Conducting Collaborative ProjectsHow to request a Subaward and when is a consultant
needed?
OSP AwarenessFeb 16, 2012
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”
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
How do you tell what is what?
• Indicators of Subawards, Purchased Services and Consultants
Subawards
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).
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
Request to Issue a Subaward
• Request to Issue a Subaward– Must include:• Statement of Work• Budget/Narrative• Current Contact Information• Required FFATA Data
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
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.
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
Consulting Agreement
Consultant Worksheet
Consulting Agreement
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/Staff submit 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
Authorization Process Flow…
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
Award – Who
SU OSP – • Reviews all Requests to Issue
a Subaward and consulting agreements
• Negotiates and executes all agreements
• Monitors subrecipients• Creates subaward
commitments
Questions?
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