1. Sponsored Programs at Penn Proposal Budget Preparation, Budgeting Using PennERA and Routing & Approval

2. Where Do You Start? Gather the Facts
Talk to the Principal Investigator (PI)
What is the Scope of Work?
Who is the Sponsor?
Where will the work be performed?
Collaborators?
Consultants?

3. Sponsor Guidelines Instructions and Contractual Terms
Requests for Proposal/Quote (RFP/RFQ)
Requests for Application (RFA)
Funding Opportunity Announcements (FOAs)
“Unsolicited” Applications
Send sponsor guidelines, instructions, contractual terms, etc., to Research Services

4. Cover Page PI Name Title Name of Grantee
Trustees of the University of Pennsylvania
Period of Performance
Amount Requested
Required Signatures

5. RFApplication RFQuotation RFProposal
September 18, 2018
RFQuotation
RFApplication
RFProposal
Government generates scope of work via Notices/Program Announcements.
You respond with how you will accomplish, budget and time frame.
Contract is usual award document for RFP/RFQ while a grant/cooperative agreement is usual award document for RFA.

6. Budget preparation is a collaborative effort!
Principal Investigator:
Should work with the Grants Manager to develop the budget.
Designates others who might have input, e.g., lab manager, research coordinator.
Subrecipient input

7. Reasons for carefully preparing the budget
Reduces the possibility of significant budget cuts by the sponsor.
Aids post-award management.
Aids the department in budget planning.
Significant budget changes are interpreted by sponsors as a change in scope!

8. Preparing the Budget
Uniform Guidance: Subpart E: Cost Principles General Provisions:
Costs requested in proposal budget must:
Be Allowable (Factors used in determining)
Be Reasonable
Be Allocable
Costs must be necessary for the performance of the award (Uniform Guidance Subpart E, Sections , & )

9. Regulatory guidance Subpart E, General Provisions, Section 200.400
The non-federal entity:
“Is responsible for the efficient and effective administration of the Federal award through the application of sound management practices.”
“assumes responsibility for administering Federal funds in a manner consistent with underlying agreements, program objectives and the terms and conditions of the Federal award.”
“has primary responsibility for employing whatever form of sound organization and management techniques may be necessary in order to assure proper and efficient administration of the Federal award.”
“the accounting practices of the non-Federal agency must be consistent with these cost principles and support the accumulation of costs as required by the principles, and must provide for adequate documentation to support costs charged.”

10. Other considerations Sponsor guidelines and limitations
Salary caps
F&A limitations
Direct cost or total cost limits
Expense category exclusions
Recover F&A as direct costs from non-governmental sponsors
SPP #2138 Direct Cost Expenditures for Non-Governmental Agencies
May be School-specific rules
• yesterday you heard about the accounting procedures of non-federal sponsors so I won’t go through that again here but just wanted to mention it since we are discussing today about building your budget and this may be a consideration while you are constructing your budget.

11. Preparing the Budget (Salary)
Salary requests are expressed as % effort or person months
Plan realistically
Determine the percent of effort for all personnel needed to conduct the project
Downward adjustments of effort may need sponsor approval
Percent of effort=Percent of salary requested
Cost sharing is discouraged
Avoid hourly rates
Cannot usually charge clerical salaries or administrative costs directly

12. Allowability of clerical and/or administrative staff expense
Uniform Guidance Subpart E, Section
Generally part of F&A costs.
Possible exceptions (see Section , Exhibit C): Direct charging of these costs may be appropriate only if ALL of the following conditions are met:
Administrative or clerical services are integral to a project or activity
Individuals involved can be specifically identified with the project or activity
Such costs are explicitly included in the budget or have prior written approval of the Federal awarding agency
The costs are not also recovered as indirect costs •

13. Preparing the Budget (Benefits)
Fringe Benefits are charged as a % of Salary
As of 07/01/16, rates on federally sponsored projects:
Full-time employees – 31.2%
Part-time employees - 9.7%
For non-Federal sponsors, add Spouse and Dependent Tuition Benefit (2.3% ) for full-time employees
Current F&A and benefits rates

14. Preparing the Budget (Equipment)
Definition
“Equipment” costs $5,000 or more per item, and has a useful life of more than 1 year
Includes computer software that meets this definition (capitalized computer software).
Accounting Policy #1106.0
Justification
Why is this item necessary to support the science?
When is it necessary?
Availability
Is the equipment available elsewhere in the University?
Competitive Bid Requirement
Talking point – equipment purchases budgeted over multiple years.

