Submitting Subaward Proposals

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 UTHSCs portion of the
  project
• Budget for UTHSCs 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
• FA should be UTHSCs full federal rate, unless
  otherwise specified and/or approved by FO

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 FO.
• 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 UTHSCs
  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 (contd)

• 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_at_utmem.edu
• Connie Bozant x4188 cbozant_at_utmem.edu
• Subaward Agreements (in)
• Debbie Smith x 4823 dsmith_at_utmem.edu
• Rosa Wilson (to follow up) x 5587
  rmwilson_at_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/