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Subaward Modification Negotiation Job Aid by huanghengdong

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									                              Subaward Modification Negotiation

                           Job Aid for Work Instruction WI-MS-100
                                                                                            Date: 10-7-11


Task Assignment, Setup and PI Notification

   2. Award Setup Team (AST) Grant and Contract Officer (GCO) enters the following information in
Subawards Sharepoint task, and adheres to the approved Naming Conventions:

          Subrecipient Name (Enter Subrecipient Name Agreement Number-Modification#
           (i.e. University of Arizona 11-200-01)
          ASU Subaward Number-Modification# (search by Agency/Org in COEUS) (i.e. 11-200-01)
          Modification Number (COEUS "Amount Info" tab, comments will show last modification)
          Parent Agency/Org
          Child Agency/Org
          Current Period of Performance Start (Start date listed in COEUS)
          Current Period of Performance End Date (End date listed in COEUS)
          Modification Period of Performance Start Date (Start date listed on G210 report
          Modification Period of Performance End date (End date listed on G210 report)
          Current Subaward Amount (Obligated Amount in COEUS)
          Amount Added/Decreased (Direct Costs of G210 report - Obligated Amount in COEUS)
          New Subaward Amount (Direct Costs of G210 report)
          ARRA "Yes" or "No" (check in COEUS Awards Module under the "Other" Tab, Item "14.
           Special Program" field, as if it is ARRA funded, then it will state "ARRA"; this can also
           be verified by looking at the prime award document to see whether it includes ARRA
           requirements)
          FFATA "Yes" or "No"

           GCO uses the FFATA Checklist Guidance Document for AST in an effort to determine
           whether FFATA Reporting is required on subaward modification. Completion of this
           checklist by GCO will assist in making determination as to whether ASU will need to report
           on modification for FFATA Reporting. This is a step in the process; completed checklist
           does not need to be uploaded to SharePoint, as GCO will indicate FFATA "Yes" or "No" in
           SharePoint task.

          Review Comments (Helpful tool for GCO: copy/paste the comments from Activations task
           pertaining to the subaward modification into the Subaward SharePoint Task "Review
           Comments" field, this will eliminate the need for GCO to refer back to the Activation Task
           notes later.




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                            Subaward Modification Negotiation

                         Job Aid for Work Instruction WI-MS-100
                                                                                        Date: 10-7-11

          Mailing Instructions (enter Subrecipient Administrative Contact information pulled from
           prior modification. If this is subaward modification number 1, Subrecipient Administrative
           Contact information is pulled from within the original subaward agreement. Helpful tool for
           GCO, copy/paste mailing information found in the SharePoint Task for prior issued
           modification or SharePoint Task for the original agreement).
           (NOTE FOR COEUS: Subrecipient Administrative Contact information is entered
           into COEUS Rolodex, if it is not already in COEUS Rolodex. The Subcontract
           within COEUS Subcontracts Module is verified to be accurate, if not accurate, then
           the Subcontract within COEUS Subcontracts Module is updated with the current
           Administrative Contact on the COEUS Contact Tab. GCO verifies that email
           address is in COEUS for each administrative contact, if not in COEUS,
           GCO updates the Contact in the Rolodex for Administrative Contact.)




   3. GCO creates Subawards Modification folder within Awards Sharepoint site.

      GCO uses the approved Awards Folder Structure and Naming Conventions as follows:

      COEUS Award Number

      Agency Org (ex. ABC0123)

      Subawards

      Mod 1

      Agency/Org-01 (Example ABC0123-01)

      Documentation (i.e. Agency/Org-01 Email to...)

GCO saves items in respective subawards folder within Awards SharePoint site using the following
Naming Convention "Agency/Org Item # - Descriptor for Document".




GCO Emails the "A-133 Audit Form At Modification Stage" document to Subrecipient

          GCO emails the "A-133 Audit Form At Modification Stage" document to Subrecipient.

           Email to Subrecipient to state the following:
           "Prior to issuing modification to subaward agreement to Subrecipient, ASU requires

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                             Subaward Modification Negotiation

                           Job Aid for Work Instruction WI-MS-100
                                                                                            Date: 10-7-11

           confirmation that the fiscal year audit report that ASU has on file for your organization is
           the most recently released. Please complete attached A-133 Audit Form and return to
           ASU (providing the most current audit report for review)."



          Subrecipient returns completed "A-133 Audit Form at Modification Stage" document to
           GCO. GCO saves the completed "Subrecipient A-133 Audit Form" to Sharepoint A-133
           Audit Folder:
           Home > Research Admin > ORSPA > Award Setup > Shared Documents > Subawards
           Information > A-133 AUDIT > FY20## Annual Audit Reports > FY2011 Audit Reports +
           Letters + Review Forms > "Subrecipent Name A-133 Audit Form.pdf" (naming convention
           for A-133 Audit Form).




