NCURATV 2009 Satellite Broadcast Workshop Series

Subrecipient Monitoring: Assessing Risk

Program Schedule

September 15, 2009

11:30 am – 3:30 pm ET

Moderator

Rob Barbret, Director of Sponsored Programs, Controller’s Office, University of Michigan

Panel

Pamela Webb, Associate Vice President for Research Administration, Sponsored Projects Administration, University of Minnesota

Bruce Morgan, Assistant Vice Chancellor for Research, Office of Research, University of California, Riverside

Samantha Westcott, Grant Manager, Division of Biology, California Institute of Technology

Questions: Email/Fax the panel live during the broadcast: or 202-371-1015

Time

EST / Segment Time /

Main Topic

/
Key Issues
/ Supplemental Information
10:30 / 01:00 / Test Slate / Test Slate
11:30 / 00:05 / Welcome / Kathleen Larmett
11:35 / 00:10 / Definition of Subrecipient Monitoring /
  • OMB A-133 compliance supplement
/ OMB Circular A-133 Mini-Guide for sale at the NCURA Bookstore

OMB Circular A-133

OMB Circular A-133
Subpart B – Audits

OMB Circular A-133
Subpart D – Federal Agencies and Pass-Through Entities

OMB Circular A-133
Compliance Supplement Addendum # 1

11:45 / 00:15 / Goal of “Being a Good Customer” /
  • Funds flowing in both directions

12:00 / 00:30 / Processes at Proposal Stage /
  • What do we expect as an institution
  • Prospective partnering
  • Establishing a solid partnership
/ University of Minnesota, NSF Nondiscrimination Certification Form

StanfordUniversity, Subrecipient Commitment Form

University of Minnesota, Commitment Form (Letter of Intent) to Establish a Subaward Agreement

MIT, Office of Sponsored Programs, Subaward Checklist

The OhioStateUniversity Research Foundation, Request for Subaward

Northwestern University, Office for Sponsored Research, Request to Issue a New Subagreement

Colorado State University Subcontracting Manual

12:30 / 00:10 / Conflict of Interest /
  • Who monitors?
  • Institutional policy
  • Departmental follow-up
  • Applicable regulations
  • Federal, state, institutional
  • What is the process flow for reporting?
/ NIH Guide, Code of Federal Regulations
Subpart F – Responsibility of Applicants for Promoting Objectivity in Research for Which PHS Funding Is Sought

NIH, Conflict of Interest

NIH, Conflict of Interest, Frequently Asked Questions

NIH, Financial Conflict of Interest (FCOI) Web-based Tutorial

NSF, Grant Policy Manual, Chapter V-Grantee Standards, 510 – Conflict of Interest Policies

NSF, Grant Policy Manual, Chapter III- Grant Administration, 300 – Monitoring Project Performance

University of California Policy on Disclosure of Financial Interests and Management of Conflicts of Interest Related to Sponsored Projects

UC Riverside, Disclosure of Financial Interests Related to Sponsored Projects

12:40 / 00:20 / Processes at Award Stage (Issuance of Subward) /
  • Risk assessment of subrecipient
  • Identifying and managing high(er) risk subrecipients
/ University of Minnesota, Subaward Roles and Responsibilities

StanfordUniversity, Audit Certification and Financial Status Questionnaire

Stanford University/University of Minnesota, Risk Assessment Tool

Item List for Subaward

1:00 / 00:30 / Break for Lunch
NCURA Upcoming Events
1:30 / 00:05 / Welcome back / Kathleen Larmett
1:35 / 00:25 / Processes at Award Stage (Issuance of Subward) (continued) /
  • More formalized risk assessments
  • Handling non-A-133 audit recipients
  • Selection of instrument
  • Requirements to submit animal or human use approval
  • Requirements to submit F&A or FB rate agreements

2:00 / 00:15 / Processes During the Life of the Award /
  • Establishing regular contact with the subrecipient
  • Monitoring progress of Science
  • Monitoring compliance with reporting obligations
  • Site visits

2:15 / 00:10 / Break
NCURA Upcoming Events
2:25 / 00:05 / Welcome Back / Kathleen Larmett
2:30 / 00:30 / Invoice Monitoring /
  • Sign-off responsibility
  • Matching expenditure rates to scientific progress
  • Appropriateness of expenditures
  • Timeliness
  • Cost-sharing
  • Special issues
  • Non-A-133 entities. Costing standards
/ StanfordUniversity, Sample Invoice

University of Minnesota, Checklist for Principal Investigators Reviewing Subaward Invoices

3:00 / 00:15 / Award Life Changes /
  • Incremental/out year funding
  • How are matters requiring prior approval handled?
  • Changes in subrecipient’s audit status, debarment/suspension status, compliance approvals
  • Early termination of subawards
/ OMB Circular A-110, Subpart A – General

OMB Circular A-110, Subpart B – Pre-Award Requirements

OMB Circular A-110, Subpart C – Post-award Requirements, Section .25 Revision o f Budget and Program Plans

NSF, Policy, Research and Conditions Prior Approval and Other Requirements Matrix

3:15 / 00:10 / Special Monitoring Issues for ARRA Subaward / Federal Demonstration Partnership, ARRA Award Management and Reporting
Recovery.gov, Recipient Reporting Information

3:35 / 00:05 / Wrap-up / Kathleen Larmett
3:30 / 3:30

Questions: Email/Fax the panel live during the broadcast: or 202-371-1015

National Council of University Research Administrators
1225 19th Street, NW, Suite 850 • Washington, D.C. • 20036
Phone: 202.466.3894 • Fax: 202.223.5573 • • mailto:

1