INTRODUCTION

Scientific research is rarely a solitary undertaking, and Ecology frequently involves the collaboration of two or more individuals. A Principal Investigator may be joined by colleagues within Cary Institute or may solicit collaboration by scientists at other institutions. Arrangements with external collaborators often involve the use of resources at the collaborator's institution and the need to reimburse expenses. Described below is the process to put a subcontract in place to support such solicited collaboration.

SUBCONTRACT PROPOSAL

1. 1. In research collaborations, the role of each collaborator needs to be clearly defined. Collaborators from outside institutions will most likely be incorporated into the proposal as a subcontractor. Each subcontractor must send a suitable proposal to Cary Institute. Adequate time between the receipt of the Subcontractor's proposal and the Proposal Due date is necessary to allow the Cary Institute project director time to discuss the role of each and integrate the work of each into the research description of the master proposal and to allow the proposal to receive the appropriate internal Cary Institute approvals.
2. 2. Cary Institute requires that all Subcontractor's submit the following information (subcontract proposal):
• A brief Research Description (can be one paragraph statement of work in the institutional cover letter) describing the research the collaborator proposes to do. This description will be incorporated into the subcontract agreement and serves to make clear what aspects of the overall research the project will be the responsibility of each collaborator.
• o An itemized budget (on the appropriate agency forms) that has been signed by an authorized institutional representative. This budget should include the appropriate salaries, wages, and percentage of effort, fringe benefits, materials, supplies, equipment, travel and other direct costs that are needed to accomplish the specific aspects of research that the Subcontractor will perform. The itemized budget must include a budget justification. Indirect costs should be calculated using the Subcontractor's current indirect cost rate(s). A copy of the Subcontractor's negotiated rate agreement must be submitted as part of the proposal package.
3. The Subcontractor's proposal must have a letter of support signed by the person who is authorized to commit the Subcontractor's resources (authorized signator). If a university, this signature is typically from the central grants office.
4. The Subcontractor must furnish the appropriate forms (on agency approved forms) that are a necessary part of the proposal. Example: cv's, results from prior support and current and pending support forms. All forms that are part of a proposal submitted by Cary Institute must be in the same format.
5. SUBCONTRACTOR'S CHECKLIST - Subcontractors should furnish the following information:
• Proposal Title
• Amount requested
• Copy of approved negotiated F&A (Indirect Cost) rate agreement
• Duration of request
• Brief description of subcontractor's role in the project
• Technical contact (name, address, phone number, e-mail address)
• Administrative contact (name, address, phone number, e-mail address)
• DUNS ID#
• Whether or not you are subject to OMB Circular A-133 audit requirements.
• Contact for A-133 audit requests.
• o All required forms and certifications must be sent to Cary Institute on agency-approved forms and must be consistent with the format used by Cary Institute.
Note: All subcontract proposals should be sent to Cary Institute only after it has gone through the appropriate approval process at the subcontracting institution, including the subcontracting institution's Sponsored Projects Office. Unsolicited subcontract proposals will not be accepted.

POST AWARD SUBCONTRACT ADMINISTRATION

When the grant comes to Cary Institute, subawards to collaborators will take the form of subcontract agreements with the collaborators' institutions. If the proper preaward procedures have been followed, setting an agreement in place will be a straightforward procedure. The subcontract agreement will require the signatures of authorized officials from both Cary Institute and the recipient.

As prime award recipient, Cary Institute will pass on the terms and conditions of the award to subrecipient. The Cary Institute requires the following of its subrecipients:

1. Technical
   • As prime award recipient, the Cary Institute of Ecosystem assumes the ultimate responsibility for the conduct and completion of the project. Any subcontractor's progress reports required and will be reviewed by the Cary Institute project director for incorporation into the progress report submitted to the sponsor by Cary Institute.
2. Financial
   • All invoices seeking reimbursement are to be sent to Marie F. Smith, CRA, Grants Administrator/Compliance Officer. Approval for payment will be given after the invoice has been reviewed for cost allowability and accuracy. The Cary Institute Project Director will review the invoice to determine that it is consistent with the amount of effort performed during the billing period.
   • Invoices must include: subcontract number, period the invoice covers, current expenses, cumulative expenses and the statement, "I certify to the best of my knowledge and belief that this report is true in all respects and that all disbursements are allowable and have been made for the purpose and conditions of the grant or agreement" signed by the individual responsible for reviewing the allowability of the expenses and preparation of the invoice.
   • The Subcontractor will be required to furnish all reports identified in the award agreement.
   • The Cary Institute of Ecosystem Studies, a non-profit institution receiving Federal funds, is subject to the audit requirements outlined in OMB Circular A-133, Audits of Institutions of Higher Education and Other Non-Profit Institutions. This Circular requires Cary Institute to ensure that any subrecipient expending $300,000 or more (OMB proposes to increase to $500,000 for fiscal years ending after 12/31/03) in Federal awards during the subrecipient's fiscal year has met the audit requirements of Circular A-133 or A-128, whichever applCary Institute, and has taken corrective action in instances of non-compliance with Federal laws and regulations. In order for Cary Institute to comply with our own A-133 requirements, we need positive assurance that subrecipients are in compliance with these requirements. This assurances takes the form of providing a copy of the subrecipient's annual A-133 report to Cary Institute.
3. Close Out: Close out of an award requires a final invoice (marked final), a final program report and any relevant property and invention reports.

The subcontract agreement is the supportive business framework for the professional relationship of the collaborating researchers. Once in place, the research collaboration may proceed with the knowledge that administrative needs are provided for smoothly with minimal distraction to the scientists doing research.

Marie F. Smith, CRA
Grants Administrator/Compliance Officer
email Marie Smith

February 14, 2008