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Extramural Agreements Training. For ERS Authorized Departmental Officer’s Designated Representatives. Learning Objectives. To describe the key elements of the ERS administrative structure as it pertains to Extramural Agreements To describe the types of applicable agreements - PowerPoint PPT Presentation
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Extramural Agreements Training
For ERS Authorized
Departmental Officer’s
Designated Representatives
Learning Objectives
To describe the key elements of the ERS administrative structure as it pertains to Extramural Agreements
To describe the types of applicable agreements To explain the roles and responsibilities and the
relationship between the Authorized Departmental Officer’s Designated Representative (ADODR), Budget Office, and Administrative and Financial Management (AFM), Extramural Agreements Division (EAD) during the award process
To describe the extramural agreements process
Delegation of Authority
Secretary of Agriculture
Under Secretary for REE
Administrator, ERS
ADO
ADODR
Order of PrecedenceRelevant Laws, Regulations, and Policies
• Statutes• Program Regulations• Administrative Regulations• OMB Circulars and other Directives• Agency Policy
– P&Ps– Bulletins– SOPs
Statutes Related to ERS
• Federal Grants and Cooperative Agreements Act of 1977 (31 U.S.C. 6301-6303)
• Food Security Act of 1985
(7 U.S.C. 3318(b) – 3319(a))
Policies
Mutual Resource Contribution
• The Cooperator’s contribution must be maintained at 20 percent of the Federal funding level throughout the life of the cooperative agreement.
• The Cooperator’s resource contributions must consist of a sufficient amount of itemized direct costs.– Examples: money, space, equipment,
materials and supplies, personnel services.
Obligation and Expenditure of Funds
• Funds may not be used for obligations or expenditures made prior to the start date of the agreement.
– A formal written request must be submitted to ERS to authorize pre-award costs.
– A copy of the pre-award cost letter and approval or disapproval must be included in the official file.
Indirect Cost Negotiation
• If the Cooperator is not a State Cooperative Institution, EAD must negotiate the indirect cost rate.
• For non-profit organizations, the rate cannot exceed 10 percent.
• The rate for profit organizations cannot exceed the audited rate of any federally recognized agency or what is approved by EAD.
Indirect Costs and Tuition Remission
Type of Agreement
Type of Performing Organization
Cooperative Research Agreement
Grant Agreement Cost Reimbursable Agreement
State Cooperative Institutions
Indirect Costs/Tuition Remission are PROHIBITED.
Negotiated Indirect Cost Rate NOT to exceed the audited rate of any recognized audit agency.
Tuition Remission is allowable.
Negotiated Indirect Cost Rate NOT to exceed 10 percent of total direct costs.
Tuition Remission is allowable.
Non-Profit Organizations
Negotiated Indirect Cost Rate NOT to exceed 10 percent of total direct costs.
Tuition Remission is allowable.
Negotiated Indirect Cost Rate NOT to exceed the audited rate of any recognized audit agency.
Tuition Remission is allowable.
Other Organizations
Negotiated Indirect Cost Rate NOT to exceed the audited rate of any recognized audit agency.
Tuition Remission is allowable.
Negotiated Indirect Cost Rate NOT to exceed the audited rate of any recognized audit agency.
Tuition Remission is allowable.
Types of Agreement
Important questions to ask when determining the correct type of agreement:• What is the principal purpose of the agreement?• What is the nature of ERS’ anticipated
involvement?• What benefit will ERS derive from the
agreement?• What is the anticipated relationship between ERS
and the cooperator/recipient?• Will either party contribute funds, and if so, who
will provide them?
Type of Agreement
• Grant Agreement
• Assistance-Type Cooperative Agreement (ATCA)
• Cooperative Agreement
Type of Agreement
• Grant• Assistance-Type
Cooperative Agreement (ATCA)
• Cooperative Agreement
ERS uses a Grant to transfer something of value, usually money, to the recipient (usually a non-Federal entity) to stimulate or carry out a public purpose.
No substantial involvement between ERS and the recipient during the performance of the project.
Type of Agreement
ERS uses an ATCA to transfer something of value, usually money, to the recipient to stimulate or carry out a public purpose.
ERS is substantiallyinvolved with the recipient during the performance of the project.
• Grant• Assistance -
Type Cooperative Agreement (ATCA)
• Cooperative Agreement
Type of Agreement
An agreement between ERS and another party or parties that describes in detail a jointly planned and executed research program or project of mutual interest.
