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A subrecipient agreement, commonly known as a subaward, is a portion of an award that is distributed to a third party (subrecipient) by the recipient of the original award to conduct a portion of the project work that is a collaborative or a substantive contribution to the project.
The department begins the process by submitting a Subaward Request for each subrecipient. The process can be started after UMB receives the award notice and a Project ID has been set up. Sponsored Programs Administration (SPA) drafts the subaward based on the Subaward Request.
Before a subaward can be issued, however, the department and SPA will ensure that the statement of work reflects the work of a subrecipient. Vendor and consultant agreements are issued by the procurement office (Strategic Sourcing and Acquisition Services)
If the proposed subaward was not part of the original proposal submitted to the sponsor, prior approval from the sponsor is usually required before UMB issues the subaward.
Information needed for the Subaward Request includes:
- Subaward start and end dates. Usually these dates will match the budget period of UMB's award.
- Budget. Use the Budget template for subaward request. A budget is required for new subawards and for modifications that add dollars to the subaward.
- Scope of Work. This document should describe, with a reasonable amount of detail, what the subrecipient investigators will do for the project. Statement of Work template
- Any special conditions or requirements to be included in the subaward. Examples: additional reports, data, shared research materials, timetables. Include these in the Comments section of the form.
- Commitment form: Is the proposed subrecipient on this list of FDP Clearinghouse participating organizations?
Subrecipients are listed in the Organization look-up in Kuali Coeus. The Organization look-up is in Kuali Coeus, Maintenance tab, left column. Click on Organization, then enter the subrecipient name in the Organization Name field, using asterisks for a wildcard search. Example: *hopkins*
- If the subrecipient is not yet in the Kuali Coeus Organization look-up, submit an Address Request to add this new subrecipient to Kuali Coeus.
- Subrecipient's DUNS number is required if funding is federal. If the organization does not yet have a DUNS number, please direct that organization to: http://fedgov.dnb.com/webform
- EIN number (federal tax ID number) must be provided for U.S. subrecipients.
Subrecipient Principal Investigator and Administrative Contact(s)
Contact information for the subrecipient investigator and the subrecipient administrative contact(s) is needed to complete and send the subaward.
- The Kuali Coeus Address Book look-up is in Kuali Coeus, Unit tab, right column under Quicklinks.
- If the individual is not yet in the Kuali Coeus Address Book, submit an Address Request.
When applicable, SPA will require:
- IRB or IACUC approvals.
- Human subject training certifications for all key personnel.
- Approval for use of select agents.
- For NIH-funded projects, Financial Conflict of Interest (FCOI) certifications for all key personnel.
- When the prime sponsor is federal, subrecipient's DUNS number is required in order for UMB's reports to the federal government. If the subrecipient does not yet have a DUNS number, please direct that organization to: http://fedgov.dnb.com/webform
The department processes the subaward purchase order requisition:
Full Instructions, Subaward Procurement Requisition
Quick Check, Subaward Procurement Requisition
The agreement is signed in SPA when all approvals are in place and the purchase order number has been assigned.
- The Subaward Request will be verified and authorized by the PI via email.
- If the proposed subrecipient is a foreign organization, the SPA team will submit the proposed subaward for export compliance review before finalizing the agreement.
- The agreement is sent to the subrecipient for signature, usually via email.
- The agreement is signed in SPA when all approvals are in place and the purchase order number has been assigned.
- The fully executed agreement is sent to the subrecipient with the assigned purchase order number.
- After full execution, a copy is sent to the PI as well as to Procurement and Accounts Payable.
- SPA informs the subrecipient of the purchase order number
- The subrecipient submits an invoice, referencing the assigned purchase order number
- Invoices are processed by Accounts Payable
- Review each invoice to confirm that subrecipient has performed the work and that the charges are reasonable, allowable, and within budget. Subrecipient Monitoring Invoice Checklist
- Document the PI's review and approval of each invoice. For example, the PI could confirm to the department administrator via email that the subrecipient has made progress in the project work, completed milestones (describe), or submitted data and/or reports.
Monitor your subrecipient to ensure that they are invoicing regularly and timely.
Monitor your subrecipient to ensure that progress is being made. Document the progress and completion of project work: keep records of telephone calls, meetings, emails, reports, deliverables, and compliance requirements (such as IRB approvals).
As part of the invoice review, compare the effort reported by key persons with the approved (awarded) effort to ensure that the effort commitment is met. The effort should be reasonable for the progress made. If there is a "disconnect", follow up with your subrecipient contacts to work through the issue.
If the subrecipient is not performing or has not submitted required reports, notify Accounts Payable and your SPA Team to delay future payments until the issue is resolved. Document the issue and related communications.
The department requests changes to the subaward using the Subaward Request. Possible changes include:
- Add continuation year funding (increase and extend)
- Increase or reduce the subrecipient’s budget
- Change of Subrecipient PI
- Carry over funds from one project year to the next
- Early termination of the subaward
- Change of subrecipient (e.g., due to transfer of subrecipient PI)
- Extension of agreement (The term of the subaward cannot be extended beyond that of UMB's award.)
Approved changes will be incorporated in a modification to the subaward issued by SPA.
Some changes require sponsor approval. When required, sponsor approval must be obtained before the subaward can be modified. Requests for sponsor approval are initiated by the PI and signed off by the SPA authorized official.
Requests from the subrecipient regarding changes to the agreement will be forwarded to the UMB PI for review and approval.
In the Subaward Request
- Identify the change(s)
- Include updated approvals (human subjects, animals) and certifications when applicable
- Upload a budget for any increase to the subrecipient's budget
- When applicable, provide an updated scope of work and/or reporting requirements
The Subaward Request will be verified and authorized by the PI via email.
Changes to the purchase order:
The department must process approved changes to the purchase order when required.
Full Instructions, Subaward Procurement Requisition
Quick Check, Subaward Procurement Requisition
A subaward should be closed out at the end of the project, after all technical reports or other deliverables have been completed by the subrecipient, and after the subrecipient's final invoice has been paid. The steps to close out a subaward should also be taken if a subaward is terminated early, before the end date in a signed agreement.
Your SPA Team may request that you complete the form, PI Subaward Closeout Authorization
For closeout, the following items are needed:
- Within 30-45 days after the end of the budget period, the subrecipient must submit an invoice marked as "Final". The PI should approve this final invoice for payment only if all the required reports and deliverables have been received from the subrecipient.
- The department administrator should ensure that payment of the final invoice expense has been posted in RAVEN. Email Procurement Services (and copy your SPA Team) to have any remaining balance of the subrecipient purchase order disencumbered.
- The final invention report to the sponsor must include any inventions first conceived or first reduced to practice by the subrecipient personnel under the subaward.
- If UMB and the subrecipient entered into any material transfer agreement (MTA) related to the subaward, review the MTA to determine if the exchange of materials is still needed or should be ended. Contact the Center for Clinical Trials and Corporate Contracts for assistance.
- Your SPA Team will request any other documents that may be required from the subrecipient for closeout.
Subaward Manual Appendix A - Federal contract clauses
Subaward Manual Appendix B - Matrix of Uniform Guidance applicability
Subaward Manual Appendix C - Certificate of Current Cost or Pricing Data
Subaward Manual Appendix D - A brief explanation of how subaward are numbered
Subaward Manual Appendix E - Contractor's Assignment form for subaward close-out
Subaward Manual Appendix F - Subaward Close-out Authorization Form for completion by the UMB Principal Investigator
Collaborator Roles (Subrecipient, Consultant, Vendor, Other Significant Contributor)