15. Preparing the Budget (Office Supplies & Computing Devices)
Generally not treated as direct costs. Can be allowable if specifically related to the project. For example:
Specific aim of the project is to create a manual or other instructional media.
Extensive human subjects data accumulation, questionnaires, etc., is required.
Computing Devices:
Uniform Guidance Subpart A, Section
A computing device is a supply if the acquisition cost is less than the lesser of the capitalization level established by the non-federal entity for financial statement purposes or $5,000, regardless of the length of its useful life.
Add commentary about M&M’s…story…

16. Preparing the Budget (Travel)
Usually restricted to employees
Domestic
Foreign
Fly America Act if Federal $$
May require prior approval even if in budget

17. Preparing the Budget (Patient Care)
Defined in rate agreement: “…hospitalization and other fees associated with patient care whether the services are obtained from an owned, related, or third-party hospital or other medical facility…”
Excluded from MTDC base and F&A calculations.
• Evelyn to do some digging…..

18. What is not included in patient care?
Subject reimbursement and travel.
Costs of ancillary tests performed outside the hospital on a fee-for-service basis.
Costs accumulated in service centers at Penn, such as in Radiology for research patient care.
Consulting physician fees.
All of the above are “other” or “consultant” expense. •

19. Preparing the Budget (Subcontracts)
Budget, including F&A costs
Copy of F&A rate agreement
Statement of Work (SOW)
Cover page/Letter of Intent with Authorized Signature
Reps/Certs required by sponsor

20. Preparing the Budget (Consultants)
Penn staff usually cannot be included in this category
If applicable, must coordinate payment through Penn Payroll Office.
Consultant’s letter of intent and cost
All costs related to the consultant including travel are usually accumulated in this category.
Statement of Work
Consortium agreements typically used if consultants are identified as Key Personnel.

21. Preparing the Budget (Other Direct Costs)
Service Center charges
Tuition and Fees (Research Projects)
Post Doctoral Health Insurance
Publication Costs
Protocol Review fees, when appropriate
Rent, when appropriate, but excluded from MTDC.
Animal per diem.
Subject compensation and travel
SPP #2110 Federal Direct Cost Expenditures;
SPP #2138 Direct Costs Expenditures for Non-Government Organizations
Deleted the word fellow since we have fellows, researchers, etc. and instead just left at Post Doctoral…

22. Preparing the Budget (F&A Costs)
F&A = Overhead = Indirect Costs
Pays for many costs that cannot be allocated to a specific project, i.e. utilities, administrative payroll and other support services, etc.
The “Colleges and Universities Rate Agreement” contains the federally negotiated F&A rates
F&A usually expressed as a % of a base
Modified Total Direct Cost Base (MTDC)
Excludes equipment, patient care costs, student tuition, and fees, alterations and renovations, rental of off-site facilities and the portion of each subcontract in excess of $25,000
Check sponsor guidelines for appropriate base

23. Preparing the Budget (F&A Costs)
Which rate to use?
Research rates (on- and off-campus) [61% & 26%]
Certain DOD Contracts [63%]
Instruction [52%]
Other Sponsored Activities (on- and off-campus) [37% & 26%]
Examples: health or community service projects, seminars, conferences, exhibitions, lecture programs
Clinical Trials [26% Total Direct Costs (TDC)]
Corporate Contracts [63%]
Current agreement

24. When is the offsite rate applicable?
Use this rate whenever activity will occur for 3 months (or 25%) or more at a facility not owned by the University.
Consider preparing a split-rate budget when appropriate.
Remember that rent can be a direct charge when using the off-site rate.
Rent is excluded from MTDC and F&A calculations. •

