The following items are required for an incoming subaward proposal:

• Statement of Work (SOW)
• Itemized (categorical) Budget and Budget Justification properly entered in InfoEd submission
  
• Biosketch using originating sponsor's format/template
• Letter of Intent (LOI)/Proposal Face Sheet
  The pass-through entity (PTE) will instruct you as to the type of form that needs to be signed by OSP.  This form serves as our certification that we have reviewed the materials requested and if awarded, we will abide by the prime sponsor’s policies and are prepared to negotiate the necessary agreement with the PTE.
  If the PTE does not have a form for this purpose, UTMB has its own Consortium letter that can be used.
• Cost Sharing Form (if applicable)
  
• F&A Waiver (if applicable)
• Sponsor Guidelines
• All other forms/documents required by originating sponsor

*Please see Proposal Preparation for more information about the items listed above and OSP proposal review process 

Incoming subawards are processed in the Proposal Tracking (PT) module in InfoEd, much like new primary awards. The basic steps and InfoEd statuses are outlined below.

1. Subaward is received in the contracts inbox. If the contract is received by the PI/Dept, forward it to contracts.in@utmb.edu. The InfoEd record status will be changed to Agreement Received.
2. The contracts analyst reviews the agreement thoroughly, looking for any terms and conditions that may require negotiation (see below).
3. When the contracts analyst has completed the initial review, the status will be changed to Under Review – PI/Dept.
4. Departmental research administrator and PI review the agreement, making any necessary changes to the InfoEd budget, then change the status to PI/Dept Approved. The Revisions Requested – PI/Dept may also be selected if other changes need to be made.
5. The contracts analyst works with the primary awardee institution to finalize the agreement. Once both sides have signed and we have received a fully executed agreement (FEA), the agreement moves to Project Set Up (PSU) for next steps. Once PSU completes their work, the record will be moved to Awarded status.
   

Subaward Negotiation

Certain terms and conditions may appear in subaward agreements and contracts that are not issued using Federal Demonstration Partnership templates. These include:

• Indemnification and Liability
• Intellectual Property Rights/Ownership
• Publication Restrictions
• Foreign National Restrictions
• Confidentiality
• Governing Law/Jurisdiction
• Federal Acquisition Regulations (“FAR Clauses”)

Some areas of negotiation require consulting with other UTMB offices that have specialized expertise such as Office of Technology Transfer, Office of Clinical Research, Office of Legal Affairs, UT System Risk Management, Grants & Contracts Accounting, and/or the PI’s Department regarding specific terms and conditions of the award. Due to this involvement, it can take an average of 30 to 60 days from receipt of agreement to full execution of that agreement.

Delays

The negotiation of a contract (or a non-standard agreement) is more time consuming because it includes processing time not only at UTMB, but also at the prime award institution or sponsor organization.. Once UTMB suggests changes, the agreement is returned to the prime awardee or sponsor for comment, leaving us with little influence over how quickly the other party will respond. Agreement processing delays occur when:

• Agreement is received and a corresponding proposal was not routed for internal review/approval prior to submission (agreement processing is on hold until the proposal is approved for submission)
• Compliance Approvals Pending
• Revised/Categorical Budget Needed
• Language Revisions
• Consulting with other UTMB Offices
• Working with Foreign Entities

Grants & Contracts Accounting is the central office for the administration of all aspects of award management functions, such as assisting with sponsor regulations, billing and accounts receivable, financial status reports, award closeout and account reconciliation.

Work with your Grants and Contracts Accounting Analyst to make any amendments to your subaward/subcontract, or if you have any questions.

• Sponsor identifies services it wants provided and issues a Broad Agency Announcement (BAA) or a Request for Proposal (RFP)
• Opportunities announced through FedBizOpps.gov  or Grants.gov

UTMB faculty  who want to respond to a BAA or RFP must still work through the Office of Sponsored Programs. Please follow the standard submission process and start with the Intent to Submit Form as soon as you know you will be applying.  

Please contact Nancy Devino if you have any questions about submitting a federal contract.

 

Federal contracts have two distinct components - the technical proposal and the business proposal.