Both parties contribute financial resources, participate in the cooperative work to be accomplished, and benefit from the outcome of the project.
Subject to regulations codified at 7CFR 550.
• Grant• Assistance-
Type Cooperative Agreement (ATCA)
• Cooperative Agreement
Roles and Responsibilities
Provides advice, guidance, and service on all
financial matters
Authorized Departmental Officer
Authorized Departmental Officer’sDesignatedRepresentative
The Primary Players
Division SupportStaff Provides
administrative assistance to
the ADODR
ExtramuralAgreementsDivision, ARS
Develops policy and provides guidance to ERS
as it pertains to extramural agreements
Official delegated signature authority to
commit authorized funding
The technical representative who oversees the specific
work to be performed
Budget Office
Authorized Departmental Officer (ADO)
• Reviews and approves or disapproves proposed agreements submitted by the ADODR.
• Delegates authority to an ADODR and ensures the ADODR performs the duties within their delegation.
• The Division Director serves as the ADO on all agreements under $100,000.
• The Administrator, ERS, serves as the ADO on agreements $100,000 or more.
Authorized Departmental Officer (ADO)
The ADO is the only person who
can obligate funds or commit
Agency resources, with regard
to extramural agreements.
Extramural Agreements Division (EAD)
• Formulates, develops, and implements Agency policy.
• Provides guidance to ERS as it relates to extramural agreements.
• Reviews and approves ERS’ cooperative agreements prior to signature.
• Enters the Invoice Document in FMMI.
• Provides deobligation information to AFS for closeout of completed/expired agreements.
Extramural Agreements Division (EAD)
• Responsible for:– Award, Administration, and Closeout of the
Agreement– Maintaining the “official” agreement file in the
ERS AIMS e-green module.
EAD will take all authorized actions
necessary to protect and advance the
interest of ERS, as it pertains to
extramural agreements.
Extramural Agreements Division (EAD)
• Ensures that the ADODR performs the administrative duties within the scope of their delegation.
• Ensures that ERS has the programmatic authority to enter into the agreement.
• Determines the appropriate type of agreement with the assistance of the ADODR.
• Assists the ADODR in developing the SOW and budget, as necessary.
Extramural Agreements Division (EAD)
• Ensures that the cooperator does not perform work prior to the agreement being fully executed, unless pre-award costs are authorized.
• Negotiates all final terms and conditions.• Ensures that the agreement is in compliance
with all applicable Federal laws and regulations.
Extramural Agreements Division (EAD)
• Ensures that the terms of the agreement are current, and that the agreement is revised, continued, suspended, or terminated as appropriate.
• Initiates and completes agreement closeout.• Ensures that the ADODR has a proper
delegation.
ADODR
• The ADODR performs an integral role in the extramural agreements process and is responsible for working with the Cooperator to:
– Direct and monitor technical performance
– Provide oversight of the project
– Ensure fiscal accountability of the project
ADODR
• Discusses projects with the Division Director and Cooperator. – Obtains line management approval for the
project prior to ERS AIMS data entry.– Develops an accurate budget
• Develops detailed statement of work (SOW), work plan, or proposal.
• Submits draft SOW with budget form (REE-454 or REE-455) to their Division Support Staff.
• Reviews, approves or disapproves, and forwards invoices (or Form SF-270) for payment to EAD.
• Monitors work progress, reviews and approves progress reports and financial status reports.
ADODR
• Reviews performance reports to determine the level of program accomplishments and to resolve any discrepancies in program performance.
• ADODRs document all accomplishments, discrepancies, and efforts made to reconcile differences.
• These reports are the basis for approval or disapproval of payment requests.
• Forwards pertinent information to EAD for inclusion in the official file.
Budget Office
• Provides advice, guidance, and service on all financial matters.– Obligates funds through
the FMMI system and enters the appropriate data into ERS AIMS system.
– Codes Purchase Orders as “pay immediately”.
– Assist EAD with agreement closeout and account reconciliation
The Extramural Agreements Process
Statement Of Work (SOW)& Budget
Division Director
EADCooperator for
Signature
Process Overview
ADODR
Cooperator Returns signed AgreementPackage
Budget Office
Division Director for Final Signature
Division SupportStaff
• Discuss project and obtain line management approval.
• Develops:
- Statement of Work (SOW)
Consisting of: Objective, Approach,
Statement of Mutual Interest,
Cooperator Agrees to, ERS Agrees to,
and Mutual Agreements.
