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Research Foundation of State University of New York
INDEPENDENT CONTRACTOR SERVICES FORM
Name of Independent
Contractor: __________________________________________________________________________
(full name of person)
Address: ____________________________________________________________________________
____________________________________________________________________________
____________________________________________________________________________
Citizenship Status:* U.S. Citizen Resident Alien
Nonresident Alien (Visa/NAFTA status ___________, country of citizenship _______________)
Estimated Reimbursement Account Number Taxpayer Identification Number (TIN)
Fee: $ _________ Social Security Number
Expenses: $ ________ ______________________ ____________________________
Total: $ _________
Scheduled Dates of Performance: __________________________________________________________
Name of country where services are to be performed __________________________________________
Description of Services to be Performed: ____________________________________________________
+ Criteria for the classification of the person as an
independent contractor (attach separate sheet if necessary): ______________________________________
Contractor Selection Criteria: ______________________________________________________________
CERTIFICATION OF THE PROJECT DIRECTOR
I certify that the work to be performed is essential to the project, that the services cannot be provided by any other
person receiving salary support under the grant, and that the rate is appropriate based on the qualifications of the
selectee and the nature of the work to be done.
Signature of the Project Director Date
Approved: __________________________________________ _____________________
(Operations Manager) Date
* Refer to reverse side of form for applicable definitions.
+ Refer to Appendix PP-X-C, “Classifying Workers as Employees or Independent Contractors” in the Purchasing/Payment Manual
.
F894
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Citizens Status Definitions
Resident Alien The term applied by the IRS to a noncitizen in the U.S. who either
holds an Alien Registration Receipt Card (INS-551), commonly
known as a “Green Card,” representing approval from the U.S.
Immigration and Naturalization Service to remain in the U.S. for an
indefinite period of time, or meets the requirements of the
substantial presence test for taxation and withholding purposes.
Nonresident
Alien
The term applied by the Internal Revenue Service (IRS) to a person
in the U.S. who is neither a U.S. citizen nor a resident alien.
Visa Status
Nonresident aliens who have a visa must indicate the type of visa
that they hold. The visa type can be obtained from the visa or from
the alien's Arrival/Departure Record (Form I-94). The visa type
determines the type of payment the nonresident alien can receive.
NAFTA Status
Canadian and Mexican business persons can enter the U.S. under
one of four categories covered under the North American Free
Trade Agreement (NAFTA). Only two of the four categories apply
to Research Foundation business. The alien must indicate that they
are either a B-1 Temporary Business Visitor or a TN Professional.
October 16, 1995
THE TWENTY FACTORS OF THE “COMMON LAW TEST”
FOR
CLASSIFYING INDEPENDENT CONTRACTORS
TO BE COMPLETED BY PROJECT DIRECTOR:
PROJECT DIRECTOR’S NAME:
(Please Print)
ACCOUNT NUMBER:
VENDOR NAME:
All of the factors listed below must be considered in determining whether an employment relationship exists. In the right
hand column, check either “Employee” or “Independent Contractor” to certify which relationship best fits each of the
twenty factors.
Employee
Independent
Contractor
1. Compliance with instructions – employees must comply with
another person’s instructions on when, where, and how the work is
performed. In a true independent contractor relationship, the only
control to which the contractor is subject is the result.
[ ] [ ]
2. Training required – independent contractors are not normally
trained but rather are hired for their expertise in a field.
[ ] [ ]
3. Integration of services into business operations – employees’
services are usually a vital part of the daily operation of an
employer’s operation.
[ ] [ ]
4. Services rendered personally – employees personally render the
services, while contractors may delegate such work to others.
[ ] [ ]
5. Hiring, supervising, and paying assistants – usually individuals
who perform all these functions are treated as independent
contractors.
[ ] [ ]
6. Continuing relationship – employees are usually hired for an
ongoing period, while a contractor’s work ends when the job does.
[ ] [ ]
7. Set hours of work – employees usually must adhere to a worker
schedule established by the employer.
[ ] [ ]
8. Full time required – generally, employees work full-time for an
employer, while independent contractors work when and for whom
they choose.
[ ] [ ]
9. Doing work on employer’s premise – those working at the
employer’s site may be viewed as employees.
[ ] [ ]
10. Services performed in order or sequence set – persons told to
perform work in a certain sequence generally are considered
employees.
[ ] [ ]
11. Oral or written reports – employees are more likely to be required
to submit regular reports to the employer.
[ ] [ ]
12. Payment by hour, week, month – typically, employees are paid on
a regular basis, while independent contractors are compensated by
the job or on a lump-sum or straight commission basis.
[ ] [ ]
13. Payment of business and/or travel expenses – employer
payments of a person’s work-related travel expenses generally
indicates employee status.
[ ] [ ]
14. Furnishing of tools and materials – employees, not individual
contractors, are generally provided with supplies.
[ ] [ ]
15. Significant investment – individuals who have a significant
personal investment in the facilities they use for work are normally
independent contractors.
[ ] [ ]
16. Realization of profit or loss – unlike employees, independent
contractors realize a profit or loss based on their success in
performing a service.
[ ] [ ]
17. Working for more than one firm at a time – individuals who
perform services for a number of employers are usually independent
contractors.
