What documents are required for a subrecipient?
Letter of Intent (LOI) - Provide the LOI for this cycle of the subrecipient’s funding. Please use the most updated version of the LOI as it has been updated to allow OSP to more accurately draft the subagreement.
Scope of Work (SOW) - Provide a SOW detailed and specific to the subrecipient. This should be a description a lay person can read and understand. The SOW should describe the tasks to be performed and any deliverables should be outlined clearly.
Budget - Provide the detailed budget for this year. If preferred, you may provide the full project period budget (or current competing cycle) as long as each year is identifiable. This document should match the funding amount. *The budget and/or budget justification should contain full names of personnel at the Subrecipient Organization for compliance review.
Budget Justification - Provide the budget justification that matches the attached detailed budget. If preferred, you may provide the full project period budget (or current competing cycle) as long as each year is identifiable. *The budget and/or budget justification should contain full names of personnel at the Subrecipient Organization for compliance review. |
Who is authorized to sign a subagreement for UNC?
Staff at OSP are signatories for the Vice Chancellor for Research, who is the only authorized official to sign subagreements. In certain cases there may be a request for the Principal Investigator (PI) to sign an agreement as a "read and understood", not as a party to the agreement. |
What documentation must be included for an amendment? What additional actions should be taken?
Subagreement: Amendment Guidance (PDF) |
Can I submit a subagreement request before a Project ID is created?
A subagreement cannot be issued until the prime agreement has been processed and a Project ID has been issued for the subrecipient. |
Why will a form not open?
It is a smart/dynamic form and has to be opened in Adobe Desktop as it cannot be opened in the browser. |
When is a Research Subjects and Data Transfer (RSDT) form required?
The RSDT is required for all initial subagreements. The RSDT is necessary if there will be human subjects or human data at any point during the life of the project. It is imperative that the Research Subjects and Data Transfer Form (PDF) (RSDT) be filled out completely and accurately by the PI or a member of the study team (Research Coordinator, Program Manager, Clinical Research Coordinator, etc.). Based on the responses on the RSDT, OSP will determine what (if any) data transfer terms are necessary, whether the terms can be included in the subagreement or if a separate Data Use Agreement (DUA) is required. If a DUA has been established, whether independently or as a master agreement, either the ALICE Record No. must be provided or the DUA must be attached. Please remember that it is an Adobe smart-form so must be opened in Adobe desktop rather than a browser, and that additional questions may pop up depending on the answers selected. |
When and why is a Data Use Agreement (DUA) is necessary?
If there is human subjects data being transferred between UNC and the subrecipient, it is imperative that the Research Subjects and Data Transfer Form (PDF) (RSDT) be filled out completely and accurately by the PI or a member of the study team. Based on the responses on the RSDT, OSP will determine what (if any) data transfer terms are necessary, whether the terms can be included in the subagreement or if a separate Data Use Agreement (DUA) is required. If a DUA has been established, whether independently or as a master agreement, either the ALICE Record No. must be provided or the DUA must be attached. |
When and why is a Material Transfer Agreement (MTA) is necessary?
When PIs want to send material to other institutions or companies, or receive materials from researchers at other institutions or companies, a Material Transfer Agreement (MTA) must be in place. The purpose of an MTA is to clarify how the materials may be used and define the rights and responsibilities of the provider and recipient regarding the use of the materials and any results that may arise from the use of the materials. To request an MTA submit an Material Transfer Agreement Request form (PDF) or to see when an MTA may be required see the OSP Contracting Agreements page. |
Which subagreements are eligible for multiple years?
Subagreements can be issued for multiple years when UNC’s prime agreement is received for multiple budget periods in one action. A key distinction is when the prime sponsor issues UNC annual notices of award to fund each budget period, subagreements in that situation would not be eligible and will continue to be issued annually. Foreign subagreements are also not eligible and will continue to be issued annually. |
Do subagreements have to be issued with the same budget period as UNC’s prime agreement?
No, Principal Investigators (PI) and Departments have the option to elect whether a subrecipient will receive the same budget period as UNC or if there is a concern, the PIs and Departments can request to shorten a budget period for a particular subrecipient. Consistent with current process of issuing outgoing subagreements, the OSP Contracting Officer must still review and approve all requests. |
What to do if there is a change to a Subrecipient PI?
