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ARS Extramural Agreements Program. New Paradigm for accountability: Why?Dept. initiative to develop rules for SCA, RSA, RCA, and TFCAPresident's Mgmt. Agenda initiative requiring improved fiscal accountabilityImproper Payments Act of 2002Growth of ARS investment in extramural programAnticipated flat or reduced budgets.
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1. ARS Extramural Agreements Program ONE OF THE RECENT CHANGES WE’RE MAKING IS TO ADD EMPHASIS TO PROGRAM STEWARDSHIP AND FISCAL ACCOUNTABILTY REQUIREMENTS IN EXTRAMURAL PROJECTS.ONE OF THE RECENT CHANGES WE’RE MAKING IS TO ADD EMPHASIS TO PROGRAM STEWARDSHIP AND FISCAL ACCOUNTABILTY REQUIREMENTS IN EXTRAMURAL PROJECTS.
2. ARS Extramural Agreements Program New Paradigm for accountability: Why?
Dept. initiative to develop rules for SCA, RSA, RCA, and TFCA
President’s Mgmt. Agenda initiative requiring improved fiscal accountability
Improper Payments Act of 2002
Growth of ARS investment in extramural program
Anticipated flat or reduced budgets
3. ARS Extramural Agreements Program Impact - What its Means for You
Codification of REE non-assistance policies
Development/implementation of AIMS
Development/implementation of competency requirements and training programs
Initiatives to improve external awareness of ARS partnership requirements and expectations
New delegation of authority requirements and guidelines for ADO and ADODR
4. ARS Extramural Agreements Program Stewardship:
The efficient and effective management of the public funds that have been entrusted to ARS.
Reflects our responsibility for the development and implementation of ARS programs.
Stewardship is the foundation of everything that we do. Recognizing our responsibility for efficient and effective management of Stewardship is the foundation of everything that we do. Recognizing our responsibility for efficient and effective management of
5. ARS Extramural Agreements Program Oversight:
Ensuring that ARS programs are delivered consistent with laws, regulations, and policies. Ensuring that extramural projects are conducted in compliance with the terms and conditions of the agreement
Being cognizant of cooperator’s progress and status of the project
Ensuring that extramural projects are conducted in compliance with the terms and conditions of the agreement
Being cognizant of cooperator’s progress and status of the project
Ensuring that extramural projects are conducted in compliance with the terms and conditions of the agreement
Being cognizant of cooperator’s progress and status of the project
Ensuring that extramural projects are conducted in compliance with the terms and conditions of the agreement
Being cognizant of cooperator’s progress and status of the project
6. ARS Extramural Agreements Program Accountability:
Ensuring that individuals charged with stewardship responsibilities are held accountable for results.
Who is accountable?
7. ARS Extramural Agreements Program Accountability and Oversight:
Area Director - all agreements within Area
Area ADO - all agreements within delegation of authority
Research Leader- all agreements within MU
ADODR - all projects within delegation of authority
8. ARS Extramural Agreements Program Authorized Departmental Officer’s Designated Representative (ADODR)
Research Leader/Lab or Center Director
Location Support Staff
Location Administrative Officer/Technician
Area Program Analyst
Area Ethics Advisor
Area Budget and Fiscal Officer/Budget Analyst
Area Director
Deputy Area Director
National Program Staff
Budget and Program Management Staff
Area ADO
Extramural Agreements Division
Administrator
Office of International Research Programs
Office of the Administrator
USDA, FAS
USDA, Office of General Counsel
9. ARS Extramural Agreements Program Delegation of Extramural Agreement Authority
Secretary, USDA
Deputy Secretary, USDA
Under Secretary, USDA
Administrator, ARS
Director, EAD
Area ADO
ADODR
10. ARS Extramural Agreement Program ARS Requirements (SCA)
Legal authority for the research
Relevance to an established ARS National Program
Common interest in the outcome of the project
Substantial involvement in performance of the project
SBIR funding (2.5% of funded amount)
11. ARS Extramural Agreements Program Cooperating Institution Requirements (SCA)
Joint development of a research plan compliant with ARS research requirement
Joint development of a project budget
Contribution of resources (NLT 20% of funded amount)
Be accountable to ARS for project performance and fiscal expenditures
Provide technical progress and financial status reports as required by T/C of the agreement
Comply with ARS requirements for peer review
12. ARS Extramural Agreements Program What We Must Do:
Understand that stewardship responsibility extends throughout the life cycle of an agreement.
