1. Establishing Subawards to External Collaborators A Step by Step Guide April 8, 2014 OSP Coffee Break

2. Will the work and funds be shared with an outside entity? Yippee!

3. If yes… Don’t forget there are strings attached! So, know the rules before you share!… Clearly define the work you are sharing!

4. 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

5. 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

6. 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.

7. Name (# Active Subawards) Date of Financial Profile on File F&A Rated Expiring Date A-133 Audit Year on File Financial Statement Year on File Debarment Recheck Date CCR Expiration Date Current Risk Assessment Latest Review Date AbleLink Technologies, Inc. (1) 11/29/12N/A--12/4/127/10/13High12/12/12 Advocates for Human Potential, Inc. (0) 6/15/12N/A2011 1/23/136/25/14Low10/14/13 Ohio State University (1)3/28/146/30/162013 1/23/132/25/15High4/4/14 Onondaga Community College (4) 6/24/13N/A2013 12/6/1311/5/14Low2/27/14 Subrecipient Review Summary Note: this process can take some time!

8. 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 FDPStandardFDP

9. 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.

11. NumberSubcontractorStart DateEnd DateAward TotalAvailable FundsExpended To Date Invoiced Thru Date % Spent 24294- 02619-S01 Onondaga Community College 08/09/1008/08/14$150,000.00$45,893.03$104,106.97 Jan 31 2014 69.40 % 24294- 02619-S02 The Research Foundation for the State University of New York at Buffalo St 08/09/1008/08/14$360,000.00$13,525.69$346,474.31 Oct 31 2013 96.24 % 24294- 02619-S03 Clarkson University08/09/1008/08/14$359,928.00$43,379.12$316,548.88 Feb 28 2014 87.94 % 24294- 02619-S04 University of Rochester 08/09/1008/08/14$150,000.00$60,514.46$89,485.54 Feb 28 2014 59.65 % 24294- 02619-S05 The Research Foundation for the State University of New York at U at Buff 08/09/1008/08/14$360,000.00$7,178.05$352,821.95 Aug 31 2013 98.00 % Subcontracts

12. 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 neededRequest to Modify a Subaward – Annual Subrecipient Review is performed by OSP throughout the life of the subaward. Closeout

13. Questions?