Prepare for an Outgoing Subaward or Subcontract

Preparation Steps:

1)  Pre-Award

2)  Just-in-Time

3)   Post-Award

4)   Progress Report/RPPR

Pre-Award (Proposal development stage and prior to submission)

  1. Identify the need for a collaborator.

    Note: If the subrecipient is slated to receive federal dollars, they MUST have a DUNS number and be actively registered in the System for Award Management (SAM) for MUSC to subaward intended funds.

  2. Determine if collaborator is a subrecipient or contractor by completing the Checklist.

  3. If the collaborator is a subrecipient ensure all of the following documents are completed and uploaded as one combined file to the Cayuse SP Internal Processing Form (IPF):     
  • Letter of Intent signed by an authorized institutional official of the subrecipient
  • For Schools Not in the FDP Clearinghouse ONLY: PHS 398 Form Page 1 ‘Face Page’ (or equivalent, signed by an authorized official) which contains all the information needed for both proposal submission and issuance of subawards (i.e. Subrecipient institution, PI, DUNS, EIN, Institution address/congressional district, etc.): https://grants.nih.gov/grants/funding/phs398/phs398.html
  • Statement of work (SOW): the SOW must be clear and contain a detailed description of the work to be performed by the subrecipient including proposed timeline and deliverables.
  • Itemized/detailed budget and budget justification for the subrecipient. Preferred formats:
  • Copy of, or link to, the subrecipient’s federally negotiated F&A rate agreement IF subrecipient is not part of the FDP Expanded Clearinghouse.
  • Biosketches/CVs for key personnel as required by the funding agency.
  • All FCOI documentation as applicable:
    • External Contributor Form, COI Policy Certification Form, and COI Disclosure Form.
    • MUSC FCOI information and forms: MUSC FCOI, MUSCFCOI Forms (on the Horseshoe website)
    • If the subrecipient participates in the FDP FCOI Clearinghouse, upload a pdf of the certification to the IPF record.
  • Other documents as specified in the Funding Opportunity Announcement (read carefully), these often include, but are not limited to:
    • Letters of Support from Key Personnel
    • Facilities/Resources & Equipment information specific to the subawards institution
    • Multiple Principal Investigator Plan if an MPI is listed at the subrecipient site
    • Small Business Subcontracting Plan

Just-in-Time (MUSC has been notified of a potential award)

1)    The Departmental Administrators are responsible for collecting the
       necessary Just-in-Time documentation for the subawards. These often
       include (but are not limited to) the following:

  a)  Updated Other Support: for all key personnel that lists both Active
                     & Pending support with the grant that the Just-in-Time request is                         listed for included.

  b)  Biosketches for any new key personnel the
                     subrecipients may be adding

  c)  Compliance documentation

  i.  For all studies involving human subjects, proof of human
                                subjects training is required. If the project is a Clinical
                                    Trial, there must be proof that the 'Good Clinical
                                    Practices' training module has been completed within
                                    the last three years. Free GCP training is available for
                                    those sites that do not have institutional online training
                                    programs for their faculty/staff. 
                                    http://grants.nih.gov/policy/humansubjects/training-and-
                                    resources.htm

                                    http://learningcenter.niaid.nih.gov/

                 ii.  IRB (human subjects), IACUC (animal subjects), IBC
                                    approvals, etc.

        iii.   DUNS number and active registration in the System for
                                    Awards Management (SAM).

  Note: MUSC's typical sub-awardees are universities,
                                        but this sometimes delays subawards to entities
                                        that may not be as research-intensive in their
                                        typical activities.

2)     Subrecipient's federally negotiated F&A rate agreement or link (if changed since
        original submission) IF subrecipient is not part of the FDP Expanded
        Clearinghouse.

3)    The ORSP Grants Administrator will review and submit the information to
       the sponsor.

Post-Award (MUSC has received the award)

1)    The ORSP Grants Administrator & Departmental Administrator will
       review the award documents to ensure the Subawards Administrator
       has everything necessary to issue the subaward.