[ ] [ ]
18. Making services available to general public – individuals who
regularly make their services available to the general public are
usually treated as independent contractors.
[ ] [ ]
19. Right to discharge – employees can be fired, while independent
contractors cannot be discharged if they fulfill contract specifications.
[ ] [ ]
20. Right to terminate relationship without incurring liability – an
employee can terminate his employment relationship with his
employer at any time, whereas an independent contractor may be
liable for breach of contract for leaving work unfinished.
[ ] [ ]
PROJECT DIRECTOR’S SIGNATURE DATE
O:/FORMS/IND CONTRACTOR/CommonLawTest.doc
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WORKING RELATIONSHIP FORM
Campus Address:
__________________________________
__________________________________
__________________________________
Date:__________________
_____________________________________
Name of Independent Contractor
_____________________________________
Address
_____________________________________
We have received notification from __________________________ Project Director, that you have or will be
rendering services to his/her research project as an independent contractor. As an independent contractor, no
employee-employer relationship exists between you and the Research Foundation of State University of New
York, ESF, or SUNY.
We would like to take this opportunity to clarify your status with the Research Foundation. If you feel that we
have made a mistake in your classification, you must notify us within ten (10) working days from the date of this
letter. As an independent contractor you are:
Not eligible to file for or to collect unemployment benefits.
Not eligible for workers' compensation coverage.
Solely responsible for complying with all federal, state, and local requirements regarding reporting and
paying taxes.
Required to assign all right, title, and interest in the data or material you produce as a result of project
activities to the Research Foundation, and are prohibited from publishing, permitting to be published, or
distributing any information concerning the results or conclusions of the data or material you produce during
or towards project activities. They are considered "works for hire" and are the property of the Research
Foundation.
Able to retain ownership of intellectual property included in deliverables to the extent that you have
independently developed the intellectual property without Research Foundation financial support. With
respect to such property, you agree to grant to the Research Foundation a royalty free, nonexclusive license
to use such intellectual property for purposes consistent with the Research Foundation's obligations under
the grant or contract that funds this project.
Independent of the Research Foundation as defined by generally accepted auditing standards and U.S. Government
Accountability Office (GAO)’s Government Auditing Standards. Accordingly, no relationship exists between the
Research Foundation, ESF, or any of its employees, Board Members, or with any other person or agency that
constitutes a conflict of interest with respect to the Research Foundation. You agree to give the Research
Foundation written notice of any relationships entered into during the period of the agreement that would present
a question concerning your independence as Independent Contractor.
Are not currently, or within the past two years, a former RF or SUNY employee.
Have no existing professional relationships that would present a conflict of interest between you and the Research
Foundation. In addition, you will give the Research Foundation written notice of any professional relationships
entered into during the period of the agreement that would present a conflict of interest. You have not had any
professional relationships involving the Research Foundation, ESF, or any of its affiliates in the past five years that
would constitute a conflict of interest relative to this agreement.
Your engagement as an independent contractor with the Research Foundation may be cancelled by the Foundation
upon 30-days written notice.
Please review this form for a description of your services and fees.
If you have any questions or disagree with the information listed on this document or need any additional
information concerning your status as an independent contractor, please feel free to contact
_______________________(Name) at _____________________(Phone Number).
_____________________________
(Operations Manager)
cc:__________________________
(Project Director)
(Complete the bottom section and return the form to the campus if fees plus expenses are $2,500 or more.)
________________________________________________________________________________________
I certify that I have read, understand, and accept this document and any attachments.
______________________ _______________________ ____________
Signature Tax Payer ID Number Date
Description of Services:
____________________________________________________________________________________________________
____________________________________________________________________________________________________
____________________________________________________________________________________________________
____________________________________________________________________________________________________
____________________________________________________________________________________________________
Period of Service:
____________________________________________________________________________________________________
____________________________________________________________________________________________________
Fees and Expenses (Include maximum dollar amount of compensation):
____________________________________________________________________________________________________
____________________________________________________________________________________________________
____________________________________________________________________________________________________
Payment Schedules
____________________________________________________________________________________________________
____________________________________________________________________________________________________
____________________________________________________________________________________________________
____________________________________________________________________________________________________
Technical and Final Reporting Requirements
____________________________________________________________________________________________________
____________________________________________________________________________________________________
____________________________________________________________________________________________________
____________________________________________________________________________________________________
Other Information
____________________________________________________________________________________________________
____________________________________________________________________________________________________
____________________________________________________________________________________________________
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________________________________________
Invoice
Billing Address:
SUNY Environmental Science and Forestry
Office of Research Programs
200 Bray Hall, 1 Forestry Drive
Syracuse, NY 13210
Attention: Research Office
Invoice Number:________
Purchase Order:
Award:
Billing Period: _____________________
Current
Invoice Date: ___________
Project Director:
Cumulative Cost Billed: $________
Period Activity: $_______
Total Billed to Date: $________
Description of Services Performed: Amount
(This can be a summay – you will need to put a listing of detailed breakdown including cost share by
expenditure category)
Total Amount Due: ___________
I certify that this invoice is correct and that it does not duplicate reimbursement of costs or services received from other
sources. In addition, I certify that reimbursement is requested only for expenditures on items approved by the terms and
conditions of the subcontract with the Foundation.
Contractor Signature
T.I.N. #:_________________________________
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