Multi-Disciplinary and Multi-Institutional Projects

Agenda Pre-Award and Post Award Issues Legal Complications Timing Issues Internal Conflicts

Multi-Institutional- Project scope is accomplished among two or more institutions. One institution generally will receive primary award, with sub-awards made to additional institutions. Multi-discipline- Project is accomplished among two or more standard disciplines, often within a single institution.

Further Terminology What is the difference between a "Group proposal" and a "Collaborative Proposal"? A group proposal is one submitted by 3 or more investigators whose separate but related activities are combined into one administrative unit. A collaborative proposal is one in which investigators from two or more organizations wish to collaborate on a unified research project. Further information on group and collaborative proposals can be found in the GPG Chapter II.C.2.d.(v) and Chapter II.D.3 respectively. (NSF)

THE MOST IMPORTANT ASPECT OF MULTI- DISCIPLINE/INSTITUTIONAL PROJECTS Time

TIME FOR WHAT? Time to establish collaborative agreements Time for PI’s to discuss who’s going to do what Time for PI’s to write their part of the proposal Time to integrate the parts Time for business offices to coordinate budgets Time for grants offices to review/approve proposal

THINGS TO CONSIDER Manuscript sign-off by both institutions Report coordination Intellectual property - who pays what/who receives what Cost sharing between consortium Advances for foreign institutions

Developing the Budget Cost Issues for Consideration –Proposal Preparation Costs Time and Effort for Major Proposals –Management Costs –Advances and Reimbursements –F&A Rates

Issues for clarity Scope of Commitment Timing Expectations Billing and Reporting Requirements Budget Technology and Copyright Ownership Non-disclosure

Teaming Agreements Reduce to writing the general expectations for each PI and each institution. Include: –basic segments of project scope –management issues like approvals, budget and reporting

Non-Disclosure Agreements CONFIDENTIAL INFORMATION DEFINITIONS As used in the Agreement Specify Restricted Period Identify RESTRICTIONS and designate to whom they apply Detail Exceptions Remedies

F&A Issues Base –Short Form Institution with Long Form Institution Full Rate vs Reduced –How is decision made?

Distributions of F&A Institutional Policy for Interdisciplinary split –e.g. Pro-rate based on % time Negotiate split among disciplines during the proposal process

Post Award Issues F &A Costs Shared Budgets Revisions Sub-recipient Monitoring Billing and/or Collections Reporting Close-out

THE MOST IMPORTANT ASPECT OF MULTI- DISCIPLINE/INSTITUTIONAL PROJECTS Communications

Whose Budget Is It? Multi-disciplinary with Co-Investigators –Managing PI Approvals Procurement Oversight –Split Management Segregated Budget and Accounting What is the F&A distribution?

Whose Budget Is It? Multi-institutional with Co-Investigators –Managing Institution Issues Sub-recipient Monitoring, A-133 audit reviews Re-budgeting Addressing Non-compliance, such as over expenditures or unallowable expenditures

Early Communications Mean Less Stress and More $ = +

Responsibilities in Multi- Institutional Awards Prime Responsibilities –Overall Project Completion –Reporting to Funding Agency –Tracking Subs Sub Responsibilities –Completion of segment of scope as described in agreement –Reporting to Prime

Audit Concerns NSF OIG March 2005

Managing Conflict Common Conflicts Among Institutions –Finances –Work lags –Publications and Patents Common Conflicts Among Disciplines –Finances –Credit

That is my part of the budget! Why can’t scientists just get along?

Billing and Reporting Additional complications for Sub –Sub reports required early –Sub closure required early Additional complications for Prime –Closeout often delayed due to Sub issues –Processing Invoices for Sub –Verifying Sub completion and records

Why Participate in Multi- Disciplinary, Multi-Institutional Projects? Favored by Awarding Agencies Synergy Research and Pedagogic Missions Improved outcomes make it worth the effort

Summary Mitigate Complications through –Early communications and negotiations –Documentation through written agreements