- Budget Form (REE-454 or REE-455)• Submits all documents to the Division Support staff.
ADODR
• Enters SOW and Budget information into the ERS AIMS System for the Division Director’s review and approval.
Division Support
Staff
• Reviews SOW and Budget
• Authorizes/approves the commitment of funds.
DivisionDirector
• Enters the obligation into FMMI.
• Enters FMMI information into the ERS AIMS.
Budget Office
• Is the primary POC for all ERS agreement transactions.
• Reviews the entire agreement for completeness.
• Makes any necessary corrections.• Forwards the agreement to the Cooperator
for signature.
EAD
Cooperator
• Reviews and signs the agreement.
• Completes pre-award negotiations in collaboration with the ADODR and EAD as necessary.
• Returns the signed agreement to EAD.
• Reviews the signed agreement.
• Forwards the agreement to the Division Support Staff for the Division Director’s signature.
EAD
• Submits agreement to the Division Director for final signature.
Division Staff
• Signs the agreement. – The Division Director signs agreements under
$100,000.– The Administrator, ERS, signs agreements
$100,000 or more.• Returns the agreement to EAD.
DivisionDirector/ERS Administrator
• Prepares agreement for distribution:– Cooperator - EAD– ADODR - Official File - e-green– Budget
EAD
Amendment Process
• Amendments go through the same review and approval process as a new agreement.
• If there is no change in the money allocated to the award, the Budget Office is not involved in the process.
Regular Amendments(Requires both ERS’ and Cooperator’s signatures)
• Decrease or increase funding or Change in Scope:
What is needed:• Revised SOW/Proposal explaining the
need for the change and the amount of both parties’ contributions.
• Form REE-454/455 showing a revised budget.
• FMMI Purchase Order Document to commit additional funds.
• Form REE-451 with noted changes.
Regular Amendments (Requires both ERS’ and Cooperator’s signatures)
• Change in Principal Investigator
What is needed:
Form REE-451 with noted changes.
Administrative Amendments(Requires ERS’ signature only)
• Change in accounting code, address, bank information, ADODR, or an extension of time.
• Extension of time:
What is needed:
• Form REE-451 with noted changes.
A letter or an e-mail from the Cooperator should explain the need for the extension and should be attached to the REE-451 as backup.
The Payment Process
• Submits invoices and performance reports to EAD.
Cooperator
• Reviews the invoice for accuracy and reconciles any differences with the Cooperator prior to sending it to the ADODR.
• Ensures all reporting requirements have been met by the Cooperator.– Financial Status Report– Performance Report
• Obtains missing reports prior to forwarding payment request to the ADODR.
• Ensures accurate accounting information. • Forwards the invoice (via e-mail) to the ADODR
for review and approval/disapproval.
EAD
• Reviews the invoice and the Performance Report for approval/disapproval.– If approved, the payment request is returned to
EAD for processing.– If disapproved, the payment request is returned
to EAD for follow-up action.Performance Reports are required. No reports means no
payment.
ADODR
• Enters the invoice document into FMMI.
• Sends an e-mail with a list of invoice document numbers to AFS.
EAD
• Approves the invoice document in FMMI.
• Payment is completed!
AFS
Closeout
• EAD notifies the ADODR within 90 days of expiration that the agreement is due to expire.
• The ADODR decides to either:
– Amend the agreement for additional time or money;
– Terminate and deobligate any account balances that will not be used.
Closeout
• The ADODR and EAD are responsible for acquiring the following:
– Cooperator’s final billing and final financial status report (REE-269)
– Cooperator’s final performance report
CloseoutInvention Disclosure and Utilization Reporting
The Cooperator shall report Invention
Disclosures and Utilization information
electronically via i-Edison Web Interface at:
www.iedison.gov.
If access to Inter-Agency Edison is unavailable,
the invention disclosure should be sent directly to:
Division of Extramural Inventions and Technology Resources
6705 Rockledge Dr. (RKL 1)
Suite 310, MSC 7980
Bethesda, MD 20892
Resources
• P&P 702.0: Selection, Appointment, and Responsibilities of the Authorized Departmental Officer’s Designated Representative (ADODR)
• Brochure - Grants and Cooperative Agreements with the Economic Research Service: Guidelines for External Organizations
• http//www.afm.ars.usda.gov/agreements/index.htm
Thank you!
• Questions ?????
• Contact Information:
– Deborah Watson, EAD
301-504-4411 or
301-504-1147