25. Don’t overlook Are there humans involved? Are there animals involved?
Subject compensation and travel?
Related patient care costs?
Equate costs proposed to research plan, especially with the consents.
Are there animals involved?
Prepare detail cost estimate: include shipping and box charges.
Animal per diem?
Equate costs proposed to research plan. •

26. …and more Are there large pieces of equipment?
Installation and set-up included?
Maintenance contracts?
Space available or renovation costs included?
Provide a quote.
Are there pre- and or post-docs?
Tuition included?
Excluded from MTDC and F&A.
Health insurance costs listed?
Not excluded from MTDC. •

27. Budget Justification
Each line item usually requires specific justification.
Unusual or extraordinary expenses such as equipment, clerical salaries and administrative expenses, may require additional justification.
Check sponsor guidelines for requirements.

28. **Pay special attention to =, <, > **
Other Considerations
Specific Sponsor Requirements
NIH modular: ≤$250,000/year
Many non-Federal sponsors may not allow PI salary, benefits, travel, etc.
**Pay special attention to =, <, > **
Fix symbol! -- done
Moved this to new slides:
Check info for Penn Participation
Electronic Proposal Submission
Terms and Conditions
Regulatory Issues (Animals & Humans)

29. Terms & Conditions Terms and Conditions
Must be consistent with University mission of research, education and service
No approvals of publication
University owns and controls intellectual property
Federal regulations appropriate to educational institutions are used

30. Budgeting Using PennERA Proposal Development (PD)
see Curie (detail), Curie (simplified)
Can we put this before electronic proposal submission?

31. Budgeting Using PennERA PD
Type of budget is automatically determined by PD during proposal setup.
see Curie (detail), Curie (simplified)
Can we put this before electronic proposal submission?

32. Budgeting Using PennERA PD
Type of budget is automatically determined by PD during proposal setup.
Proposal creator answers questions so that PD can select the correct configuration.
see Curie (detail), Curie (simplified)
Can we put this before electronic proposal submission?

33. Sample Budget Configurations
Typical setup – detail or simplified entry, S2S or generic records.
Modified for NIH modular budget – detail or simpli-fied entry, only S2S.
Noncompeting records or S2S not requiring a detail budget.

34. Budgeting Using PennERA PD
Two budget entry methods
Simplified
Minimal data entry
Use if not a Federal system-to-system (S2S) requiring a detail budget
see Curie (detail), Curie (simplified)
Can we put this before electronic proposal submission?

35. Budgeting Using PennERA PD
Two budget entry methods
Detail
As required by Federal sponsor’s instructions
Can be used in any PD record
see Curie (detail), Curie (simplified)
Can we put this before electronic proposal submission?

36. Detail – Personnel Expense

37. Detail – Personnel Detail Entry

38. Detail – Non-Personnel Expense

39. Detail – Non-Personnel Detail Entry

40. Detail – Subcontract Expense

41. Budgeting Using PennERA PD
Complete other sections:
F&A
Many proposal records calculate F&A automatically
If manual entry is used, reset to autocalculation if editing budget expense data entry
see Curie (detail), Curie (simplified)
Can we put this before electronic proposal submission?

42. Budgeting Using PennERA PD
Complete other sections:
Cost Sharing
Observe Penn’s cost-sharing policies
Complete cost-sharing form
Upload Budget Justification
see Curie (detail), Curie (simplified)
Can we put this before electronic proposal submission?

43. Entering and Evaluating the Budget for Funding Limits

44. Determine the limit Carefully read the FOA.
Project and/or annual costs?
Total Costs, Direct Costs, or some other base?
The limit is:
= equal to    > greater than    < less than
≤ equal to or less than
≥ equal to or greater than
see Curie (detail), Curie (simplified)
Can we put this before electronic proposal submission?