1. Key Personnel
If the Subrecipient PI is listed a UNC key personnel, a Prior Approval Request (PDF) must be submitted to OSP (SponsoredPrograms@unc.edu) in advance of the PI change. Once the Sponsor has approved the change, Department will need to submit a request for a modification with the new PI"s effective date.
2. Non-key Personnel
If the Subrecipient PI is not listed as a UNC key personnel, Department will need to submit a request for a modification with the new PI"s effective date.
3. All Subrecipient PI under UNC's COI Policy
If the Subrecipient is subject to UNC"s Conflict of Interest (COI) policy  , an updated Subrecipient Conflict of Interest (PDF) form is required and must be signed by the Subrecipient"s Authorized Official. This form should be used to make any needed updates to subrecipient personnel subject to UNC’S COI. The new personnel will be added to RAMSeS and an automated email requesting COI actions will be generated and sent to the new personnel referencing the new role. The subagreement cannot be fully executed until COI is completed. |
What if the Subrecipient PI moves to another institution and the grant follows?
A Prior Approval Request (PDF) must be submitted to OSP (SponsoredPrograms@unc.edu) in advance of the subagreement transfer. The SPS will help to determine if Sponsor prior approval is required. Once all approvals are obtained, the SPS will set up a new Project ID and an initial subagreement will need to be issued to the new entity. |
If the Subrecipient indicates that their name has changed, what do I do?
Ask for a copy of their new W9, if their EIN has changed and if they have additional supporting documentation. If there is no change in EIN, the department should submit a supplier update with new W9 showing the new name to be updated for the campus supplier in ConnectCarolina. If the subrecipient has a new EIN, the Department needs to create a new supplier record. All documents required for new vendor creation must be submitted, and the existing supplier record must be deactivated. Email vendor_coordinator@unc.edu to let them know to deactivate the supplier with a note as to what supplier record replaces it. The Vendor Coordinator will add a note in the system to use new supplier record once it has been created. |
How is a new subrecipient set up as a supplier (vendor)?
Becoming a Vendor with UNC-Chapel Hill |
For a subagreement amendment, when can the Contracting Officer move funds and when is a Budget Revision required?
If the only account codes involved are 569461, 569486, 559000, or 568795 the Contracting Officers (CO) can process the request; any other account codes means that the Budget Revision (PDF) (BR) needs to be submitted to SponsoredPrograms@unc.edu for the SPS to process. |
What are the different types of funding actions?
Change in Funding: Can encompass any of the following: New/ Additional funding, Authorizing Carryover, or a Deobligation in funding, as well as any combination of this.
New/Additional Funding: When UNC is issuing new and/or additional funding to the subrecipient from UNC"s Prime Award. This includes UNC carryover that has NOT been previously obligated to this subrecipient.
Carryover Funding: When a subrecipient has funds remaining that were obligated in a prior budget period where carryover is not automatic and requests authorization to utilize those funds in the current budget period. This does NOT include UNC carryover that is being obligated to the subrecipient for the first time, only carryover that was previously obligated to this subrecipient.
De-obligation: Removal of funds from Subrecipient"s budget. |
How to request/authorize carryover for the Prime Award?
Submit a Prior Approval Request (PDF) form to SponsoredPrograms@unc.edu for your SPS to review. |
What is required for the subrecipient budget?
The subrecipient budget has to match the budget in ConnectCarolina and cannot include UNC indirects. Only funding being obligated to the subagreement for that specific budget period should be included or it should be clear what portion of the budget is being obligated this action. The budget document should be a clear line-item portrayal of costs relating to the science of the project and should clearly reflect the costs to complete the Scope of Work. Ensure the budget matches the anticipated payment method, i.e., fixed price, per patient, cost reimbursable. Budget expenses should be allowable, necessary, allocable, reasonable, and consistent. Verify budget and justification to ensure that the calculations are accurate and the documents match. Note that budgets should be broken out for each year of the project. |
When can I request a cash advance for a subrecipient?
For a foreign subrecipient or community collaborator, you can request a cash advance up to 25% without a justification, 25.1% and greater require a written justification that will be reviewed by OSP leadership. A cash advance can be requested for each subsequent action. If your subrecipient does not fall into the category of foreign or community collaborator and you have questions regarding this method, please email a description of your situation to OSPSubs@unc.edu for OSP leadership"s review. |
What is the difference between obligated and authorized funding?
