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)
• Consultants versus subrecipient collaborators
• Vendors versus subrecipients 

Who starts the subrecipient agreement process? 

• After the award notice is received, the department submits a Subaward Request Form (SuRF) for each subrecipient, and the Subcontract Team in the Office of Research and Development drafts the subrecipient agreement(s)
  • To obtain a User ID and password for the Subaward Request Form, email Colin Hunter to request access. Provide the individual's name, email, phone, and campus unit name.
  • A printed copy of the form will need to be signed by the PI and then sent to ORD for official PI authorization of the action.
  • Instructions for the Subaward Request Form
• If the funds are not available in the Contractual Services line of UMB’s project budget, a budget modification form will be required to reallocate funds to this budget category
• If the proposed subrecipient organization was not part of the original proposal submitted to the Sponsor, approval from the Sponsor is usually required.
• If the proposed subrecipient is a foreign organization, the Subcontract Team will submit the proposed subaward for export control review and restricted party screening. 

What else do I have to submit to Office of Research and Development?

• Office of Research and Development requires a budget and scope of work for each subrecipient.  These items may match the proposal submission or may be updated.
  • A budget is also required for modifications that add dollars to the subrecipient agreement.
• Tell the Office of Research and Development about any special conditions or requirements to be included in the subrecipient agreement (additional reports, data, shared research materials, timetables, etc.)
• Office of Research and Development will need the subrecipient’s contact information (address, phone number, etc.)
• These items should all be included with the completed Subaward Request Form.

What documents are required from the subrecipient? 

• When applicable, Office of Research and Development will require
  • IRB or IACUC approvals
  • Human subject training certifications for all key personnel
  • Approval for use of select agents

What are the final steps in preparing the agreement?

• The agreement is sent to the subrecipient organization for signature, usually via email
• A subrecipient purchase order requisition is initiated
• If the Principal Investigator has signed the subaward request form, signature on the subrecipient agreement document itself will not be required.
• The agreement is signed in Office of Research and Development when all approvals are in place, then the fully executed agreeent is sent to the subrecipient with the assigned purchase order number

Will I receive a copy? 

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

How does the subrecipient get paid?

• The subrecipient submits an invoice, referencing the assigned 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.  The approval of the PI should be documented by the department before Receiving the invoice via eUMB
• The approved invoice is processed by Accounts Payable

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

• The PI will request changes using the Subaward Request Form.  Use this form to describe any changes that affect the subrecipient or the agreement.  Possible changes include:
  • Increase or reduction to the subrecipient’s budget
  • Change of subrecipient entity (e.g. due to transfer of subrecipient PI)
  • Change of Subrecipient PI
  • Carryforward of funds from one project year to the next
  • 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. 
• Some changes will require sponsor approval.  Requests to the sponsor should normally be initiated by the PI and signed off by the Office of Research and Development authorized official.
• Approved changes will be incorporated in a modification to the agreement issued by Office of Research and Development.

back to top