PROCESS FOR ISSUING OUTGOING SUBRECIPIENT AGREEMENTS

What is a “subrecipient”? 

• When UMB has an award from a Sponsor and a third party will perform substantive work based on the award to UMB, the third party is the “subrecipient”.  The document between UMB and the subrecipient is the subrecipient agreement (also known as a consortium agreement, a subcontract, or a subaward)
• Vendors and subrecipients are different. 

Who starts the subrecipient process? 

• After the award notice is received, ORD identifies the subrecipient(s) and drafts the subrecipient agreement(s)
• If the funds are not available in the Contractual Services line of UMB’s project budget, a budget modification form will be requested from the PI to reallocate funds
• If the proposed subrecipient organization was not part of the original proposal submitted to the Sponsor, approval from the Sponsor is usually required.

Do I have to send anything to ORD?

• ORD requires a budget and scope of work for each subrecipient.  If these documents exist in the ORD file, PI will be asked to verify that the information is current and correct.
• Tell ORD about any special conditions or requirements to be included in the subrecipient agreement (additional reports, data, shared research materials, timetables, etc.)
• ORD will need the subrecipient’s contact information (address, phone number, etc.)

What documents are required from the subrecipient? 

• When applicable, ORD will require
  • IRB or IACUC approvals
  • Human subject training certifications for all key personnel

What is the final step in preparing the agreement?

• The terms are finalized and the agreement is prepared within 10 business days after verification or receipt of scope of work and budget
• The PI signs the final version before it is sent to the subrecipient
• A purchase order number is issued
• The agreement is signed in ORD when all approvals are in place, then it is sent to the subrecipient

Will I receive a copy? 

• After full execution, a copy is sent to the PI as well as to Accounts Payable
   

How does the subrecipient get paid?

• The subrecipient submits an invoice, referencing the purchase order number
• The PI reviews the invoice and approves for payment ONLY IF the subrecipient has performed the work and the charges are reasonable and within budget. PI signature on the invoice denotes approval.
•  The approved invoice is returned to Accounts Payable for processing

What if I need to change something about the subrecipient agreement? 

• The PI needs to make a request in writing (e-mail or memo) for any changes affecting the subrecipient or the subrecipient agreement.  Possible changes include:
  • Increase or reduction to the subrecipient’s budget
  • Change of subrecipient entity (e.g. due to transfer of subrecipient PI)
  • Early termination of the subrecipient agreement
• Requests from the subrecipient entity/PI for changes to the agreement will be forwarded to the UM PI for review.  Commonly requested changes include:
  • Change to the subrecipient budget
  • Change of subrecipient PI
  • Carryforward of funds from one project year to the next
• Some changes will require Sponsor approval.  ORD may request that the PI initiate the request to the Sponsor.  This letter would be signed by the PI and by an ORD official
• Approved changes will be incorporated in a modification to the agreement

back to top