Subawards

Navigate process and compliance for research collaborations under your project.

Researcher in lab

Leverage specialized expertise for seamless subawards

A subaward is a formal agreement issued by the University of Mississippi to another organization, enabling that organization to carry out a specific portion of a sponsored research project. These partnerships allow resources and expertise to be shared effectively to achieve the goals of complex research initiatives.

Managing subawards involves navigating compliance requirements, drafting agreements, monitoring performance, and ensuring accountability. These responsibilities require specialized knowledge to meet funding requirements and sponsor expectations while maintaining efficiency.

Our team works with you to simplify the complexities of subaward management, so that you can focus on your work and stay in compliance.

Submitting subawards for approval

To ensure subawards are compliant and ready for execution, all agreements must go through an internal review and approval process. This ensures alignment with university policies, funding requirements, and sponsor guidelines. Here are the steps:

Determine the Correct Classification

You must complete the Checklist for Determination of Subrecipient or Contractor and submit it with your proposal. This step helps determine whether the organization should be classified as a subrecipient or a contractor, which affects budgeting and the application of indirect costs (F&A).

Note: Indirect costs are applied only to the first $25,000 of a subaward but may not extend to a contract agreement.

Prepare and Submit the Required Documentation

All researchers are required to complete the Request to Issue Subaward form. This form is usually completed after the sponsor has notified the researcher that the award has been approved. It is the researcher’s responsibility to initiate the creation of the subaward by completing the form. Once the form is completed, upload the form and these items using a SPAN form:

• Statement of work
• Budget
• Budget Justification
Subrecipient Commitment Form 

If the subaward was included in an original proposal submitted to SPA pre-award, you should have already provided this information with your Transmittal.

In some scenarios, the sponsor will require documentation beyond what is listed above. Any compliance aspect to the subaward, such as export control, human subject research, animal subjects, conflicts of interest, etc. must be addressed pursuant to UM policies and procedures before the subaward can be issued.

If you have questions, contact subawards@olemiss.edu.

Allow for Internal Review

ORED will review the documentation to confirm compliance with university and sponsor requirements.

Any revisions or additional information required will be communicated to the PI.

Issue the Subaward

Once the SPAN form and applicable attachements are received by ORED and processed, our staff will prepare the subaward, ensuring alignment with sponsor guidelines and UM policies, and negotiate terms with the subrecipient. Subrecipients must return a partially executed copy, along with supporting documents, to subawards@olemiss.edu for countersignature by the Vice Chancellor for Research and Economic Development or designee.

Once the subaward is fully executed, ORED creates a purchase requisition in the UM SAP system to encumber funds. A purchase order is generated by Procurement (for encumbrance purposes only) and shared with the PI along with the finalized subaward.  The Purchase Order is never shared with the subrecipient.

Your responsibility for subawards

As the Principal Investigator (PI) or Project Director (PD), you play a vital role in ensuring that subrecipients adhere to the terms of their subaward agreement. This includes oversight of their work, maintaining compliance with sponsor guidelines, and facilitating timely payments. Below are your key responsibilities:

  • Submission of Invoices: Subrecipients must submit invoices according to the schedule outlined in the subaward agreement.
  • Invoice Content: Invoices must include:
    • The UM subaward reference number (e.g. XX-XX-XXX)
    • Period of performance covered by the invoice.
    • A breakdown of current and cumulative costs by major budget category.
    • Supporting documentation for any expenses, if required.
  • PI Review: The PI must verify that:
    • Costs align with the approved budget.
    • Work completed matches the progress outlined in the scope of work.
  • Approval Process: Once approved by the PI, invoices must be sent to Accounts Payable for payment processing: payables@olemiss.edu 

Performance Reviews: Regularly review progress reports and deliverables to ensure the subrecipient is meeting their objectives.

Site Visits: Conduct site visits as appropriate to observe work firsthand and verify adherence to project requirements.

Compliance: Confirm that the subrecipient complies with all regulatory and funding agency requirements, such as:

Documentation: Retain all records, including progress reports, correspondence, and site visit notes, for potential audits.

