Program Related Contracts

Julie TateDirector, Contract Administration325-1567julietate@ou.edu

Patty ElliottAssistant Contract Administrator325-5437pelliott@ou.edu

Alicia CrawfordContracts Law Clerk325-9370ccecontracts@ou.edu

(for contracts to be signed by Dr. Pappas)

Routing for new proposals/programs: 

• Sponsored Programs – Pink• E&G - Yellow

________________________________

Routing for contracts and awards:

• Sponsored Programs - Blue• E&G - Yellow

Routing Sheets

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CONTRACTS WEBSITE:

http://www.pcs.outreach.ou.edu/admin/outreachcontractpoliciesandsamples.html

CONTRACT CHECKLIST

If the other party is writing the contract give them our contract checklist before they create the

contract.

No dollars involved (i.e. teaming agreementsand non-disclosure agreements) – Dr. Pappas

E&GOver $50,000 – Dr. Pappas$50,000 or less – Dr. Little,

Dr. Biscoe, Cal Hobson

Sponsored ProgramsOriginal funding agreements (regardless of dollars) –

Dr. Pappas

Subcontracts and Vendor Agreements under a sponsored program$25,000 or more – Dr. Pappasunder $25,000 – Dr. Little, Dr. Biscoe,

Cal Hobson

Pre-Award AgreementsNormally done during the proposal process:

•Funding Source wants proof that you are collaborating with other party•To outline the terms under which the parties will be working together on a proposal

Pre-Award Agreements• Teaming Agreement – formal agreement

between the parties, sets out terms of the arrangement – who will be prime and sub or vendor

• NDA- confidentiality/non-disclosure agreement• MOU- use a memorandum of understanding

instead of teaming agreement if both parties are OU entities

• Letter of Intent/Support – less formal, basically states parties are working together

Contract/Award Types

Sponsored Program contracts require comprehensive record keeping and audit trails.

E&G contracts do not require as high a degree of financial or record keeping responsibility.

Sponsored Program ContractsThe contract meets any one of the

following 3 criteria:

Federal or federal flow-through dollars; or Audit/record-keeping requirements; or Sponsor’s language indicates that they

perceive this to be a Sponsored Program (e.g. includes Indirect Cost, F&A, OMB Circular A-21, A-110, etc.)

E&G/Fee-for-Service Contracts

The requirements of the contract donot cause it to be a SponsoredProgram. Direct costs and“administrative costs” are acceptablein E&G contracts, “indirect costs or “F&A” are not.

Usually: The funds are from a private

company/non-profit; or

The funds are from a state agency with no federal flow through and there are no audit requirements; or

Program is self-funded (registration fees)

E&G/Fee-for-Service Contracts

Federal Awards

Grants - to accomplish a public purpose and “no substantial involvement” is expected between the Federal Government and the recipient during performance of the contemplated activity.

Federal Awards

Contracts - the principal purpose of the instrument is acquisition of property or services for the direct benefit or use of the Federal Government.

Federal Awards

Federal Awards

Cooperative Agreements - to accomplish a public purpose and “substantial involvement” is expected between the Federal Government and the recipient during performance of the contemplated activity.

Cost Reimbursable Fixed Price (Fee) Fixed Rate Time and Materials

Cost Reimbursable: Contractor is reimbursed for actual costs plus a pre-approved/negotiated indirect cost rate.

(Low financial risk, high documentation and audit requirements.)

1. Usually Sponsored Programs2. Actual costs plus negotiated indirect cost rate.3. Must have budget attached4. Must contain “not to exceed $____”5. Will normally have stringent audit requirements

Fixed Price (Fee): Stipulates the exact amount to be paid for the services or products being purchased.

(Higher financial risk because can make or lose money on the project, same fixed price regardless of actual cost. Lower documentation requirements, & low or no audit requirements)

1. Usually E&G contracts2. Must have very specific scope of work3. No budget may be attached (only internal)4. No indirect costs listed in contract5. Stays a firm fixed price regardless of actual cost.6. Billing relates to deliverables, NOT to actual costs.

(May be billed monthly, or by deliverable timeline )

Fixed Rate: Stipulates the amount that will be paid per “unit” for the services or products being purchased.

(Low to medium financial risk, medium documentation and audit requirements.)

1. Can be E&G or Sponsored Programs2. Fixed amount for every “unit(s)”3. Number of units can be known or unknown4. Can have different types and amounts of units5. “Not to exceed $____” 6. No budget attached, but can attach a rate sheet7. Billing must be based on units used, not actual cost8. Unit(s) can be time, course, students or other deliverables

Time and Materials: Provides for acquiring supplies or services on the basis of: (a) Direct labor hours at fixed hourly rates that include wages, overhead, general & administrative expenses… (loaded labor rates); and (b) Materials at cost, including, if appropriate, material handling costs as part of material costs.

(Low financial risk, high documentation and audit requirements)

1. Usually Sponsored Programs2. Time = loaded labor rate (labor + fringe + F&A)3. Materials = at actual cost plus any IDC (or all IDC may be loaded into the labor rate)

If the other party is the prime, they will usually give you their contract.

