PROPOSAL STAGE:

(1) Make a determination between Subrecipient versus Contractor:

A Subrecipient designation is appropriate when the collaborator:

• Is performing substantive, programmatic work, or an important or significant portion of the research plan;
• Has its performance measured in relation to whether objectives of the SoW were met;
• Has responsibility for programmatic decision-making and discretion over how work is carried out;
• Makes independent decisions regarding how to implement the requested activities;
• Expects to retain ownership rights in potentially patentable or copyrightable technology or products that it produces in the course of fulfilling its SoW;
• May create or co-author publications; and/or
• Will use funds to carry out a program for public benefit, as opposed to providing goods or services for the benefit of the University.

A Contractor designation is appropriate when the collaborator:

• Has no employment relationship with the University;
• Is providing specified services in support of the research program;
• Is an individual vendor of consulting services; 
• Has not significantly participated in the design of the research itself;
• Is not directly responsible to the sponsor for the research results;
• Markets its services to a range of customers, including those in non-academic fields;
• Has little or no independent decision-making authority in the design and conduct of the work;
• Commits to deliverable goods or services, which if not satisfactorily completed will result in nonpayment or requirement to redo deliverables;
• Does not expect to have its employees credited as co-authors on papers that emerge from the research; and/or
• Does not expect to retain ownership rights in potentially patentable or copyrightable technology or products that it produces in the course of fulfilling the contract.

(2) Develop a SoW reflective of your collaborator’s specific contribution, a budget delineating the appropriate indirect costs for Subrecipients, and a specification of Contractor rates and/or fees.

AWARD STAGE:

Work with the appropriate sponsored office to ensure clarity in the resulting agreement will enable University researchers to perform the work, submit required reports and deliverables, and manage the Subrecipient or Contractor.

ONGOING AWARD MANAGEMENT:

For Subrecipients only, federal regulations and University policies require PIs, in collaboration with their schools/tubs, to monitor the programmatic and financial activities of both federal and non-federal Subrecipients.  Additionally, PIs should ensure all collaborators, whether a Subrecipient or a Contractor, are delivering timely and as proposed; critically review any required reports; review and approve submitted invoices; and notify the sponsored office if there are any performance issues.  It is expected that PIs maintain regular communication with all collaborators.