The Subaward Process - MIT...2019/01/22 · Viewing a Subaward 20 The KC Subaward has 6 tabbed screens to select: • Subaward • Financial • Custom Data • Template information

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TheSubawardProcessResearchAdministrationPractices(RAP)Sessions

Alisa Chomhirun, Subaward Administrator, OSPNoelle Donahue, Subaward Administrator, OSPJessica Rivieccio, Subaward Administrator, OSP

Victoria Grafflin, Manager, Research Subawards, OSP

In collaboration with Kara DeNutte, Senior Financial Officer, Kavli Institute for Astrophysics & Space Research

January22,2019

Agenda• Introductions• ProcessesInSubawardLifecycle• SubawardorContractorDetermination• ANewSubrecipientOrganization• AssignedRiskLevels• GettingYourSubawardSetUp

ResearchAdministrationPractices(RAP)Sessions1.22.19 1

Introducing:TheSubawardsTeamTheSubawardsTeam:AlisaChomhirun;NoelleDonahue;

JessicaRivieccio;PriscillaCaissie;VictoriaGrafflinSubawardsisPartofTheOfficeofSponsoredPrograms(OSP)

ProvideGuidancetoPI’s&DLC’s

Draft&ExecuteNewSubawardAgreements

ProcessModifications,Closeouts,&Invoices

2ResearchAdministrationPractices(RAP)Sessions1.22.19

SubawardsatMIT

3

520

6090

Active

InProcess

CloseoutPending

SeeSubawards Overviewforpoliciesandprocessinformation-https://osp.mit.edu/grant-and-contract-administration/subawards-overview

ResearchAdministrationPractices(RAP)Sessions1.22.19

Subaward LifeCycle


StagesofaSubaward

5

Pre-Aw

ard

Post -

Award

Identify Subaward in Proposal

Request New Subaward

Monitor & Modify SubawardCloseout Subaward

Negotiate Agreement


Pre-AwardConsiderations

Isitasubaward?aconsultant? oravendor?

IstheSubrecipientorganizationinKCordoesitneedtobecreated?

Arethereanypotentialconflictsofinterest?

IstheSubrecipientorganizationhighrisk?6ResearchAdministrationPractices(RAP)Sessions1.22.19

HowtoDeterminetheRelationship

ü Providessimilarservicestoarangeofclients;

ü Operatesincompetitiveenvironment;

ü NoPIidentified;ü Notcollaboratingin

researchdesign;ü NoexpectationofIPor

developmentofnewknowledge

ü ResearchCollaborator;ü ContributesSignificantly

toProject;ü PIisnamed;ü KeepsIPtheyDevelop;ü ResponsibleforSponsor

Requirements;ü IndependentDecision

Makingü WorkMeasuredby

ProjectResultsü MayPublishorCo-author

ü Paidforhourlywork

ü Considered“workforhire”

ü ResultingIPgoestoMIT

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SUBAWARD? VENDOR? CONSULTANT?

ConsultantSubaward Vendor

UniformGuidanceandMITPolicyMITpolicyfollowstheFederalRegulationsUniformGuidance(CFR200).

TheResearchSubawardsTeam(RST)reviewsanddeterminesiftherelationshipwiththeorganizationisaSubaward.

Ifarequestforasubawardismadethatmoreappropriatelyfallsunderaconsultantorvendorcategory,thenitmayrequirebudgetchanges(F&Aappliedtothefullcost)andcouldbeaFederalAuditrisk.

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SeeSubrecipientAndContractorDeterminationform-https://osp.mit.edu/sites/osp/files/uploads/subrecipient-contractor-determination-2015-08-04.pdf


UniformGuidanceandMITPolicyMITpolicyfollowstheFederalRegulationsUniformGuidance(CFR200).

§200.330 Subrecipientandcontractordeterminations.

• Thenon-FederalentitymayconcurrentlyreceiveFederalawardsasarecipient,asubrecipient,andacontractor,dependingonthesubstanceofitsagreementswithFederalawardingagenciesandpass-throughentities.Therefore,apass-throughentitymustmakecase-by-casedeterminationswhethereachagreementitmakesforthedisbursementofFederalprogramfundscaststhepartyreceivingthefundsintheroleofasubrecipientoracontractor. TheFederalawardingagencymaysupplyandrequirerecipientstocomplywithadditionalguidancetosupportthesedeterminationsprovidedsuchguidancedoesnotconflictwiththissection.

