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A subaward may be needed if another organization is performing work on a sponsored program or project where Tufts is the prime award recipient. For example, a project where a Tufts Principal Investigator has received an NIH award, where some of the work of the project will be done by a colleague at Harvard. Subawards are needed if the collaborating organization will perform substantive programmatic work on the sponsored program or project. Both a tool and guidance are available to assist in determination of whether the relationship between Tufts and the collaborating organization should be classified as a subaward or a purchasing contract.

Additionally, Tufts often serves as a subawardee on sponsored projects managed by other entities.

Please note the following information for how best to set up a subaward. Scenario A an award to Tufts with a subreceipient, and Scenario B describes an award to another institution in which Tufts will receive a subaward.

A. When a Tufts Principal Investigator partners with another PI and institution to carry out a portion of a project awarded to Tufts, the following must be received from the collaborating institution and routed to Central Pre-Award along with the application package:

– A Budget that meets the sponsor’s requirements
– A Scope of Work describing the collaborating institution’s participation in the project
– A Statement of Intent signed by the subrecipient institution business official
– For Public Health Service (PHS) projects (which includes NIH awards), the subrecipient must certify that it is compliant with 42 CFR 50 Subpart F, Promoting Objectivity in Research. If the subrecipient certified their compliance in the Federal Demonstration Partnership Institutional Clearinghouse, it should be marked as compliant. If the subrecipient is not listed in the clearinghouse, they must fill out a FCOI Disclosure (non-Tufts) Form. This form must be signed by the non-Tufts PI and their Authorized Institutional Official. Subrecipient organizations that do not have financial conflict of interest (FCOI) policy that is compliant with the PHS regulations are subject to Tufts Financial Conflict of Interest in Research policy.

Additional time will likely be required at the subrecipient institution for their internal review and sign-off before inclusion in Tufts proposal. Please plan for this additional time prior to the deadline for Tufts internal approvals.

B. When Tufts is the subrecipient, the routing and approvals at the time of proposal submission must follow the internal proposal process via Research Administration System (RAS). It is recommended that Tufts PI also prepare and sign a letter of support expressing their intent to collaborate with the colleague(s) at the prime institution. Upon review and approval of the budget, budget justification, scope of work, and any other pertinent information, Pre-Award will issue the institutional statement of intent (or sign the statement of intent provided by the prime institution).

If either the subrecipient or the prime organization is a first-time collaborator with Tufts, the Pre-Award Signing Official will request that this organization would be authorized in Research Administration System (RAS).

Links and Resources

Annual Audit Request

Risk Assessment Questionnaire (RAQ)

Statement of Intent

Subrecipient Invoice Checklist

Subrecipient Monitoring Policy