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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

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Submitting Subaward Proposals

ORA Third Tuesday

January 15, 2007

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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

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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)

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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.

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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

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

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  • 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

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Route Sheet

  • Route sheet should be signed by all UTHSC departments/colleges/

    campuses involved in the project

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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.

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Compliance Info

  • Compliance info should be submitted if available.

  • Same principles apply as if UTHSC were prime grantee.

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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.

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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.

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  • 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.

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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

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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

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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.

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ORA Contacts

  • Proposal Submission

    • Ginny Geer – x1668;

    • Connie Bozant – x4188;

  • Subaward Agreements ($in)

    • Debbie Smith – x 4823;

    • Rosa Wilson (to follow up) – x 5587;

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  • 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