           NOTE: Save to folder based on the Audit Year of the Audit Report.




   6. Subaward modification will not be issued until Subrecipient has met the requirement for
CCR/DUNS Registration. To meet the DUNS requirement, subrecipient is required to provide DUNS
number. To meet the CCR requirement, Subrecipient must either maintain a current CCR Registration
or provide proof that their CCR Registration is currently being processed.

AST GCO is to confirm that Subrecipient maintains a current CCR registration. AST GCO will verify that
Subrecipient's CCR Registration is current by accessing Central Contractor Registration webpage and
typing in DUNS number as search criteria: https://www.bpn.gov/CCRSearch/Search.aspx.

Proof of registration in process from Subrecipient will suffice to meet this requirement.
AST GCO will state the date the Subrecipient "CCR Registration is valid thru" within the respective field
within the Subawards SharePoint task.
AST GCO saves proof of CCR Registration to Awards Folder.

If CCR Registration is not current, AST GCO will send the "DUNS CCR Registration Information
Template" email to the Subrecipient instructing Subrecipient that they are required to maintain both a
current Dun and Bradstreet Data Universal Numbering System (DUNS) numbers and to maintain
current registration in the Central Contractor Registration (CCR) database.




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                             Subaward Modification Negotiation

                          Job Aid for Work Instruction WI-MS-100
                                                                                           Date: 10-7-11

GCO updates COUES and Access - if change to PI - so invoice goes to correct person for
approval

          If a PI change happens GCO needs to remember to go into COEUS and Access to insert
           note about new PI and date PI changed happened.

GCO confirms Accuracy of Data entered in COEUS

          GCO opens the subcontracts module in COEUS and searches for the subaward.
          GCO locates the associated account number.
          GCO opens the awards module in COEUS and searches for the associated account number.
          GCO follows the link provided in email to the Awards SharePoint Subawards folder and
           opens up the subaward agreement and opens up the Award in COEUS.
          GCO does a double check between the information in the agreement and the information in
           the COEUS Award to make sure that all the necessary changes have been made and that
           they match.
          If they do match, GCO marks the notification as done and no more action is taken.
          If they do not match, GCO then creates a new Activations SharePoint task so that the
           subaward information is taken care of.




Additional Guidance:




GCO check for Outstanding Invoices

   1. GCO checks COEUS subcontracts module under "Amount Released" tab, and if GCO should see
       that an invoice(s) is pending which would pay the existing obligated amount in full, GCO will
       send an email to Purchasing to request that Purchasing add $1 so that if pending invoice is
       paid it will not close out the Purchase Order (SC#).

GCO confirms that the following items are saved in respective subawards folder within Awards
Sharepoint site:


• Agency/Org Item A - Budget Justification (if necessary - if no cost extension will not need this item)

• Agency/Org Item B – G210 Grant Summary printout (in no cost extension this will be Item A)

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                            Subaward Modification Negotiation

                          Job Aid for Work Instruction WI-MS-100
                                                                                         Date: 10-7-11

• Agency/Org Item C - GCO A133 or Questionaire Audit Risk Review

• Agency/Org Item D - Visual Compliance Verification (email or pdf)
• Agency/Org Item E - Advantage (Vendor Information Printout)
• Agency/Org Item F - PI Approval (email)
• Agency/Org Item G - Email sent to subrecipient with fully executed subaward modification attached


     Fully executed Subaward Agreement Modification
     IRB/IACUC Approval (if required for subaward)
     CCR Check - using DUNS number
     Other Documentation and email documentation (as necessary)


The following items should be saved by the GCO for ASU Assistant Director to review prior to fully
executing modification to subaward however; once ASU Purchasing confirms SC number than the GCO
can delete the following items from the Subaward Sharepoint Task site in order to save space on
Sharepoint site. The reason these can be deleted is that they are already saved on another site on
Sharepoint or are incorporated as part of the subaward itself or are not neccesary to keep.


     Agency/Org Item H - Prime Award - Modification
     Agency/Org Item I - Scope of Work (SOW)
     Agency/Org Item J - Budget
     Agency/Org Item K - A133 Audit Report or Audit Certification or Financial Status Questionaire
     Agency/Org Item L - PI Approval Request
     Agency/Org Item M - Subaward modification sent to Subrecipient for Signature (email)
     Agency/Org Item N - Partially signed Subaward modification Received from Subrecipient (email)
     Agency/Org Item O - Partially executed modification subaward sent to ASU Ass't Dir. for
      approval/signature (email)
     Agency/Org Item P - Email to ASU Purchasing requesting modification of SC subaward
     Agency/Org Item Q - Email from Purchasing confirming setup of Subaward and SC number




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