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					                                     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: NCURATV@ncura.edu or 202-371-1015
          Segment
 Time               Main Topic          Key Issues                        Supplemental Information
 EST      Time
 10:30    01:00     Test Slate          Test Slate
 11:30    00:05     Welcome             Kathleen Larmett
 11:35    00:10     Definition of        OMB A-133 compliance            OMB Circular A-133 Mini-Guide for sale at
                    Subrecipient           supplement                     the NCURA Bookstore
                    Monitoring                                            http://www.ncura.edu/online/cgi-
                                                                          bin/msascartlist.dll/ProductInfo?productcd=
                                                                          40684-083

                                                                          OMB Circular A-133
                                                                          http://www.whitehouse.gov/omb/assets/om
                                                                          b/circulars/a133/a133.pdf

                                                                          OMB Circular A-133
                                                                          Subpart B – Audits
                                                                          http://www.whitehouse.gov/omb/rewrite/circ
                                                                          ulars/a133/a133.html#b

                                                                          OMB Circular A-133
                                                                          Subpart D – Federal Agencies and Pass-
                                                                          Through Entities
                                                                          http://www.whitehouse.gov/omb/rewrite/circ
                                                                          ulars/a133/a133.html#d

                                                                          OMB Circular A-133
                                                                          Compliance Supplement Addendum # 1
                                                                          http://www.whitehouse.gov/omb/assets/a13
                                                                          3_compliance/arra_addendum_1.pdf
 11:45    00:15     Goal of “Being a       Funds flowing in both
                    Good Customer”          directions

 12:00    00:30     Processes at           What do we expect as an       University of Minnesota, NSF
                    Proposal Stage          institution                   Nondiscrimination Certification Form
                                                                                                               1
                                 Prospective partnering          http://www.ospa.umn.edu/subaward/docum
                                 Establishing a solid            ents/NSFNondiscriminationCertification.DO
                                  partnership                     C
                                                                  Stanford University, Subrecipient
                                                                  Commitment Form
                                                                  http://ora.stanford.edu/supporting_files/osrf
                                                                  orm33.doc

                                                                  University of Minnesota, Commitment Form
                                                                  (Letter of Intent) to Establish a Subaward
                                                                  Agreement
                                                                  http://www.ospa.umn.edu/subaward/docum
                                                                  ents/SubawardCommitmentForm.pdf

                                                                  MIT, Office of Sponsored Programs,
                                                                  Subaward Checklist
                                                                  http://web.mit.edu/osp/www/subcontract%2
                                                                  0check%20list.doc

                                                                  The Ohio State University Research
                                                                  Foundation, Request for Subaward
                                                                  http://rf.osu.edu/forms/pr033.pdf

                                                                  Northwestern University, Office for
                                                                  Sponsored Research, Request to Issue a
                                                                  New Subagreement
                                                                  http://www.research.northwestern.edu/osr/d
                                                                  ocs/OSR-6.DOC

                                                                  Colorado State University Subcontracting
                                                                  Manual
                                                                  http://web.research.colostate.edu/osp/pdf/s
                                                                  ubcontracting.pdf
12:30   00:10   Conflict of     Who monitors?                    NIH Guide, Code of Federal Regulations
                Interest        o Institutional policy            Subpart F – Responsibility of Applicants for
                                o Departmental follow-up          Promoting Objectivity in Research for
                               Applicable regulations            Which PHS Funding Is Sought
                                o Federal, state, institutional   http://grants.nih.gov/grants/compliance/42_
                               What is the process flow for      CFR_50_Subpart_F.htm
                                 reporting?
                                                                  NIH, Conflict of Interest
                                                                  http://grants.nih.gov/grants/policy/coi/

                                                                  NIH, Conflict of Interest, Frequently Asked
                                                                  Questions
                                                                  http://grants.nih.gov/grants/policy/coifaq.ht
                                                                  m

                                                                  NIH, Financial Conflict of Interest (FCOI)
                                                                  Web-based Tutorial
                                                                  http://grants.nih.gov/grants/policy/coi/tutoria

                                                                                                        2
                                                                   l/fcoi.htm

                                                                   NSF, Grant Policy Manual, Chapter V-
                                                                   Grantee Standards, 510 – Conflict of
                                                                   Interest Policies
                                                                   http://www.nsf.gov/pubs/manuals/gpm05_1
                                                                   31/gpm5.jsp#510

