Conducting Collaborative ProjectsPart 3

OSP AwarenessFeb 9, 2011

osp.syr.eduospoff@syr.edu

Collaborating with Others

• Today’s Topics– Subawards – Lisa V. Kaley-Heyn• What is a Subaward?• Using the “Request to Issue a Subaward” form

– Consultants – Caroline McMullin• When is a Consultant Agreement needed?• Submitting the “Consulting Agreement”

Overview

How do you tell what is what?• Subawards/Subcontracts

– Characteristics– Account Codes = 561401/subject to F&A; 561402/ not subject to F&A

• Vendors/Purchased Services– Characteristics– Account Code = 569914/Educ & Res Svc; 561399/Other prof fees

• Consultants– Characteristics– Account Code = 561101/Consultants

• Indicators of Subawards, Purchased Services and Consultants

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

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

– Request to Issue– Monitor quality of work/progress– Approve Invoices– Request to Modify– Approve Closeout

• OSP Responsibilities– Subaward Negotiations– Subrecipient Monitoring– Subaward Commitment Setup– 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• OSP Responsibilities

– Available to discuss with the PI/Staff the work being done by the project collaborators to help determine appropriate action

– Review Worksheet and supporting documents – Assure that the Consulting Agreement is complete and fully

executed

• PI/Project Staff Responsibilities– Submit the Consulting Agreement, SOW, Budget and Worksheet to

OSP– Setup Consultant Commitment and process appropriate invoices

Consulting Agreement

Consultant Worksheet

Consulting Agreement

Questions?

Collaborating with OthersWhat’s Next?

• Part 3 – February 16, 2011– Reviewing Subaward Invoices– Closing your Subaward

• Part 4 – April 6, 2011– SU Collaborators - Voices of Experience