Collaborating with Others?If so, why and how?

OSP AWARENESS

MARCH 5, 2015O S P.S YR.ED U

O S PO FF@ S YR.ED U

Collaborating with OthersToday’s Topics

◦ Why Collaborate?◦ How to choose?◦ What does OSP need?◦ What mechanism or agreement type is needed?

◦ Subrecipients* – ◦ Subawards

◦ Contractors* – ◦ Consultants ◦ Vendor/Purchased Service

Why collaborate with others?Need additional expertiseNeed different perspectiveNeed additional person-power for nature of project or problem

When Collaborating:Establish the research plan togetherSet a timeline, milestones, deliverables that all can agree toAgree on a Budget/Budget justification and Statement of WorkConfirm roles, responsibilities, expectations and deadlinesOpenly communicate on a regular basis

Choosing Who To Work With

University Policy Requires Competitive Bidding* Considerations include price, quality, insurance, specification compliance, delivery

terms and conditions, bidder experience and reputation. A request to waive competitive bidding procedures requires documented

justification, and any waiver requires approval by the Director of Purchasing or his designee.

Document Sole Source Selections* Procurement from only one source may be used only when one or more of the

following circumstances apply:• The item is available only from a single source• An emergency will not permit a delay resulting from a competitive bid• A written request is made and approved by the sponsor• After solicitation from a number of sources is complete, competition is determined inadequate

Third Party Engagement Form (Draft)* link

What does OSP need at time of Proposal?Documentation Authorizing Collaboration on the Project• Simple statement from the collaborator committing to participate in the research• Must be signed by an authorized official • FDP (Federal Demonstration Partnership is currently working on a universally

accepted template) – Potentially replacing the current Subrecipient Commitment Form*

Statement of Work/Description of Work to be PerformedBudget and Budget Justification/Cost EstimatesIdentification of the type of Collaboration Planned; Subrecipient or Contractor• Indirect Cost considerations• Fixed price Subaward Requirements*• SAM Registration Requirements*

Statement of WorkDefines what work will be doneInclude:• Name of Subrecipient PI or Contractor/Consultant• Period of Performance/Time Commitment• What will the project accomplish - objectives• Where will the work be conducted• Measurable activities and tasks describing the work to be done• Meetings and reporting requirements

How Much?How Will the Money be Spent?

Budget Financial expression of the Statement of Work.

Detailed Budget Define allowable expenditures

Address Indirect Costs – Are they allowed? At what rate?

Clearly identify Cost Sharing requirements

Budget JustificationConsider payment options Cost-reimbursable or fixed price*?

Subrecipient or Contractor? Subrecipient: 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

Contractor: 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

Indicators of Subawards, Purchased Services and Consultants

Subawards

Subaward Life CyclePI/Project Staff Submit Request to Issue a Subaward• OSP Completes Subrecipient Monitoring Processes

OSP Drafts And Negotiates Subaward Based on Information and Documents Contained in the Request to Issue

OSP Creates the Subaward Commitment in People Soft

OSP Receives Invoices and Performs Pre-Audit Review

PI Monitor Quality of Work/progress and Approves Invoices for Payment

PI Submits Request to Modify a Subaward as needed

PI and OSP Complete Closeout Procedures when Work is Complete

Request to Issue a Subaward Request to Issue a Subaward

◦ Must include:◦ Documentation supporting the Selection Process Used*◦ Statement of Work◦ Budget/Narrative

◦ Consider indirect costs◦ Approved rate vs. De minimus rate of 10%*

◦ Current Contact Information◦ Required FFATA Data including an abstract of the work to be performed by

the collaborator.

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?

Consultants

Engaging a ConsultantPI/Project Staff Responsibilities

Select Consultant and document process in accordance with University procurement policies.*

Submit the Consulting Agreement with attachments outlining:• 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.

Setup Consultant Commitment and process appropriate invoices

OSP Responsibilities Review submitted documentation Assure that the Consulting Agreement is complete and fully executed

Consulting Agreement

Required Documents – OSP Website

Consultant Worksheet

Consulting Agreement

Vendor/ Purchased Service

Engaging a Vendor Managed by Department Staff

◦ OSP does not have a role in this form of collaboration however, OSA will pre-audit expenditures on sponsored projects

Must follow University Procurement Policies◦ Work with the Purchasing Department

Purchasing Policies can be found at this link: Purchasing Policies

Questions?