                                                                   NSF, Grant Policy Manual, Chapter III-
                                                                   Grant Administration, 300 – Monitoring
                                                                   Project Performance
                                                                   http://www.nsf.gov/pubs/manuals/gpm05_1
                                                                   31/gpm3.jsp

                                                                   University of California Policy on Disclosure
                                                                   of Financial Interests and Management of
                                                                   Conflicts of Interest Related to Sponsored
                                                                   Projects
                                                                   http://www.ucop.edu/research/disclosure.ht
                                                                   ml

                                                                   UC Riverside, Disclosure of Financial
                                                                   Interests Related to Sponsored Projects
                                                                   http://or.ucr.edu/RI/Policies/DisclosureFina
                                                                   ncialInterests.aspx
12:40   00:20   Processes at       Risk assessment of             University of Minnesota, Subaward Roles
                Award Stage         subrecipient                   and Responsibilities
                (Issuance of       o Identifying and managing      http://www.ospa.umn.edu/subaward/roles.h
                                     high(er) risk subrecipients   tm
                Subward)
                                                                   Stanford University, Audit Certification and
                                                                   Financial Status Questionnaire
                                                                   http://ora.stanford.edu/supporting_files/osrf
                                                                   orm47.doc

                                                                   Stanford University/University of Minnesota,
                                                                   Risk Assessment Tool
                                                                   http://www.ncura.edu/content/misc/ncura_tv
                                                                   /submonitoring0909/docs/UMN_Subrecipie
                                                                   ntRiskAnalysisTemplate.xls

                                                                   Item List for Subaward
                                                                   http://www.ncura.edu/content/misc/ncura_tv
                                                                   /submonitoring0909/docs/ItemListforSubaw
                                                                   ard.doc
1:00    00:30   Break for Lunch
                NCURA Upcoming Events

1:30    00:05   Welcome back   Kathleen Larmett
1:35    00:25   Processes at    o More formalized risk
                Award Stage         assessments

                                                                                                        3
               (Issuance of          o Handling non-A-133 audit
               Subward)                recipients
               (continued)           o 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             Establishing regular contact
               During the Life of     with the subrecipient
               the Award             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               Sign-off responsibility         Stanford University, Sample Invoice
               Monitoring            Matching expenditure rates      http://ora.stanford.edu/supporting_files/osrf
                                       to scientific progress         orm34.doc
                                     Appropriateness of
                                       expenditures                   University of Minnesota, Checklist for
                                     Timeliness                      Principal Investigators Reviewing
                                     Cost-sharing                    Subaward Invoices
                                     Special issues                  http://www.ospa.umn.edu/subaward/docum
                                     Non-A-133 entities. Costing     ents/PIchecklist.pdf
                                       standards
3:00   00:15   Award Life            Incremental/out year funding    OMB Circular A-110, Subpart A – General
               Changes               How are matters requiring       http://www.whitehouse.gov/omb/circulars_a
                                       prior approval handled?        110/#5
                                     Changes in subrecipient’s
                                       audit status,                  OMB Circular A-110, Subpart B – Pre-
                                       debarment/suspension           Award Requirements
                                       status, compliance approvals   http://www.whitehouse.gov/omb/circulars_a
                                     Early termination of            110/#13
                                       subawards
                                                                      OMB Circular A-110, Subpart C – Post-
                                                                      award Requirements, Section .25 Revision
                                                                      o f Budget and Program Plans
                                                                      http://www.whitehouse.gov/omb/circulars_a
                                                                      110/#25

                                                                      NSF, Policy, Research and Conditions Prior
                                                                      Approval and Other Requirements Matrix
                                                                      http://www.nsf.gov/bfa/dias/policy/rtc/priora
                                                                      pproval.pdf
3:15   00:10   Special                                                Federal Demonstration Partnership, ARRA
               Monitoring                                             Award Management and Reporting
               Issues for ARRA                                        http://thefdp.org/ARRA%20Award%20Mana

                                                                                                           4
                 Subaward                                           gement%20and%20Reporting.html

                                                                    Recovery.gov, Recipient Reporting
                                                                    Information
                                                                    http://www.recovery.gov/?q=content/about
 3:35   00:05    Wrap-up           Kathleen Larmett
 3:30   3:30



Questions: Email/Fax the panel live during the broadcast: NCURATV@ncura.edu 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 • www.ncura.edu • mailto:info@ncura.edu




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