45. Determine the limit
Common misunderstanding about the standard NIH annual limit*
Wrong — NOT greater than $500,000/year
Correct — Cannot be equal to or greater than $500,000 in any year without prior approval
Therefore, budget must be less than $499, or less.
PennERA automatically validates for this amount.
*Based on Total Direct Cost less subcontract F&A.

46. Entering the Budget
Use Precision Calculation in Excel.

47. Entering the Budget Excel data entry example:
Actual entered or calculated values
Displayed values (decimal precision = no decimals displayed)
Displayed values after setting “precision as displayed”

48. Entering the Budget Any budget entry method can be used.
By-Project or By-Period Budgeting
No special data entry required.
Minimal data entry.
PennERA calculates all values.
424 Budgeting
Use to exactly match an Excel spreadsheet.
PennERA calculations only totals.
Cannot use escalation functionality.

49. Reviewing the Completed Budget
Regardless of budget entry method, built PDF forms must be reviewed.
Navigate to the Finalize tab to open and view the built budget forms.

50. Reviewing the Completed Budget
If limit applies to Project Total Costs:
Go to R&R Cumulative Budget Page, “Section I, Total Direct and Indirect Costs (G+H)”.
If limit applies to Project Total Direct Costs:
Go to R&R Cumulative Budget page, “Section G, Direct Costs (A thru F)”

51. Reviewing the Completed Budget
If limit applies to each Budget Period Total Cost:
Go to the third page for each budget period, “I. Total Direct and Indirect Costs”.
If limit applies to each Budget Period Direct Costs:
Go to the third page for each budget period, “G. Direct Costs”.

52. Reviewing the Completed Budget
Open the PDF of the SF424 R&R on the Finalize tab.
Check “Estimated Project Funding” section.
See more details and screen shots at the PennERA reference website:Creating and Evaluating S25 Records to Meet Sponsor-Mandated Budget Limits

53. Routing & Submission

54. PI and BA Submit Proposal
PI and Business Administrator (BA) have completed all components in PD
Participation Agreement signed and filed in department
Upload internal documents (e.g., subaccount worksheet)
PI completes certification
BA completes transmittal form
Record submitted to routing path for internal review
Add screen shot of routing path after.

55. What’s a routing path?
…and…

56. What’s a routing path? …and final step…
Approvers notified by message when previous reviewer approves the proposal.
Only one approval is required per step.

57. Research Services Review
Review e-Transmittal Form & PI certification for Accuracy & Completeness
Regulatory Issues
Determine Type of Award
F&A Cost Review
Conflict of Interest
Cost Sharing
Terms & Conditions if applicable
Check for electronic submission validation issues

58. Purpose of e-Transmittal
The Transmittal Form
Internal Form
Does not get submitted to sponsor
Uses
Departments, make commitments & determine that project is within total program and academic objectives of department
Deans, determine that project is consistent with the total program objectives of the school and that commitments for project (including any cost sharing/matching funds) are acceptable
Research Services uses it to create funds; accuracy matters

59. Proposal Routing and Submission
Approvals
If project includes faculty from multiple schools/departments
Plan for additional time to secure appropriate approvals
If project includes participation from another institution
Information from the other institution must also be obtained and presented in the application
Plan for delays
Electronic proposal submission issues
Administrative support assisting with multiple grant applications from multiple PI’s
Broken copiers, scanners
Change to add PennERA insertion

60. Proposal Routing and Submission
Applications requiring additional information (financial reports) require more time
Responses to RFP’s (Contracts)
Contractual terms sent to Research Services as soon as possible
PI’s transferring from another institution should begin the transfer process as soon as they have accepted a position at Penn
Observe individual School deadlines

61. Regulatory Issues IACUC IRB FCOI Compliance
Some sponsors require regulatory assurances be in place at the time of proposal.
*NIH single IRB coming 2017*

62. Reminders Electronic Proposal Submission
All Electronic Submissions are not created equal
Read the Instructions
Does the PI or Institution need to be registered users?
Is the required technology available at the Department? At ORS?
All electronic applications must be approved by ORS before submitting to sponsor even if a paper copy with signatures is required after electronic submission.
SPP #2102 Approval of Proposals
Make