You will need to give them our contract checklist; OR

If they ask you for a contract, use our “Prime Agreements, OU is Vendor” template.

Required for any company (for profit or non-profit), and IndividualIndependent Contractors $50,000or over with whom we are going tohave any type of businessagreement (other than the exceptions listed)

You DO NOT have to fill out the Company Profile information if you are contracting with the following:  * Any governmental agencies i.e. federal, state, city/municipality* Any individual independent contractors less than $50,000 * Any conference service providers i.e. hotels, charter bus companies, AV companies, exhibitors... * Any public service providers from whom we are merely making a purchase i.e. cable company, equipment maintenance, parties from whom we are leasing space....* Any company with whom you have done business for at least one year and who currently has an active contract.

• The Company Profile can be found online and e-mailed to Patty Elliott, pelliott@ou.edu or you can submit it hardcopy. To ensure the accuracy of the information please contact the company when filling out the profile.

 

Company Profile

SECONDARY CONTRACTS FOR WORK UNDER A GRANT

Sub-award/Sub-recipient

-OR-

Vendor

DO NOT SUBMIT SECONDARY

CONTRACTS UNTIL YOUR PRIME IS

FULLY EXECUTED

For grants, use OSP decision flow-chart and explanation to determine whether your secondary contractor related to a grant should be a vendor or sub-recipient.

Sub-award/Sub-recipient: The legal entity to which a sub-contract is made and which is accountable to the GRANT recipient/prime for the use of the funds provided. Characteristics of Sub-recipients1. Provides services that are directly involved in meeting the objectives of the Prime award/project. 2. Performance is measured against meeting objectives of the prime award.  3. Some responsibility for programmatic decision making. 4. Cannot be an individual

Characteristics of the

Sub-award/Sub-recipient Agreement

Characteristics of the

Sub-award/Sub-recipient Agreement

Must flow down the appropriate federal clauses as listed in the prime agreement.

Our standard sub-recipient agreement must be modified to meet prime agreement requirements.

Prime has stringent responsibility for monitoring Sub-recipient

(High documentation, monitoring and reporting requirements)

Vendor: A vendor is an entity responsible for providing generally required goods or services related to the administrative support of the prime award. Characteristics of a vendor include items such as:

• Providing the goods and services within normal business operations

• Providing similar goods or services to many different purchasers

• Acting as a consultant• Operating in a competitive environment • Program compliance requirements do not pertain to

the goods or services provided(Lower documentation, reporting requirements)

For contracts, no decision is required. Everyone is a subcontractor.

Flow-down clauses apply to everyone.

When you are going to have a sub-contract under a prime, you must attach a copy of the prime agreement when you submit the sub-contract.

Oklahoma Taxpayer and Citizens Protection Act & Executive Order 12989

Public Benefits (SAVE) Prime Contracts (Only if in Contract) Subrecipient or Service Agreement

(State under Injunction & Federal if in Contract) Independent Contractors (State under Injunction

& Federal if in Contract)

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PUBLIC BENEFIT

The University is required to ensure that no public benefits are provided to individuals 14 years or older unless they have verified their lawful presence in the United States in accordance with Okla. Stat. Ann. title 56, §71.

PUBLIC BENEFIT

If your program gives a public benefit, “money without work in return,” you must get an affidavit as to the legal status of the recipient and if they are not a citizen verify their status through the Systematic Alien Verification for Entitlements (SAVE) Program.

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PUBLIC BENEFIT

Services such as training, food and call center information do not require verification.

Monetary benefit, such as scholarship, stipend and tuition waiver does require verification.

A memo must be included in the file for exceptions. For incentive cards, call Julie.

PUBLIC BENEFIT VERIFICATION

1. Notarized Public Benefit Affidavit of Lawful Presence; and

2. Verification through the Systematic Alien Verification for Entitlements (SAVE) Program.

PUBLIC BENEFIT

University of Oklahoma, College of Continuing EducationAFFIDAVIT VERIFYING LAWFUL PRESENCE IN THE UNITED

STATES FOR PUBLIC BENEFITS 

Effective 11/1/2007 any person fourteen (14) years of age or older who receives public benefits under the provisions of Title 56 O.S. Supp Section 71 must execute an affidavit under penalty of law stating that they are a U.S. citizen or a qualified alien. Last Name:_______________First Name________________ Middle Name______[Print or type applicants full name above] I, __________________, upon oath and under penalty of perjury, do swear as follows: INITIAL one option below and fill in required information.

________ Option 1 – Verification of Citizenship: I am a United States Citizen________ Option 2 – Affidavit Verifying Qualified Alien Status: I am a qualified alien under the federal Immigration and Naturalization Act, and I am lawfully present in the United States. For verification purposes, I am including my Alien Number.

Alien Number: ________________________ 

___________________________(Signature of Applicant)

Julie Tate Patty ElliottDirector, Contract Assistant Contract

Administration Administrator 325-1567 325-5437julietate@ou.edu pelliott@ou.edu

Alicia CrawfordLaw Clerk325-9370CCEContracts@ou.edu

CONTRACTS WEBSITE:http://www.pcs.outreach.ou.edu/admin/outreach

contractpoliciesandsamples.html