The academic department prepares the checklist Each section of the checklist is covered in detail in the following slides The subaward checklist is two pages in length. You can obtain one from the resources tab to refer to during this presentation. Completion of the subaward checklist helps to prevent delays in the set-up of subawards by making sure all required information is provided by the department. Each section of the checklist is covered in detail in the following slides. 6

4 Checklist Header Lets look at completing the header portion of the checklist. 7

5 Subaward Checklist Header Introduction This is the checklist to use for subgrants. The checklist is housed on OCGA's Subaward Initiation and Management page. There is a different checklist for subcontracts. The subcontract checklist is housed on Purchasing's web site under the Departmental Buyer Section. Subaward allocation Funds must be properly allocated before a subaward can be issued. Ideally, this should be done prior to creating the subaward requisition in BruinBuy. The screen shot shows what the general ledger looks like when funds for a subaward are appropriately allocated. Subaward Checklist

6 New A new subaward requires that all sections be completed. Amendment An amendment to an already existing subaward only requires that sections 1-4 be completed Subaward Checklist

7 UCLA Information Part I of the Checklist is UCLA information. Details are provided in the following mini-module. 9

8 Line 1 Subaward Checklist - UCLA information Line 1, enter the requisition number if this is a new subaward, or the purchase order number if this is an amendment to an existing order. The requisition number for a new subaward appears in the pop-up box in BruinBuy once a requisition has been submitted, and it also appears in the PAN notice generated automatically after a requisition has been created in BruinBuy. Make sure funds for the subaward are allocated before creating a requisition in BruinBuy. AMENDMENT If this checklist is to amend an existing subaward enter the amendment number here. (The amendment numbers will be sequential.) Line 2 Line 2 is the UCLA PI information: Enter name of the PI of the prime award from which the subaward is being issued Subaward Checklist

9 Line 3 Line 3 is the UCLA academic department contact. The department contact should be the individual who will be familiar with the details concerning the subaward. Line 4 Line 4 provides fiscal and recharge information. FAU: Enter the Full Accounting Unit (FAU) from which the subcontract is being issued. RECHARGE: Please provide a recharge ID number to mail hard copy of documents via UPS to the subrecipient. Line 5 Line 5 is where you enter the grant number of the prime grant or cooperative agreement. If the prime is a contract, use the Subcontract checklist. This checklist is for subawards only. Subaward Checklist

10 The prime award number can be found on the Award Synopsis. Line 6 Line 6 provides information regarding where the subrecipient's invoices should be mailed. Enter the name and mailing address of the PI or the individual designated to receive invoices. This name and address information is usually incorporated in Article 5 of the standard subaward Agreement. Subaward Checklist

11 Subrecipient Information Part II of the Checklist is Subaward information. Details are provided in the following mini-module. 11

12 Subaward Checklist - Subrecipient Information Line 7 Line 7 is the name of the subrecipient to whom we are issuing a subaward. The name that appears here should be the LEGAL name of the subrecipient. For example, instead of putting 'USC', spell out "University of Southern California." Another example is instead of putting "University of Michigan" you indicate the full legal name, "The Regents of the University of Michigan." Line 8 Line 8 is where the address of the subrecipient's sponsored project office is indicated. Subaward Checklist

13 Line 9 Line 9 is where the PAYMENT address (address where payments are to be mailed) is indicated. It is often different from the subrecipient PI or administrative contact address. Note: Make sure the address entered here matches the VCK requisition address for the subrecipient. Line 10 Line 10 is where you indicate whether the subrecipient is a for-profit or non-profit entity. If the subrecipient is a for-profit entity, you will be following the.type II process Line 11 Line 11 is where the subrecipient PI's departmental administrator contact and phone number is indicated. Subaward Checklist

14 Line 12 Line 12 is where the name of the Principal Investigator and department on the subaward is indicated. Line 13 Line 13 is where you indicate the PROJECT PERIOD for the subaward. This is on the Synopsis Line 14 Line 14 is where you indicate the BUDGET period for the subaward. Note, the subaward budget period cannot begin prior to, or end later than, the budget identified on the synopsis. Subaward Checklist

15 Line 15 Line 15 is where you indicate the amount for the subaward you are placing. Subaward Checklist

16 Attachments The Attachments section of the checklist ensures the documents OCGA and Purchasing need are provided. Details are covered in the following mini-module. 13

17 Award Synopsis Subaward Checklist - Attachments Attach the Award Synopsis for the award under which the subaward is being issued. The subaward should be listed on the Synopsis. Subrecipient Approval Attach a copy of the Subrecipient's approval. Some sponsors require that a face page be completed and signed. Some sponsors want a letter. Refer to the prime sponsor guidelines. If the sponsor does not specify a specific format for subrecipient institutional endorsement, completion of the Commitment form Subrecipient is adequate documentation of a subrecipient 's institutional approval. This does not need to be provided if it was submitted at the proposal stage..if this is the case, indicate so in the comments on page 2 of the checklist. Subaward Checklist

