Part 4
OSP Awareness
Feb 16, 2011 osp.syr.edu
ospoff@syr.edu

Lisa Kaley-Heyn
Office of Sponsored Programs

Why necessary anyway?

PI/Department submits
Request to Issue to OSP
OSP Post Award Administrator completes required subrecipient risk assessment
Subrecipient submits the
Subrecipient Commitment
Form
OSP RA reviews the terms of the prime award, subrecipient
work plan, budget, risk assessment and subrecipient commitment
OSP RA negotiates and executes subaward
OSP Post Award Administrator establishes the subaward file and submits requisition to establish subaward commitment in Peoplesoft

PI coordinates the technical aspects of the collaboration with subrecipient
Subrecipient invoices
SU for work done
OSP Post Award
Administrator reviews invoices and forwards to PI for approval
PI reviews and approves invoice for payment as appropriate
OSP submits approved invoice for payment
Subrecipient completes work and submits final invoice
PI receives and approves both final report and invoice
OSP Post Award forwards the Subaward
Closeout Form to PI for completion
PI returns Subaward
Closeout Form to OSP for final subaward closeout

• University shall reimburse Collaborator not more often than monthly for allowable costs.
• All invoices shall be submitted using Collaborator’s standard invoice , but at a minimum shall include current and cumulative costs (including cost sharing), subaward number, and certification as to truth and accuracy of invoice .
• Reimbursement shall be made upon receipt of itemized invoices and receipt of progress reports in accordance with the Scope of Work.

• Each invoice must reference the SU account number and must include documentation of cost sharing expenditures , if applicable, during the invoice period.
• Invoices shall be submitted not more frequently than monthly, but must be submitted at least quarterly in accordance with the Approved Budget ,
• The final invoice must be submitted promptly following completion of the work under this agreement but in no event later than thirty (30) days

• OSP performs the initial administrative review to :
– Confirm that the invoice’s billing period is within subaward’s period of performance;
– Confirm there are sufficient funds committed to process the invoice (i.e. subaward is not over expended);
– Identify any clearly unallowable costs;
– Identify expenditures that may require OSP or sponsor approval; and
– Confirm the correct application of subrecipient’s F&A rate
(randomly conducted).

• The PI/PD should consider the following questions in conducting his/her assessment:
– Are budget line expenditures consistent with those presented in the sub award?
– Are expenditures reasonable and appropriate for the project?
– Are expenditures allowable and, as applicable, appropriately documented?
– Are participant support costs included? And if so, are these reasonable in the context of known work and associated budget?
– Is the pace of expenditures appropriate for the subaward?
• No work  no pay? No expenditures  no work?
– If cost sharing is required, is cost sharing also appropriate and timely?

To document a proper approval process, the PI/PD must approve payment of all subaward invoices by responding to the following request:
“
Please review the attached invoice from Subrecipient, PI - Name, Contract
Number in the amount of $xx.xx.
If you find these charges acceptable please respond to the email/fax so that the payment may be processed.
By approving the invoice, you certify that you have reviewed the expenditures and determined that they are reasonable in the context of the sub-recipient’s work performed to date. You also certify that you have received and approved all technical reports required to date and are satisfied with project performance.”

• Common subaward invoice issues:
– Invoices include charges outside of the project period; i.e. expired subawards
– Charges not clearly identified and/or included in the approved budget; i.e. travel, consultant charges
– No subaward number included
– Mathematical errors in the calculation of the F&A or the cumulative charges to date
– Charges for overlapping billing periods

cont’d
• Once invoices are approved for payment they are processed through the Purchasing
Department and are then forwarded to
Disbursements for payment.
• From the time payment is approved, invoices are generally paid within a week or two.

- Annual Budget Period -
• OSP will notify the PI that the subaward has ended and that the subrecipient has submitted an invoice through the end of the period.
• The PI must submit a Request to Modify the
Subaward to OSP to extend the agreement beyond the original end date.
• OSP will amend the subaward and the associated commitment (Purchase Order).

• OSP Responsibilities
– Request a Final Invoice from the Subrecipient
– Process payment upon PI approval
– De-obligate any remaining commitment and close all related standing orders
– Forward the Closeout Form to the PI
– Upon completion and receipt, formally close the
Subaward File

• PI Responsibilities
– Review the Final Invoice and approve as appropriate
– Review and approve any required final technical report or other report i.e. invention
– Sign and return the Closeout Form to OSP

PI Closeout Form

• Part 2 – April 6, 2011
– SU Collaborators - Voices of Experience