(a)Subrecipients.AsubawardisforthepurposeofcarryingoutaportionofaFederalawardandcreatesaFederalassistancerelationshipwiththesubrecipient.See§200.92Subaward.Characteristicswhichsupporttheclassificationofthenon-Federalentityasasubrecipientincludewhenthenon-Federalentity:

(1)DetermineswhoiseligibletoreceivewhatFederalassistance;(2)HasitsperformancemeasuredinrelationtowhetherobjectivesofaFederalprogramweremet;(3)Hasresponsibilityforprogrammaticdecisionmaking;(4)IsresponsibleforadherencetoapplicableFederalprogramrequirementsspecifiedintheFederalaward;and(5)Inaccordancewithitsagreement,usestheFederalfundstocarryoutaprogramforapublicpurposespecifiedinauthorizingstatute,asopposedtoprovidinggoodsorservicesforthebenefitofthepass-throughentity.


UniformGuidanceandMITPolicy(b)Contractors.Acontractisforthepurposeofobtaininggoodsandservicesforthenon-Federalentity'sownuseandcreatesaprocurementrelationshipwiththecontractor.See§200.22Contract.Characteristicsindicativeofaprocurementrelationshipbetweenthenon-Federalentityandacontractorarewhenthecontractor:

(1)Providesthegoodsandserviceswithinnormalbusinessoperations;(2)Providessimilargoodsorservicestomanydifferentpurchasers;(3)Normallyoperatesinacompetitiveenvironment;(4)ProvidesgoodsorservicesthatareancillarytotheoperationoftheFederalprogram;and(5)IsnotsubjecttocompliancerequirementsoftheFederalprogramasaresultoftheagreement,thoughsimilarrequirementsmayapplyforotherreasons.

(c)Useofjudgmentinmakingdetermination.Indeterminingwhetheranagreementbetweenapass-throughentityandanothernon-Federalentitycaststhelatterasasubrecipientoracontractor,thesubstanceoftherelationshipismoreimportantthantheformoftheagreement.Allofthecharacteristicslistedabovemaynotbepresentinallcases,andthepass-throughentitymustusejudgmentinclassifyingeachagreementasasubawardoraprocurementcontract.

[78FR78608,Dec.26,2013,asamendedat80FR54409,Sept.10,2015]


SubrecipientQuestionnaireWillDetermineOrganizationRisk

Level

Subrecipient RiskAssessment

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ConflictsofInterest• Wemustinformsponsorsofpotentialconflictsofinterestrelatedtosubawards.

• Atproposalstage,MITInvestigatorsmustidentifyiftheyhaveasignificantfinancialrelationshipwithpotentialvendorsorsubrecipients.

• MITmustalsobemadeawareofconflictsofinterestthatsubrecipientsmayhave.

“Does this project contemplate any purchases from or subawards to a company or other organization in which you hold an SFI?”

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SeeMIT’sCOIwebsite–http://coi.mit.edu [email protected]


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Subaward SetupRequestSubawardthroughBuy2Pay

Provideallnecessarydetailsinrequisition

PINamesScopeofWork

DetailedBudgetSubrecipient LetterofIntent

IRBApprovals,ifapplicable

COIdisclosureandmanagementplan,ifapplicable

Anyotherrelevantdetailsortermsandconditionstobeincludedin

subaward

SeeB2PCreateRequisitionforSubrecipientAwardquickcard([email protected] forassistance)–https://vpf.mit.edu/system/files/downloads/B2P%20Quickcards/CreateReq-SubRecientAward.pdf


HowLongWillitTaketoGetMySubaward?ITDEPENDS…

Weeks:• NewPrimeAward• NewOrganization• HighRiskOrganization• ForeignOrganization• UnclearifVendororSub• ExportsInvolved• ComplexPrimeRequirements• ConflictofInterestIssues

Days:• FDPTemplate• SimilarSubsOffSamePrime• FamiliarPrimee.g.NIH• SubisaRepeatCustomer• NoComplicatingFactorse.g.HumanorAnimalSubject,Exports,ConflictofInterestIssues


Subaward Monitoring

vMonitoringisanimportantcomplianceactivitythathelpsusmanagerisk

vMonitoringisasharedresponsibilityamongRST,DLC,PI:

vMonitoringactivitiesinclude:

• AnnualreviewofSubrecipient organization–RST

• Monitoringoftechnicalprogress– PI/DLC

• ReviewofInvoicesforaccuracy,allowability,completeness–AllResearchAdministrationPractices(RAP)Sessions12.12.18 15

PI

RSTDLC

PIMonitoringResponsibilitiesPIsareresponsiblefor:• monitoringthetechnicalaspectsoftheprojectand• documentingapprovaloftechnicalreports

Approvalofsubawardinvoicesmustbebasedonsatisfactorytechnicalprogress

Billedamountsmustcorrespondtoworkcompletedtodate,completionofmilestones,etc.

PIandOSPareresponsiblefortakingappropriateactionwheretherearediscrepancies– PIsmustnotifyOSPwhenthereareperformanceorotherissues


CloseoutProcessThe closeout process begins when the Closeout Request Form is received by RST.

PI/DLC is responsible for obtaining the Final Technical Report from the Subrecipient. After financial and technical aspects for the subaward have been met, the completed Closeout Request Form and a copy of the Final Technical Report should be sent to: [email protected].

RST is responsible for obtaining all other reports as required in the Subaward Agreement (e.g. Patent and Property Reports).

MIT reserves the right to withhold payment of final invoice until all deliverables are received. The Prime Award cannot close until all final Subaward

deliverables are received.SeeCloseoutRequestform- https://kc.mit.edu/sites/kc/files/uploads/subaward-closeout-request-04-04-2018.pdf


KCSubaward Module

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FromKCHome,clickSearchforSubawards


IntheSearchscreen,entersearchcriteriasuchasPurchaseOrderIDorSubawardID(locatedontheSubawardagreement)thenclickSearch

Fromsearchresults,click“open”


ViewingaSubaward

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TheKCSubawardhas6tabbedscreenstoselect:• Subaward• Financial• CustomData• Templateinformation• SubawardActions• Medusa

ThesubawardtabhassubsectionsthatyoucanexpandtoviewusingShow/Hide


Financialtab– ViewInvoices


TemplateInformationtab- viewAttachments

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SelectTemplateInformationtab thenclickShowontheAttachmentssubsection


TemplateInformationtab- viewAttachments

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AttachmentdetailsincludeAttachmentType,Description,FileName (withPDFthumbnail),Lastupdated(andbywhom),andanAction buttontoView theattachment.

SpecialNote– ToviewaSubaward orviewSubaward AttachmentsinKC,youwillneedKCauthorizationsasgrantedbythePrimaryFinancialAuthorizerforyourDLC.MoreinformationaboutKCauthorizationsmaybefoundhere:https://kc.mit.edu/sites/kc/files/uploads/kc-all-roles-db-dlc-authorizations-2017-11-29.pdf


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Help&Resources— Resources—

OSPSubawardsOverviewSubrecipientContractorDeterminationForm

SubrecipientProfileQuestionnaireSubawardCloseoutform

B2P:CreateRequisitionforSubrecipientAwardquickcardCOIQuickReferenceCards

— ContactforHelp—OSPSubawardAdministrator- DepartmentAssignmentsSubawardteamemail- [email protected]

SubawardCloseoutemail- [email protected] ResearchAdministrationHelp- [email protected]

Buy-2-Pay- [email protected] |COI- [email protected](RAP)Sessions1.22.19

https://osp.mit.edu/grant-and-contract-administration/subawards-overview

https://osp.mit.edu/sites/osp/files/uploads/subrecipient-contractor-determination-2015-08-04.pdf

https://osp.mit.edu/sites/osp/files/uploads/subrecipient-profile-questionnaire-2017-05-11.pdf

https://kc.mit.edu/sites/kc/files/uploads/subaward-closeout-request-04-04-2018.pdf

https://vpf.mit.edu/system/files/downloads/B2P%20Quickcards/CreateReq-SubRecientAward.pdf

https://coi.mit.edu/reference-and-user-guides/coi-quick-reference-cards

https://osp.mit.edu/sites/osp/files/uploads/subawards_department_assignments-_2018-10-15.pdf

mailto:[email protected]





Documents

The Subaward Process - MIT...2019/01/22 · Viewing a Subaward 20 The KC Subaward has 6 tabbed screens to select: • Subaward • Financial • Custom Data • Template information