Multi-Institution Collaborations Multi-institutional, multi-disciplinary collaborations are increasingly prevalent as research problems become more complex. As a result, sponsors are finding these types of efforts desirable and, in fact, are issuing an increasing number of RFPs that specifically call for multi-disciplinary efforts. When collaborating with other individuals or institutions, the nature of the collaboration should be predetermined and identified in the proposal. Collaborators meeting generally accepted criteria (below) can be appropriately identified as either a subcontractor or consultant/vendor. (Keep in mind that for the purposes of this handbook, the terms “subawardee,” “subcontractor,” and “subrecipient” are used interchangeably, although in a technical sense they mean slightly different things.) Subcontractor: Subcontractors may have some or all of the following characteristics: •
Performance is measured against meeting the overall objectives of the program.
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Has responsibility for administrative and technical/programmatic decisions.
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Utilizes the resources (both human and physical) of their institutions/organizations.
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Provides on-going intellectual contributions for the life of the program.
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Assists the primary investigator/project director of the lead institution in annual and final technical reporting.
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Responsible for applicable program compliance requirements.
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May share in potential patentable or copyrightable technology to be created through project; entity has responsibility to protect technology.
Upon award, the subcontractor will be issued a “subcontract” or “subaward” depending on whether the prime award is in the form of a “contract” or “grant.” In many cases, the prime sponsor’s requirements “flow down” to the subcontractor. Many federal terms and conditions that apply to the lead institution apply to the subcontractor. For example, the NSF’s Responsible Conduct of Research and NSF/NIH’s Financial Conflict of Interest requires flow-down to the subcontractor. Consultants/Vendors: Consultants and/or vendors may have one or more of the following characteristics: •
Provide a particular service, or set of services as part of their routine professional activity and/or business operation.
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Provide a similar service to other individuals/institutions. 26
Sponsored Programs Handbook