63. Reminders continued… Meet the specifications of the announcement
Make it easy for the reviewers to see that you have done so
Awards are made to the Institution
Only Research Services is authorized to sign on behalf of the University

64. Award Acceptance and Account Set-Up
Sponsored Programs at Penn
Award Acceptance and Account Set-Up

65. What is a Notice of Award (NOA)?
A notice of grant award - also referred to as notice, NOGA, NGA, sponsor notice, contract or award letter - is an official notification from a sponsor indicating that a proposal has been funded.
Notice of grant awards are typically received by the Office of Research Services [Pre-award offices], although on occasion a PI may be notified directly.

66. What is Contained in a Notice of Award
PI Name
Dates of Performance
Current budget period
Total project period
Dollars
Direct, F&A
Current, project total
Cost Sharing
Contact information
General & Special T&C
Use of Animals/Human Subjects
Use of Interest Income
Use of Program Income
Reporting requirements
Programmatic
Financial
Property
Invention

67. Review and Negotiation
ORS Pre-Award and Office of Clinical Research and Penn Center for Innovation staff review sponsor terms and conditions for compliance with University Policy.
Non-standard terms may require negotiation or other measures to harmonize with University Policy.
Selected examples:
Intellectual Property and Tangible Research Policy
Publication
Financial Reporting Requirements
Governing Law
F&A rate (See SPP 2116 Recovery of F&A Costs)

68. Review and Negotiation
Considerations Specific to Corporate-Funded Contracts:
Expectations of corporate sponsors different from expectations of public sector sponsors:
Ownership of data and other intellectual output;
Confidentiality of work for which sponsor is paying;
Control over publication of research;
Responsibility/liability for harm that may arise from research or use of research output’
For clinical trials, rapid, frequently competitive, activation of protocols.

69. Review and Negotiation
Considerations Specific to Corporate-Funded Contracts:
Internal Review Process Adapted to Accommodate Projects Funded by Corporate Sponsors:
Agreements to be forwarded to Office of Clinical Research (for clinical trial agreements) and Penn Center for Innovation (for other research agreements) for negotiation as soon as sponsor is willing to negotiate/final budget; IRB/IACUC submission not required;
Only items necessary for negotiation need to be forwarded;
See eform in Internal Documents in Penn ERA for step-by-step instructions for this parallel review process.

70. Award example - NIH NOA Section I: Award Data & Fiscal Information
Summary of totals for current and future years
Fiscal year of award
Indicates whether an unobligated balance has been applied to the award amount
Newly added “PMS Account Type”
NOA Section II:
Refers reader to Web site for Grant Payment Information and OIG Hotline Information

71. Award example - NIH NOA Section III: Standard Terms & Conditions
Grant program legislation and regulations
Restrictions on the expenditure of funds in appropriation acts
45 CFR 74 or 92 as applicable
NIH Grants Policy Statement
Carryover—automatic or prior approval
Included/excluded from Streamlined Noncompeting Award Process (SNAP)
FDP signatory status noted
FAIN number
FFATA/ARRA
Program Income

72. Award example - NIH NOA Section IV: Specific Terms and Conditions
Revisions
Cooperative Agreement
Restrictive terms
Information items
Staff Contact Information
Spreadsheet Summary

73. Exercise What is the name of the sponsor?
What is the name of Penn’s PI?
Is your award a grant or contract?
Is your award cost-reimbursable or fixed-price per patient?
What is the first year budget period?
What is the entire project period?
What is the dollar amount obligated under this award?
Are there any subcontracts?
Will PHS-FITS be required?
Bonus: identify 1 or more specific term and condition.

74. Award Example - Foundation
Award layout varies by sponsor
NOA often references terms and conditions not explicitly named

75. Exercise What is the name of the sponsor?
What is the name of Penn’s PI?
Is your award a grant or contract?
Is your award cost-reimbursable or fixed-price per patient?
What is the first year budget period?
What is the entire project period?
What is the dollar amount obligated under this award?
Are there any subcontracts?
Will PHS-FITS be required?
Bonus: identify 1 or more specific term and condition.

