Collaboration Guide: When JMU is the Lead Institution

 

• Subrecipient, Vendor, or Consultant

• JMU Principal Investigator's Collaboration Checklist

• Checklist for Collaborators (i.e.: Subrecipeints and Consultants)

Subrecipient, Vendor, or Consultant

It is important to correctly identify if an external entity is a subrecipient, vendor, or consultant at the proposal stage as this determination not only affects the legal relationship JMU will have with the entity but it affects the indirect cost calculation and budget classification. Below are characteristics of a subrecipient, vendor, and consultant that can help in determining the relationship of the external entity on a sponsored program.

Subrecipient is an entity that:

• has its performance measured against the objectives of the program.
• has authority for programmatic decisions.
• uses the funds to carry out a program of the organization as compared to providing goods or services for a JMU program.
• has responsibility for adherence to applicable program compliance requirements.
• typically owns any intellectual property created on its portion of the project.

Vendor is an entity that:

• provides the goods and services as part of their normal business operations and are ancillary to the sponsored program.
• provides similar goods and services to many different purchasers.
• operates in a competitive environment (competes with others who provide similar goods and services).
• is not subject to compliance requirements of the program.

Consultant is an entity that:

• is an individual or firm that provides needed expertise, professional advice, and/or services for a fee.
• works under the direction of the principal investigator, who has the right to control or direct only the result of the work and not the means and methods of accomplishing the result.
• does not receive intellectual property rights.

JMU Principal Investigator's Collaboration Checklist

• Please notify the Office of Sponsored Programs (OSP) of any external collaborations (i.e.: subrecipients or consultants) on your proposal. The Office of Sponsored (OSP) will be happy to coordinate with the appropriate collaborator contacts in obtaining the collaborator materials if you forward their information.
• Complete and email the OSP at jmu_grants@jmu.edu a sole source form (.doc) for each collaborator on the proposal that is budgeted to receive $5000 or more.

Checklist for Collaborators (i.e.: Subrecipeints and Consultants)

The list below is what may be needed from collaborators before proposal submission when JMU is the lead institution. Always check the specific guidelines and contact the Office of Sponsored Programs (OSP) if uncertain.

Item	Subrecipient	Consultant
1. Letter of Commitment	Required	Required
2. Statement of Work (SOW)	Required	Required
3. Line-item Budget	Required	Required
4. Budget Narrative/ Justification	Required	Required
5. Fringe Benefit and Facilities and Administrative (F&A) Rate Agreement	If applicable	If applicable
6. Biographical Sketch or Curriculum Vitae for all Senior/Key Personnel	If applicable	If applicable
7. Current and Pending Support for all Senior/Key Personnel	If applicable	If applicable
8. Facilities, Equipment, and Other Resources	If applicable (Check with JMU principal investigator)	If applicable (Check with JMU principal investigator)
9. Certifications/Assurances	If applicable	If applicable
10. DUNS Number	Required if federal funding	Not applicable
11. Financial Conflict of Interest (FCOI) Requirements	Required if federal research proposal	If applicable

The above items should be approved by the respective institutions/organizations and then forwarded five business days before the sponsor deadline to the Office of Sponsored Programs by email at jmu_grants@jmu.edu or in hardcopy to the following address:

U.S. Postal Service	Express Delivery
Mr. John D. Hulvey Director, Sponsored Programs Administration and Accounting James Madison University Office of Sponsored Programs, MSC 5728 800 South Main Street Harrisonburg, Virginia 22807-0001	Mr. John D. Hulvey Director, Sponsored Programs Administration and Accounting James Madison University Office of Sponsored Programs 1031 Harrison Street, JMAC 6, Suite 26 Harrisonburg, Virginia 22807-1034

 

1. Letter of Commitment: Must be on letterhead and signed by an Authorized Organizational Representative (AOR). The AOR is an individual who has been delegated the legal authority to commit the organization to a binding agreement and other organizational commitments. This letter should include any monetary value of the total cost sharing/matching, if any, and state plans to participate and accept a subaward or consulting agreement from James Madison University in accordance with the approved statement of work and project budget and abide by all of the associated terms and conditions if the proposal is funded. For consultants, letters should include rate/charge for consulting services. Please see the following link for a sample commitment letter:
   
   Sample Commitment Letter (.doc)

2. Statement of Work (SOW): This is a stand-alone project description of your entity's effort (including objectives, tasks, and deliverables) on the collaborative proposal. The SOW will be used as the basis for your subaward or consulting agreement should the proposal be selected for funding by the sponsor, so clearly describe your role and responsibilities on the project.

3. Line-item Budget: Standard sponsor budget forms should be used. If the sponsor does not specify a budget form, you may use your internal budget templates as long as the project costs are separated by funding period or year.

4. Budget Narrative/Justification: A written narrative that corresponds with the line-item budget.

5. Fringe Benefit and Facilities and Administrative (F&A) Rate Agreement: If charging fringe benefits and/or indirect costs, a copy or webpage of the substantiating rates must be provided.

6. Biographical Sketch or Curriculum Vitae for all Senior/Key Personnel: If required, in sponsoring agency-required format.

7. Current and Pending Support for all Senior/Key Personnel: If required, in sponsoring agency-required format.

8. Facilitates, Equipment, and Other Resources: If required, a description of facilities, equipment, and other resources already available that your entity is providing for this proposal.

9. Certifications/Assurances: To be signed by the Authorized Organizational Representative (AOR). For proposals to the National Science Foundation (NSF) page 2 of the cover sheet with certifications must be signed by the AOR and the principal investigator. Please see the following link for a blank template:
   
   Sample NSF Certification Page (.doc)

10. DUNS Number: To obtain a DUNS number, please go to the following URL: http://fedgov.dnb.com/webform/displayHomePage.do

11. Financial Conflict of Interest (FCOI) Requirements: In accordance with James Madison University's Policy 2203, Financial Conflict of Interests Disclosure for Sponsored Programs, all collaborators responsible or partially responsible for design, conduct, or reporting of all research that is federally funded must complete and sign the External Collaborator Certification. Please see the following URL for details: http://www.jmu.edu/researchintegrity/fcoi/index.shtml.

 

Home | Proposal Basics | Compliance | Forms