Know that effective stewardship requires diligent oversight.
Improve internal accountability to improve extramural performance.
13. ARS Extramural Agreements Program What We Must Do:
Ensure that SOW’s accurately reflect the responsibilities of both parties and that the level of performance is commensurate with available funding.
Ensure that project budgets are realistic and auditable including ARS in-house costs.
Ensure that ADODR’s are capable of substantial involvement in project performance and that they are not over committed
14. ARS Extramural Agreements Program What We Must Do:
Ensure that cooperating institutions understand what it means to be in partnership with ARS.
Ensure that all projects are properly monitored and that we know exactly what is being accomplished.
Take appropriate action when performance and accountability measures are not met.
15. ARS Extramural Agreements Program What We Must Do:
Ensure that extramural agreements are never used to:
circumvent the Federal hiring process
fund construction projects
modify or improve real property
acquire resources for the direct support of ARS employees
pay travel costs of ARS employees
purchase equipment for ARS
16. ARS Extramural Agreements Program What We Must Do:
Understand that not every would be agreement, should be an agreement.
Get the ADO involved early in project development.
Advise the ADO immediately when issues arise in performance.
Finally, READ YOUR AGREEMENTS!!
17. ARS Extramural Agreements Program
Well, that’s my story folks; and..well you know the rest.
Thanks for listening.
Any questions?
18. ARS Extramural Agreements Program ADODR Responsibilities:
Conduct preliminary negotiations with the Cooperator
Develop draft proposal or statement of work, and budget
Work with the LAO/T to ensure that the IDC and SBG fees are properly documented (as applicable)
Submit the request package to the Area or HQ ADO (Approved ARIS Documents, SOW, Proposals, Budget, Agreement Coversheet, AD-700, as applicable)
19. ARS Extramural Agreements Program ADODR Responsibilities:
Ensure no work is begun by any party prior to receipt of a fully executed agreement.
Become familiar with the terms and conditions of the agreement
20. ADODR Responsibilities Administration of the Agreement Monitor the Cooperators performance and compliance with the terms and conditions of the agreement
Ensure all expenditures are appropriate and accounted for as budgeted
Obtain and review technical and financial reports from the Cooperator as specified in the terms and conditions of the agreement. (Note: This is not the same as the annual report - ARS-421!!)
21. ARS Extramural Agreements Program Authorities and Responsibilities:
Only the ADO has authority to commit Agency resources through extramural agreements;
ADO is ultimately responsible for all aspects of projects conducted under extramural agreement authority
ADO delegates authority to the ADODR for technical oversight of extramural projects
ADODR is responsible for developing true partnerships and ensuring that projects are mission relevant
ADODR is responsible for monitoring cooperator’s performance and ensuring that payment is warranted
Cooperator’s Progress Report IS NOT the ARS-421!
Timely close-out of each project
22. ADODR Responsibilities Administration of the Agreement (cont’d) Provide copies of approved reports to the ADO
Report any failure of the Cooperator to meet the objectives of the agreement or failure to submit required reports in a timely manner to the RL
Work with the RL/ADO/PAA on all ARIS actions (Adding funds, extending time, key personnel changes and ARS-421 Annual Report)
23. Do’s Obtain line management approval
Follow Agency policies and procedures
Discuss funding arrangements with the Cooperator
Discuss Payment requirements
Discuss period of performance and expectations.
Discuss reporting requirements
24. Don’ts You cannot:
Use an agreement to hire personnel
Supervise Cooperator’s personnel
Use an agreement for construction
Use an agreement to modify or improve Real Property
Use funds committed to an SCA to pay travel costs of ARS employees
Use funds committed to an SCA to purchase equipment solely for ARS’ use
25. Don’ts (cont’d) Do not sign anything or commit Agency resources
Do not negotiate:
Indirect costs
Intellectual Property provisions
Liability/indemnification clauses
Award Type
Do not authorize work prior to receipt of a signed agreement from the ADO
26. ADODR ResponsibilitiesClosing the Agreement Obtain and review the Cooperator’s final financial, technical and/or invention reports promptly upon expiration or termination of the agreement and provide copies to the ADO
Work with the RL/PA to ensure that the final ARS-421 report is marked for termination AFTER the ADO officially closes the agreement
27. Know the terms and conditions of your agreements
READ THE FINE PRINT!