Submitting Subaward Proposals

Submitting Subaward Proposals ORA Third Tuesday January 15, 2007

Types of Subawards • Subawards under NIH, NSF, or other federal grants made to other institutions/entities • Subawards under AHA or other private grants made to other institutions/entities • Subcontracts under contracts to other institutions/entities

Prime Awardee • Prime Awardee is the institution to whom the prime grant is awarded by the funding agency • May be: • Another academic institution (e.g., UM, Vanderbilt, Ohio State) • A non-profit entity (e.g., St. Jude) • A for-profit entity (e.g., a company with an SBIR/STTR grant)

Advance Approval • Subaward proposals must be approved by UTHSC prior to submission of the prime grant by the prime grantee institution. • Faculty and business managers should not send financial and other information to other institutions to incorporate into budgets w/o routing through ORA.

Documents Needed by ORA • Statement of work for UTHSC’s portion of the project • Budget for UTHSC’s portion of the project • If NIH, PI assurance certification • Route sheet • Agency instructions/guidelines/policies • Approval of compliance committees, if applicable • Cost-share form, if applicable

SOW • The Statement of Work (SOW) should clearly state what UTHSC will be doing and should be prepared by the PI.

Budget • Budget should include all UTHSC costs and fully cover the cost of the work to be done under the SOW. • If less than full costs are included, a cost-sharing form must be submitted • F&A should be UTHSC’s full federal rate, unless otherwise specified and/or approved by F&O

Route Sheet • Route sheet should be signed by all UTHSC departments/colleges/ campuses involved in the project

Agency Instructions, etc. • If other than a standard NIH R01 application, ORA will need a copy of the agency instructions, guidelines, and/or policies for review and approval.

Compliance Info • Compliance info should be submitted if available. • Same principles apply as if UTHSC were prime grantee.

Cost-Share Form • If budget does not fully cover the cost of the project, a cost-share form must be approved by the department, college, and F&O. • NOTE: Generally projects should cover full costs, especially SBIR/STTR projects.

ORA Review • Same as if UTHSC were the prime. • ORA will prepare a cover letter to be submitted to the applicant organization along with UTHSC’s part of the application.

SBIR/STTR Subs • UTHSC is not eligible to be the prime grantee on an SBIR or STTR grant application. • SBIR/STTRs are set aside for small businesses. • UTHSC can collaborate with a small business, provided that no conflicts of interest are involved or that any potential conflicts are appropriately addressed prior to submission.

SBIR/STTR Subs (cont’d) • Conflicts may exist if UT employees or their immediate family are owners or otherwise involved in the small business • Same process as for other grant/contract proposals

Subaward Agreements • Subaward Agreements are processed after the prime awardee receives the Notice of Award • Subaward Agreements are originated by the prime awardee – should get electronic version ahead of time, if possible • Subaward Agreements are processed like contracts – route sheet (new one if amount is different) and contract certification form

Annual Renewal/Final Reports • Annual progress reports will be required for federal subawards –should be routed like progress reports. • A subaward amendment and/or new subaward agreement will likely be required each year. • Final reports (financial, scientific, invention) will be required for federal subawards and may be required for others.

ORA Contacts • Proposal Submission • Ginny Geer – x1668; vgeer@utmem.edu • Connie Bozant – x4188; cbozant@utmem.edu • Subaward Agreements ($in) • Debbie Smith – x 4823; dsmith@utmem.edu • Rosa Wilson (to follow up) – x 5587; rmwilson@utmem.edu

ORA • Research Administration • 910 Madison, Suite 823 • Memphis, TN 38163 • 901 448-5587 • 901 448-7600 • From UT home page, choose Research, then Research Administration for forms and info • http://www.utmem.edu/research/research_admin/

Submitting Subaward Proposals