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

2. Collaborating with Others Subawards, 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 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);Subrecipient Commitment form – A budget justification and budget (in format required by sponsor) authorized by the institutional official; – A brief statement of work.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 – Must include: Statement of Work Budget/Narrative Current Contact Information Required FFATA Data

9. 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/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

15. 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

16. Questions?