18 IRB approval If the subrecipient's scope of work involves the use of human subjects, attach a copy of their approved IRB. This does not need to be provided if it was submitted at the proposal stage. If this is the case, indicate so in the remarks on page 2 of the checklist. Subrecipieint Commitment form All subrecipients should complete the Subrecipient Commitment form when submitting a proposal to UCLA. It provides a checklist of documents and certifications required by sponsors, as well as an area for the authorized institutional representative to sign. This does not need to be provided if it was submitted at the proposal stage. If this is the case, indicate so in the remarks on page 2 of the checklist. Subaward Checklist

19 Scope of Work Attach a detailed scope of work that represents what the subrecipient will be doing. The more detail, the better. In the event things go awry it is important to be able to specifically identify what the subrecipient has, or has not completed. This does not need to be provided if it was submitted at the proposal stage. If this is the case, indicate so in the remarks on page 2 of the checklist. Budget and Justification Attach a copy of the subrecipients detailed budget and budget justification. This does not need to be provided if it is already part of the proposal file. If this is the case, indicate so in the remarks on page 2 of the checklist. Subaward Checklist

20 Fair and Reasonable To meet the requirements of OMB Circular A-110, When the subrecipient is a for-profit entity, the UCLA PI should complete the ir and Reasonable Cost Analysis Fa form and submit it to the UCLA Office of Contract and Grant Administration, preferably at the proposal stage. If this was submitted at the proposal stage, indicate so in the comments section on page 2 of the checklist. Subrecipient F&A Attach a copy of the subrecipient's F&A rate agreement.. If the subrecipient is another University, we do not need the F&A rate agreement because that information is readily available on the web. This does not need to be provided if it was submitted at the proposal stage. If this is the case, indicate so in the remarks on page 2 of the checklist Subaward Checklist

21 Additional Restrictions If the UCLA Principal Investigator wishes to impose additional reporting requirements from the subrecipient, such as monthly financial reports, indicate so in the comments on page 2 or attach an additional page to the checklist. Subaward Checklist

22 Other The other section of the checklist is an opportunity to provide information not addressed in other sections. Details are provided in the following mini-module. 15

23 Subaward Checklist-Other Cost Sharing If subrecipient is cost-sharing, documents certifying cost-sharing must be provided. Program Income If subrecipients anticipates earning program income, details must be provided. Special Requirements If the subrecipient has special funding requirements (such as advance payments), explain in the Comments on page two or attach additional pages to the checklist. Subaward Checklist

24 Reason If the checklist is being completed for an amendment/change order to an existing subaward, the reason for the change is addressed in the Reason section of the checklist. Details are provided in the following mini-module. 17

25 Subaward Checklist - Reasons for Change Reasons This section of the subaward checklist is completed only if preparing an amendment to an existing subaward. Continuation funding - same FAU If the amendment to the existing subaward is going to utilize the same account and fund number, check this box. If not sure, compare the most recent synopsis with the previous synopsis. Subaward Checklist

26 Continuation funding - new FAU If the amendment to the existing subaward is going to utilize a new account and fund number, check this box. If not sure, compare the most recent synopsis with the previous synopsis. Be sure to indicate if you wish to close the current account/fund. No Cost Extension Check this box if the reason for the amendment to an existing subaward is to extend the period of performance to coincide with the extended period of performance of the prime award. Remember, a subaward's budget period cannot exceed the budget period of the prime. See image below. Subaward Checklist

27 Rebudgeting If the amendment is due to the fact the subrecipient has rebudgeting (which has been approved by prime sponsor, if necessary), this is where it is indicated. Carryforward If the subrecipient has an unexpended balance to be carried forward (and sponsor approval has been acquired, if necessary) this is where it is addressed. Subaward Checklist

28 Address Change If the subrecipient changes its name or address of business (not just payment address), indicate the changes in the Comments on page 2 or attach an additional page to the checklist. NOTE: THIS REQUIRES THAT A NEW PURCHASE ORDER BE CREATED IN BRUINBUY AND ATTACHED TO THE CHECKLIST. Other If there is a reason for an amendment that is not covered in the check boxes above, indicate the reason here. Subaward Checklist

29 Comments/Signature Finally, additional comments can be provided, and the PI signs the Checklist. See the following mini-module. 19

30 Subaward Checklist - Comments and Signature (Endorsement) Comments: Here is where you address any additional information as requested on page one of the checklist, or any other comments you wish to make. Endorsement: The signature of the PI or his/her authorized representative signs the certification indicating that the subrecipient's budget is complete and acceptable. In the event of a continuation or no-cost time extension, certify that subrecipient's progress to date has been satisfactory. Subaward checklist