76. Account Set-Up

77. Account Set-Up - Workflow
Notice of Award
(NOA)
Received and
Negotiation complete
FCOI Compliance verified
Status Changed To Award
From Pending, Future
Pending, Advance Account,
or Account Continuation
10 Business Days
Fund Attributes
Fund Parents
Special Budgets
Account Segments
Assigned in
PennERA & Sent to GL
Fund & Legacy
Number Created
in BEN Financials & Sent
to PennERA
AIS is available in
BEN Reports
Award Notice Uploaded
in PennERA

78. Workflow Electronic process for imaging awards and updating PennERA
Applies to changes to records that result in AIS
Several steps and roles
Document enters imaging system
Package created and assigned to AD/CA for handling
Operations updates award, adds package to PennERA
Hurdles:
Is PHS-FITS necessary? Is it complete?
Is there a Non-Competing Continuation transmittal on file?
Is there inconsistency between the package and record?
Is there a Cost-Share form to be signed?

79. Funds and Accounts
New Funds are created for each year of the award when carryover of money from one year to the next must be approved by the Sponsor
New funds are also required when the F&A changes from one segment to another
New funds may be required if the funding mechanism changes at the sponsor
Subaccounts are to be requested on the subaccount worksheet

80. Receiving the Award and the Account Information Sheet (AIS) AIS is issued online. NOAs are uploaded in the Attachments tab in PennERA as part of Workflow. For help:

81. Review the Award AIS is not a substitute for award
PI is responsible for all terms
Review terms and conditions of award
Sponsor guidelines
Restrictions
Scientific reporting specifications

82. Review the AIS
Ensure Account End Dates Accurate (budget end or project end?)
Ensure Award on AIS matches Award on NOGA
Ensure FDP and/or SNAP
Ensure accuracy of F&A rate
Ensure proper PI name and Org#
If the AIS is for a continuation year, always check for budget periods funded with prior unobligated funds.
If errors occur,
Refer to Sample AIS and NOGA

83. Advance Accounts What is an Advance Account?
Use when high probability of award
Allows you to put charges on proper account
Avoid journal entries and payroll reallocations
Use with pre-award costs under expanded authorities
Easy to request
ORS Web page has link to Advance Account Request
PSOM-Advance Accounts are approved and setup by ORSS
All other schools - forward request to ORS Pre-Award

84. Advance Accounts (cont.)
Risks
Award may not materialize
Start date may be delayed
Not all sponsors allow “Pre-award” expenditures
Establish follow-up routine
Has award materialized?
Is something holding it up?
3 month limit on advance accounts

85. RESEARCH INVENTORY SYSTEM (RIS)
September 18, 2018
RESEARCH INVENTORY SYSTEM (RIS)
RIS is an electronic system for requesting and managing material transfer, non-monetary agreements, and outgoing subawards at Penn.
A subaward is a portion of an award that is distributed by the recipient of the original award (pass-through entity or prime) to a third party (subrecipient or subawardee) to conduct project work in compliance with the project’s terms and conditions.
Non-monetary agreements are research agreements that do not bring funding into Penn.
Examples of non-monetary research agreements:
Material Transfer Agreements
Data Use Agreements
Purchased Service Agreements
Confidentiality Agreements
Equipment Loan Agreements
Collaboration Agreements

86. Creating an MTA/NMA Request
September 18, 2018
Creating an MTA/NMA Request
Log-in page for RIS: Enter PennKey/Password

87. Creating an MTA/NMA Request
September 18, 2018
Creating an MTA/NMA Request
Choose from 6 different types of agreements
Agreements may have more than one component
RIS prompts for information in each of the tabbed categories circled below

88. September 18, 2018
Filters and Searches

89. Creating a Subaward Request
September 18, 2018
Creating a Subaward Request
Subaward requests are managed through My subaward requests in the navigation pane. Here, you may enter request new subawards and amendments to existing subawards agreements.

