Conducting Collaborative Projects How to request a Subaward and when is a consultant needed?

1. Conducting Collaborative ProjectsHow to request a Subaward and when is a consultant needed? OSP Awareness Feb 16, 2012 osp.syr.edu ospoff@syr.edu

2. Collaborating with OthersSubawards, Consultants, or Vendors • Today’s Topics • What is What? • What mechanism or agreement type is needed? • Subawards – • Using the “Request to Issue a Subaward” form • Consultants – • Submitting the “Consulting Agreement”

3. How do you tell what is what? • Subawards/Subcontracts • Make programmatic decisions within the agreed upon scope of work • Would be considered a PI or Co-PI if at SU • Minimal direction from SU • Measured against prime sponsor requirements • Work benefits the sponsor • Vendors/Purchased Services • Provides required services as a normal course of business • Operates in a competitive environment • Measured against the agreement with SU • Serves SU’s needs with a high level of direction • Consultants • Individual • Provides advice based on expertise • Measured against the agreement with SU • Serves SU’s needs

4. How do you tell what is what? • Indicators of Subawards, Purchased Services and Consultants

5. Subawards

6. Subawards at the Proposal Stage The following items must be provided to OSP five business days prior to proposal submission: • Either the Subrecipient Commitment form or a letter of intent to collaborate containing comparable information, which has been signed by an authorized institutional official (NOTE: this is ordinarily not the PI/project director at the partner institution); • A budget justification and budget (in format required by sponsor) authorized by the institutional official; • A brief statement of work. • Any other documentation that may be required by the application guidelines (e.g. current and pending support, biographical sketches, etc).

7. Issuing Subawards • PI/Project Staff Responsibilities • Initial Step • Submit Request to Issue a Subaward • On-going Activities • Monitor quality of work/progress • Approve Invoices • Submit Request to Modify a Subaward • Approve Closeout • OSP Responsibilities • Initial Step • Subaward Negotiations • Subaward Commitment Setup • On-going Activities • Subrecipient Monitoring • Pre-Audit Invoice Review and Processing • Closeout

8. Request to Issue a Subaward • Request to Issue a Subaward • Must include: • Statement of Work • Budget/Narrative • Current Contact Information • Required FFATA Data

9. Request to Modify a Subaward • Request to Modify a Subaward • Things to Think About • Do you want to continue collaborating? • Is the work progressing according to plan? • Have invoices been submitted and are they appropriate? • Are compliance issues in order? • Are reporting requirements sufficient? • Who is authorized to approve?

10. Consultants

11. Consultants at the Proposal Stage The following items must be provided to OSP five business days prior to proposal submission: • the service to be provided; • the number of days of service involved (per year, if applicable), • the daily rate of compensation, and • whether travel will be separately itemized.

12. Engaging a Consultant • PI/Project Staff Responsibilities • Submit the Consulting Agreement, SOW, Budget and Worksheet to OSP • Setup Consultant Commitment and process appropriate invoices • OSP Responsibilities • Review Worksheet and supporting documents • Assure that the Consulting Agreement is complete and fully executed

13. Consulting Agreement Consultant Worksheet Consulting Agreement

14. Authorization Process Flow… • Proposal – Who • SU Faculty/Staff submit the IRR and proposal naming planned collaborators • Non-SU entities submit commitments via letter, form or quote • Award – Who • SU Faculty/Staffsubmit the Request to Issue a Subaward , or Non-Personnel Worksheet and Consulting Agreement with attachments to OSP • Non-SU collaborators submit statements of work, budgets and budget narratives sufficient to define the work to be done

15. Authorization Process Flow… • Award – Who • SU OSP – • Reviews all Requests to Issue a Subaward and consulting agreements • Negotiates and executes all agreements • Monitors subrecipients • Creates subaward commitments • Award – Who • SU Faculty/Staff - • Works with subrecipients , consultants and vendors to assure that work is done as planned • Creates consultant and vendor commitments • Monitors all work and expenditures on the project

16. Questions?