2)    If the subrecipient information has changed from the original application
       (e.g. the total award amount is reduced from the proposed budget), the
       ORSP Grants Administrator & Departmental Administrator will work
       together to complete new paperwork. Often this includes:

  a)  Receiving updated budgets & budget justifications with the
                     concurrence of the AOR for the subrecipient institution.

  b)  Revised Statement of Work if it has changed since the origina
                     submission. 

  c) Updating any necessary FCOI documentation (expires after one
                    year).

  d) Subrecipient IACUC/IRB Approvals:  Provided official approval is
                    not specifically required prior to executing the subaward
                    agreement, the subaward may be issued.

 3)      After compiling the subaward information, including any revisions, the
          ORSP Grants Administrator will forward the paperwork to the ORSP
          Subaward Administrator to draft the subaward documentation. The
          ORSP Subawards Administrator will share the draft subaward with the
          departmental contact for a final review of the dates, amounts/budget, etc.
          to ensure accuracy before ORSP transmits the agreement to the
          subawardee institution.

4)      The ORSP Subaward Administrator will perform a required risk
         assessment for each subaward, and if there is a risk concern identified,
         the ORSP Subaward Administrator will contact the department/PI to
         discuss additional monitoring to help mitigate any potential risk prior to
         finalizing the subaward.

  Note:  MUSC's typical subawardees are universities and are 'low
                risk', but when there is a need to mitigate potential risk, it could add
                to the time needed to finalize the subaward. Typically, entities that
                may not be as research-intensive in their primary business activities
                (e.g. local health clinic) will show a higher risk.

5)      Any subaward amendments (aka modifications) may require additional
         documentation, to be coordinated between Departmental & ORSP
         Administrators and given to Subaward Administrators to draft the
         amendment(s), then these are reviewed and forwarded to the
         subrecipient.

Progress Report/RPPR (MUSC, as the Pass-Through Entity (PTE) is reporting on previous year, and planning for next year)

1)   The departments will ensure all of the following documents are completed
      and uploaded as one combined file to the Cayuse SP Internal Processing
      Form (IPF):

  a)  Progress report submitted by an authorized institutional official of
                     the subrecipient 

  The PHS 2590 'Face Page' is the preferred format for
                                    Progress Reports:

       https://grants.nih.gov/grants/funding/2590/2590.htm

  b)  Itemized/detailed budget and budget justification for the
                     subrecipient's next budget period

  The PHS 2590 'Detailed Budget for Next Budget
                                    Period' & Form Page 6 'Checklist' is the preferred
                                    format:

       https://grants.nih.gov/grants/funding/2590/2590.htm

  c)  Statement of Work (updated as necessary, if changed from
                     original subaward period)

  d)  For NIH grants, the Annualized Effort will be required via the PHS
                     2590 'All Personnel Report':
                     
     https://grants.nih.gov/grants/funding/2590/2590.htm

  e)  Updated Other Support:  for all key personnel that lists both
                     Active & Completed support since either the JIT or previous
                     year's progress report was submitted

  f)  Biosketches/Other Support/Human Subjects training for any new
                    key personnel

  g)  Re-verify Conflict of Interest Documentation (required annually).

  i.  External Investigator Listing (external = non-MUSC)

         ii.  MUSC FCOI information and forms:  MUSC FCOI,
                                    MUSC FCOI Forms (on Horseshoe site) 

        iii.  If the subrecipient participates in the FDP FCOI
                                   Clearinghouse, upload a PDF of the certification
                                   to the IPF record.

  h)  Current IACUC/IRB Approvals

  i)  Re-verify Human Subjects Training Education (including GCP
                    training within the last three year if the project is a clinical trial)

  j)  Current F&A rate agreement or link, IF subrecipient is not part of
                    the FDP Expanded Clearinghouse

2)    When the continuation Award has been received by MUSC, ORSP will
       follow the Post-Award process as followed with a new award to prepare
       and issue an amendment/modification to an existing subaward, or a new
       subaward (depending on MUSC's award requirements).