| AGREEMENT IS WITH |
An entity, usually a university |
A business |
An Individual with a specialized skill |
| RICE ISSUING OFFICE |
OSR Issues a subcontract with flow down of terms in prime award; research collaboration detailed in proposal |
Procurement issues a PO which includes OMB A-110, Attachment A provisions as needed |
OSR issues a Professional Services Agreement (PSA) with OMB A-110 addendum (for PSAs paid from R funds) |
| SELLS TO MANY OR A COLLABORATOR |
Generally provides a portion of the sponsored award because an intellectual contribution is required (programmatic decision making) |
A business |
An individual with a specialized skill |
| OWNERSHIP OF IP |
Shared ownership of intellectual property created during the conduct of the research |
No ownership of Intellectual Property |
Work made for hire: Rice owns any IP created/explicit terms incorporated to this effect |
| PI/PD OR SERVICE PROVIDER/SELLER |
Has a Principal Investigator or Project Director |
May have a project manager/typically no specified PI |
Typically an individual with a specialized skill |
| CONTRACTUAL MECHANISM [COST REIMBURSEMENT VS. FIXED PRICE] |
Agreement refers to scope of work and references prime award/ level of effort is identified for the key personnel and a line item budget is specified |
Agreement refers to project specifications |
Agreement includes a very specific statement of work and deliverables |
| PUBLICATION |
Publication encouraged as part of the collaboration |
Publication unlikely |
Generally publication is not likely/ Rice PI review is stipulated/ Agreement stipulates work made for hire |
| PAYMENT TERMS |
Determines how to use the financial support (funding) provided by the subagreement; most typically a cost reimbursement agreement; less often a fixed price agreement. |
Financial assistance not provided; entity is paid negotiated amount (fixed price/ fixed fee agreement) |
Usually a fixed price agreement |
| ACCOUNTABILITY |
Is accountable for the use of funds provided |
Only accountable if agreement is cost reimbursement |
Only accountable if agreement is cost reimbursement |
| COMPETITIVE BID OR SOLE SOURCE |
In many cases the subrecipient is the sole source of the deliverables/ typically a non-profit entity |
Operates in a competitive environment |
In many cases the consultant is the sole source capable of performing the required service/ the service is the consultant’s business |
| PROGRAMMATIC RESPONSIBILITY |
The deliverables provided are central to the award’s purpose |
Generally provides goods and services that are ancillary to the operation of the program |
The deliverables provided are necessary to conduct the research |
| SUBJECT TO INCORPORATION OF TERMS AND CONDITIONS IN PRIME AWARD |
Has responsibility to adhere to applicable Federal program compliance requirements [i.e. flow down of prime award terms and conditions] |
Is not subject to the compliance requirements of the program such as effort reporting, rebudgeting and allowability rules |
Responsibility to adhere to Federal program compliance [i.e. human subjects or animal protocol] may be required |
| PERFORMANCE MEASURE |
Has its performance measured against whether the objectives of the Federal program are met |
Has performance measured against quality of goods or services delivered |
Performance is based deliverables |
| SUBJECT TO OMB A-113 |
Agreement subject to audit and possibly OMB A-133 if the subrecipient spends $500,000 or more in a year in Federal awards |
Contract does not have audit clause |
No audit clause, depending upon prime award |
| EFFORT CERTIFICATION |
Subrecipient required to certify that work is completed in accordance with the terms and conditions of the award and Federal rules and regulations |
Vendor generally not required to certify effort, although Davis Bacon may apply |
Payment based on a schedule of deliverables or hours/days worked |
| INVOICE FORMAT |
Invoices required to be in Rice’s format |
Invoices are in the vendor’s format, not Rice’s format |
Invoices are required to contain information on hours/days worked and deliverables and other provisions set forth in the PSA. |
| ENTITY IS IDENTIFIED IN PROPOSAL |
Generally needed for a subrecipient and the subrecipient is identified in proposal; prior approval is typically required to add a subcontractor if added after the award is issued |
Generally vendor is not identified in proposal, although documentation for proposed equipment costing more than $25,000 must be available |
Generally the need for the consultant is identified in the proposal |
| SPONSOR APPROVAL REQUIRED |
Prior approval typically required to add a subrecipient not included in the proposal |
Sponsor approval may be required for purchases not identified in award budget if they are more than 10-25% of the total award |
Need for consultant typically identified in the proposal; addition of a consultant after the award is made may require sponsor approval if it entails a change in scope |
| F&A |
Generally, F&A recovery by Rice only on the first $25,000 |
Generally, no F&A on equipment, while other purchases are subject to full F&A |
Generally, F&A recovery on full amount of professional services |