Upon the issuance of an Notice of Award (NoA) or the execution of agreement or subagreement, an obligation is incurred to set aside funds for the payment of work as outlined in the agreement. Sometimes the amount authorized and the amount obligated are the same. However, that is not always the case, especially when Pass-Thru-Entities (PTE) are unable to authorize the full or partial amount of carryover requests from one budget period to the next. An amount is authorized when the awarding agency or PTE gives permission to spend a specific dollar amount during a specific timeframe of the amount that was obligated. |
Why were my vouchers rejected as not available?
The subagreement for that budget period has to be fully executed before invoices can be posted. |
The subagreement is in process, when will the funds be uploaded into ConnectCarolina?
Once the subagreement or amendment is fully executed, it will be processed through the system and will be available after that. |
Why are audits completed annually for subrecipients?
Per 2 CFR §200.331 - Requirements for Pass-through Entities any pass through entity must monitor subrecipients according to the outlined requirements. |
Why is the subagreement pending Conflict of Interest (COI)?
For subrecipients under projects funded by National Science Foundation (NSF) or a Public Health Safety (PHS) agency, we are required to ensure COI is clear prior to executing an agreement. A Subrecipient COI Form (PDF) is collected at the initial agreement and at any time a change in subrecipient personnel occurs. All subrecipient personnel listed on the COI form receive an email with links for COI training and COI disclosure (as applicable) and both must be completed before the subagreement can be fully executed. The links sent to the subrecipient personnel do not expire. If there is an issue accessing the link or if the email request was not received, the subrecipient should contact OSPSubs@unc.edu to investigate further. If the subrecipient has questions regarding the COI links, please contact COI@unc.edu. |
Are Federal Demonstration Partnership (FDP) members automatically compliant with UNC and sponsor policies?
FDP membership does not ensure compliance to sponsor or UNC policies, but provides access to a repository of organizational profiles to help reduce administrative burden when subrecipient documentation is needed. Each member"s organizational profile includes the most recent Single Audit, F&A and fringe benefit rate information, certification regarding PHS Financial COI policy compliance, Federal Identifiers and other compliance-related information. |
Why does UNC have to complete compliance requirements?
As the recipient of the sponsor"s funds, we are responsible for ensuring appropriate use of those funds in accordance with the approved SOW. That entails monitoring any funds issued to a third party. |
What do you need to issue a subagreement for a deobligation?
If the subrecipient requires a formal deobligation or if the deobligation is for a budget period within the project, then the request must include communication with the subrecipient acknowledging their confirmation that funds are being deobligated. If we have received and paid the final invoice (identified as the final invoice), we are no longer contractually obligated to that subrecipient and the deobligation can be completed with a budget revision to the SPS unless: we have received an invoice for the final budget period that was not marked final and we are past the final invoice due date from the subagreement; we are past the final invoice due date from the subagreement and the PI/ department do not expect any further invoices or; the PI/ department has communication from the subrecipient that there will not be further invoices. |
Can we issue the subagreement for a longer budget period?
No, the subagreement end date cannot go beyond the prime budget period date. |
Can we issue the subagreement for a shorter budget period than the prime award?
Yes, PIs and Departments have the option to elect whether a subrecipient will receive the same budget period as UNC or if there is a concern, the PIs and Departments can request to shorten a budget period for a particular subrecipient. Consistent with current process of issuing outgoing subagreements, the OSP Contracting Officer must still review and approve all requests. |
I received a notification about closeout for my subrecipient, what do I do?
If you would like extend the subagreement and the Prime agreement is or will be active, you will need an amendment for that subagreement. If you are not extending the subagreement and you are trying to move funding from the subrecipient, you would need to do a Budget Revision with your SPS. If you are asking for general closeout, that is handled by the closeout team who receive automated emails from the system. If you have additional questions, you can reach out to your Sponsored Projects Accountant. |
How do I terminate a subagreement?
Confirm the prime sponsor is aware of the change, confirm if there is a change in SOW with the subrecipient being dropped, contact your SPS regarding sponsor terms and conditions as well as any applicable budget revisions; confirm nothing further is needed by the prime sponsor. Then notify OSPsubs@unc.edu to request a termination. |
What if the Subrecipient requests a termination?
Confirm the prime sponsor is aware of the change, confirm if there is a change in SOW with the subrecipient being dropped, contact your SPS regarding sponsor terms and conditions as well as any applicable budget revisions; confirm nothing further is needed by the prime sponsor. Then notify OSPsubs@unc.edu to request a termination. |