90. Creating a Subaward Request: Prime Award
September 18, 2018
Creating a Subaward Request: Prime Award
Enter details about the prime award, including:
Principal Investigator
Business Administrator
Type of award (federally sponsored, corporate sponsored, foundation, etc.)
Prime-award proposal (search by title)
Prime award number (pulled from PennERA)
Fund number
Other funding supporting the project
Type of agreement (purchase service agreement, research subaward, or research contract)
Other subawards connected to the project
Special instructions for ORS

91. Creating a Subaward Request: Subaward
September 18, 2018
Creating a Subaward Request: Subaward
Enter details about the subaward, including:
Subrecipient institution
Contacts, including subrecipient PI and administrative, fiscal, and authorized contacts
Period of performance (i.e. budget period)
Amount awarded to the subrecipient for the increment
Estimated total award to the subrecipient for the segment
Budget information (upload)
Carryover conditions
Scope of work (upload)
Presence of human subject and vertebrate animal research (upload)

92. Creating a Subaward Request: Certification
September 18, 2018
Creating a Subaward Request: Certification
In the certification tab, the BA verifies the accuracy of the request and submits it for PI approval.
Following PI approval, the subaward request is routed to ORS for subrecipient monitoring, risk assessment, and agreement negotiation.

93. Creating a Subaward Request: Activity Log
September 18, 2018
Creating a Subaward Request: Activity Log
The history and progress of the request is stored in the activity history (or “log”) within the RIS record. BA
BARACUS
Submitter

94. Reminders
Amendments must be requested using the amendment/extension/termination option. Amendment-requests entered as new agreements will be returned to the BA
When requesting a subaward or amendment, upload the current IRB/IACUC approval. If the document in RIS is outdated, the agreement will not be issued until current regulatory approval is provided
Automatic carryover: if prime allows automatic carryover, this is to flow down to subrecipients unless justification is provided
Use the special instructions box to explain any conditions unique to this subaward or to respond to anticipated ORS questions
Using the related subawards field to list additional subrecipients helps ORS plan its work, improving efficiency in issuing agreements
The uploaded budget should match the request. Explain any deviations using special instructions
Ensure the prime is awarded and required sponsor approvals are secured prior to entry of the RIS request

95. Subaward Process BA/PI collects SOW, budget, and regulatory documents
BA/PI initiates subaward request via Research Inventory System (RIS)
ORS completes subrecipient monitoring, generates subaward agreement and sends to subrecipient for execution
RIS sends notification to BA indicating the subaward is fully executed. Signed agreement is stored in RIS
BA establishes Purchase Order
Subaward activity is noted in the RIS activity log throughout the process
Key
Department
ORS

96. Subrecipient Monitoring
A-133 report or audited financial statements required annually
Current F&A rate agreement
Risk Assessment – results indicate appropriate subcontract terms and conditions
pam

97. Subrecipient Monitoring
ORS Responsibilities
Principal Investigator Responsibilities
Business Administrator Responsibilities
Checking if subrecipient is subject to A-133
If yes, obtaining most recent report
If no, requesting audited financial statement and certifications
Reviewing A-133 reports with significant findings and all non-A-133 financial documentation
Documenting receipt of audit and financial documents
Checking for debarment/suspension
Evaluating project-level risk using Risk Assessment Questionnaire
Making subrecipient vs. contractor determinations
Preparing and assembling subcontract package
Sending subcontract to subrecipient
Notifying Business Administrator when subaward is fully executed
Reviewing scope of work from subrecipient
Certifying that budget is appropriate for scope of work
Approving invoices certifying that the work was completed satisfactorily
Determining additional funding based on progress
Requesting reports as needed
Collecting institutional approvals from subrecipient, including the signed statement of intent
Entering Subaward request in RIS
Documenting PI approvals of invoices prior to authorizing payment
Reviewing invoices prior to requesting additional funds
pam

98. User guide available - link in RIS’s sidebar
September 18, 2018
NEED ASSISTANCE?
User guide available - link in RIS’s sidebar
RIS walkthrough:

99. Questions