31 What do I do once the Checklist is completed? Now we will talk briefly about what to do once the Checklist is completed. 21

32 Submit the Checklist and any back-up documentation for processing: or FAX: Upon receipt of checklist and any back-up documentation, Purchasing creates a draft purchase order, designating the Order class G is for Subawards S is for Subcontracts Submit the Checklist and any back-up documentation for processing to the or fax indicated here. Upon receipt of checklist and any back-up documentation, Purchasing creates a draft purchase order, designating the Order class G is for Subawards S is for Subcontracts 22

33 When Purchasing designates the class of a requisition: The requisition number changes to a Purchase Order number First 4 numbers, representing the department, remain the same R for requisition changes to either G or S The remaining two alphas and three numbers are randomly assigned by the system For example: Autism Insights Requisition No R 00200, when processed, becomes Purchase Order No G KB410 Purchasing then submits the draft Purchase Order to the OCGA Subaward Administrator When Purchasing designates the class of a requisition: The requisition number changes to a Purchase Order number; The first 4 numbers, representing the department, remain the same R for requisition changes to either G or S The remaining two alphas and three numbers are randomly assigned by the system, as illustrated in the example here. Autism Insights Requisition No R 00200, when processed, becomes Purchase Order No G KB410 23

34 Upon receipt of the checklist from the Department and draft PO from Purchasing, the Subaward Administrator Performs a Risk Analysis of the subrecipient by reviewing the information and documentation provided Upon receipt of the checklist from the Department and draft PO from Purchasing, the Subaward Administrator performs a Risk Analysis of the subrecipient by reviewing the information and documentation provided 24

35 Items considered during the subrecipient risk analysis include: financial condition stable? process and controls within the organization? subject to A-133 audit? on the federal debarment list? size of the subaward (budget & justification) complexity of the subrecipient s scope of work location (foreign?) non-profit, for-profit, federal, state government, or small business, etc. is there is a potential conflict of Interest? using human and/or animals? any export control issues? If determined the subrecipient is a high-risk entity, works with the PI to prepare a subaward agreement that contains language and reporting requirements to help minimize the risk First a Risk assessment is conducted to determine if the subcontractor is a high-risk entity. Review includes (read bullets above). If it is determined the subcontractor is a high-risk entity, works with the PI to prepare a subcontract agreement that contains language and reporting requirements to help minimize the risk 25

36 After the risk analysis, the Subaward Administrator: Drafts the subaward agreement including flowdown of Sponsor terms and conditions special provisions from PI/Department standard UC clauses and compliance requirements, and other clauses, as appropriate a copy of the Sponsor award terms and other documents, as applicable information about Subrecipient, as necessary If the department has requested review of the subaward, subaward administrator submits draft Subaward via to PI/Department for review and approval After the risk analysis, the Subaward Administrator drafts the subaward agreement including: : flowdown of Sponsor terms and conditions special provisions from PI/Department standard UC clauses and compliance requirements, and other clauses, as appropriate a copy of the Sponsor award terms and other documents, as applicable information about Subrecipient, as necessary If the department has requested review of the subaward, subaward administrator submits draft Subaward via to PI/Department for review and approval 26

37 Once feedback is received: Revises Subaward, as appropriate, based on feedback from the department Submits Subaward to Subrecipient for review and signature If Subrecipient requests changes, Subaward Administrator negotiates the changes and communicates, as appropriate, with the PI. Subaward Administrator distributes [electronic] copies of fully executed Subaward to: PI/Department, EFM, Purchasing, and as appropriate, Equipment Management Once feedback is received, the subaward administrator revises the subaward, as appropraite, based on feedback from the department. The subaward is submitted to the subrecipient for review and signature. If the subrecipient requests changes, the Subaward Administrator negotiates the changes and communicates, as appropriate, with the PI The subaward administrator then distributes (electronic) copies of the fully executed subaward to the PI/Department, EFM, Purchasing and, as appropriate, Equipment Management. 27

38 What is the turn-around time? Subaward Agreement to the Subrecipient 3 days from receipt of complete and accurate checklist with back-up documents The Turn around time for a subaward agreement to be prepared and submitted to the subrecipient is three days from receipt of a complete and accurate checklist with back-up documents. 28

39 In Summary The OCGA/Purchasing Subaward checklist, when complete and correct, provides information required to expedite the processing of the subaward The OCGA/Purchasing Subaward checklist, when complete and correct, provides information required to expedite the processing of the subaward 29

40 ORA acknowledges and thanks Sharon Lam, Subaward Administrator, and Harveen Kukreja, Subaward Analyst, for providing the content in this module. 30

41 ORA acknowledges and thanks the voice of the subaward and subcontract modules Ken Castro-Oistad, Grant Analyst Office of Contract and Grant Administration 30