The technical proposal is the scientific element and is similar to a grant application. The business proposal is a detailed financial plan that includes pricing documentation and other elements.

Technical Proposal

Business Proposal

Has established page limits Cover page, table of contents are inclusive of page limits Elements include: Statement of Work (Objectives, Approach, Methods, Schedule) Personnel (PI, Co-Investigators, additional personnel) Resumes of key personnel Human subjects Vertebrate animals Select Agents Information Security Sharing Research Data NIH Instructions

Does not have page limits Elements include: Cover Page(NIH 2043) Cost/pricing detail (and documentation) Small Business Subcontracting Plan Offeror’s Point of Contact Certificate of Cost or Pricing Data Disclosure of Lobbying Activities Representations & Certifications Submission of Electronic Funds Transfer Information Statement of Financial Capacity Qualifications of the Offeror (general experience, organizational experience, performance history, pertinent contracts, pertinent grants) Subcontractor information Annual Financial Report Travel Policy

Federal contracts must also allocate a portion of the project to be fulfilled by small businesses. The business proposal must also include a Small Business Subcontracting Plan that identifies a portion of the budget that can be sourced to small businesses. UTMB is held to these allocation and must show a good faith effort for not achieving these goals if they cannot be met.

When drafting the budget, remember the following are not allowed:

• Expensing of tuition
• Travel to general scientific conferences

• Once the proposal is submitted, the sponsor may seek clarification on certain points.
• UTMB will respond in writing with the clarification.
• If there are differences, the sponsor and UTMB will need to reach an agreement before the award is made.

• Contract is received in OSP, who works with the PI and sponsor to finalize the contract.
• An authorized signing official signs the contract and returns to sponsor.
• The contract will outline the period of performance and how funding will be distributed - either by milestones or schedule.

• Prior approval is required for ANY changes to the final contract agreement.
• The sponsor's contract officer must approve:
  • Any change in key personnel
  • Any international travel
  • Any deviation in domestic travel of >10%
  • Purchase of equipment
  • Purchase of anything not originally detailed in budget
  • Adding a subcontract (also requires sending copy of subk to contract officer)
• Rebudgeting is NOT allowed.
• Carry forward of base funding to option periods is NOT allowed.
• Reporting schedule will be outlined in contract. Some contracts require as frequent as monthly financial and technical reports. Grants & Contracts Accounting will complete the financial reports, and the PI is required to complete the technical reports.
• Grants & Contracts Accounting will invoice the sponsor for reimbursements according to contract terms.
• PI must monitor expenses and notify the sponsor when the budget is 75% spent.
• All communication is strictly through the Institutional Authorized Official and the Sponsor Contract Officer.

 

Federal Contracts Roles and Responsibilities

The portion of the proposal that outlines the financial pieces of the agreement. Includes all relevant documentation for pricing and sourcing, as well as Small Business Plan. There are no page limits on the business proposal, and the budget must be final - there is no rebudgeting allowed.

The legally binding agreement between a sponsor and institution that outlines exactly what the scope of work will be, how long it will take to complete and the cost. Changes to any piece of the contract, including time extensions, will require prior approval and an amendment to the contract.

Primary contact at the sponsor for anything involving the award.

Another institution is the prime awardee and negotiates with UTMB to provide a portion of the project.

For example, State School University needs UTMB to conduct the work on one of the awards at State School. UTMB will be the subawardee doing the work for State School, the prime awardee. 

UTMB is the prime awardee who negotiates with other institutions to provide a portion of the project.

For example, UTMB needs an investigator at State School University to do part of the work on one of our awards. State School University will be the subawardee and UTMB the prime. 

A tool used by sponsors to announce funding opportunities that will result in a contract. They are listed on FedBizOpps.gov and Grants.gov.

The part of the technical proposal that outlines specifically what will be done and in what timeframe. It outlines who will conduct the work and any expectations. This can also be called a Description of Services.

The portion of the award proposal that outlines the scientific elements, including the scope of work and exactly who will perform the work in the contract. Follows similar guidelines to federal grants and has strict page limits and other limitations.