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Comprehensive Guide to Subaward Proposals Submission and Administration at UTHSC

This document provides vital information for UTHSC faculty and administrators on submitting subaward proposals, including types of subawards under NIH, NSF, AHA, and private grants, as well as the necessary approvals. It outlines the roles of prime awardees, budgeting requirements, compliance information, and documentation needed for submission. Additionally, it addresses SBIR/STTR collaboration guidelines, the process for subaward agreements, and annual reporting requirements. For further assistance, contact the designated Research Administration representatives.

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Comprehensive Guide to Subaward Proposals Submission and Administration at UTHSC

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  1. Submitting Subaward Proposals ORA Third Tuesday January 15, 2007

  2. 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

  3. 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)

  4. 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.

  5. 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

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

  7. 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

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

  9. 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.

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

  11. 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.

  12. 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.

  13. 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.

  14. 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

  15. 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

  16. 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.

  17. 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

  18. 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/

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