Invoice Approval: After confirming accuracy and completeness, ORED personnel will attach and sign an approved Certification for Payments to be Made under a Subaward form and forward the certificate and invoice to the PI/PD for approval. You will then forward approved invoices to Accounts Payable for processing: payables@olemiss.edu

Processing Timeline: Payments must be issued in a timely manner to avoid disruption of subrecipient operations.

Retention of Records: Maintain copies of all approved invoices and payment records for auditing purposes.

Immediate Action: If a subrecipient fails to meet obligations or violates compliance requirements, the PI must notify ORED immediately.

Corrective Plans: Work with ORED to develop corrective action plans, ensuring the subrecipient can address deficiencies promptly.

Escalation: In cases of serious non-compliance, ORED may recommend termination of the subaward.

Internal subawards

Research projects often require collaboration across departments or campuses to leverage specialized expertise. In these cases, internal subawards can be issued from the main PI to other researchers within the university system to facilitate collaboration and ensure proper allocation of resources.

When to Use an Internal Subaward

An internal subaward is appropriate when:

  • The project involves significant contributions from other researchers within the university system.
    Additional expertise or resources from other departments, schools, or campuses are required to achieve the project’s objectives.
  • The collaboration involves transferring a portion of the project’s budget to support the work of the internal collaborator.

How to Set Up an Internal Subaward

To initiate an internal subaward, the main PI must complete the Request to Issue Subaward form and submit it to ORED for review and approval.

Subawards forms

Managing subawards at the University of Mississippi requires specific forms based on the nature of the agreement and the entities involved. Visit our Forms page for a list of more forms.

This form is used to classify external entities as either subrecipients or contractors, which impacts budgeting and compliance requirements. It is required at the proposal stage for all for-profit entities. 

Checklist for Determination of Subrecipient or Contractor

This form confirms the subrecipient’s acceptance of the subaward terms and includes essential certifications, such as conflict-of-interest disclosures. It must be completed for all external subawards before the agreement is issued. 

Subrecipient Commitment Form

This form is used to initiate or modify a subaward agreement. It must be submitted to ORED along with the subrecipient’s budget and scope of work after sponsor approval to ensure proper processing. 

Request to Issue Subcontract/Subcontract Modification

This form is required to document and certify payments made under a subcontract. It ensures that all payments align with the approved budget and are consistent with the terms of the subaward.  

Certification for Payments under Subcontract

This checklist outlines the roles and responsibilities of the UM Principal Investigator (PI) and ORED with regard to subawards on sponsored programs. It serves as a guide to ensure each party fulfills their obligations during the lifecycle of the subaward. 

Subaward Checklist

This form is required at the conclusion of a subcontract. It confirms that all deliverables have been met, all invoices have been processed, and the subaward has been completed in accordance with the agreement. 

Subcontract Close-Out Certification

Federal and UM Guidelines

Commonly asked questions

A subaward is appropriate when:

  • The scope of work requires the use of the subrecipient’s facilities, employees, or resources.
  • The subrecipient contributes substantively to the scholarly or scientific conduct of the project and has responsibility for programmatic decision-making.
  • The subrecipient is responsible for adhering to federal program compliance and performance requirements and is measured against the objectives of the federal program.
  • The subrecipient brings unique knowledge and expertise to the project and conducts the work independently, with only general technical direction or coordination from UM’s Principal Investigator (PI).
  • The subrecipient uses the subaward funds to carry out a program of their organization rather than providing goods or services to complete a program solely for UM’s benefit (e.g., routine testing services or equipment purchases).

 

A subaward is not appropriate if:
  • The agreement involves providing goods or services within normal business operations.
  • The organization or business provides similar goods or services to multiple purchasers.
  • The organization operates in a competitive environment for the goods or services to be procured.
  • Providing goods or services is ancillary to the operations of the funding agency.
  • The organization or business is not subject to the requirements of the funding agency.

To determine whether an institution should be classified as a subrecipient or contractor, use the Checklist for Determination of Subrecipient or Contractor.

If a subaward is not appropriate, contact the UM Office of Procurement Services for guidance on how to purchase the goods or services.

Incoming subawards, where the University of Mississippi is the subrecipient of funds from another institution, are managed in the same way as any other research award. This includes compliance with sponsor guidelines, budget management, and adherence to university policies throughout the project lifecycle.