Subagreement Initiation Portal Guidance (SIP)
SIP is an online form designed to streamline the process for requesting Subagreements actions and improve their timely execution. SIP provides a one-stop shop to Initiate a Subagreement, Amend an Existing Subagreement, or Respond to Additional Info/Document Requests pertaining to subagreements. Effective October 16, 2019, all new requests for a subagreement will need to be communicated and submitted via SIP.
When a new PS Project ID has been issued, this requires submitting the form to initiate a Subagreement. In most cases, this occurs from the following scenarios:
- Initial year of funding to a subrecipient
- Supplemental funding that is required to be managed separately
- Subrecipient had a break in the period of performance
Please complete the SIP Questionnaire below to get started with your submission.
Request an amendment when issuing changes to an existing subagreement. Common scenarios to request amendments in SIP:
- New Funding for Subrecipient
- Additional funding for the current budget period
- Changes to scope of work
- Carry-forward to subrecipient from their previous budget period when sponsor prior approval is not needed
- De-obligation of funds from the subrecipient
- Early termination of subagreement
- Change of subrecipient Principal Investigator when sponsor prior approval is not required
- Extension of performance without additional funds (ex: an initial no-cost extension when sponsor prior approval is not required)
- Administrative or corrective amendments, etc.
Please note that submitting an amendment request in SIP does not supersede OSR’s established process for requesting sponsor prior approval (PAR). Additionally, in cases where a change in subrecipient PI or carryover request has been requested via PAR, no action will be needed in SIP by the department.
Please complete the SIP Questionnaire below to get started with your submission.
All additional documentation must be sent through the SIP. Documents emailed to SPS or uploaded to RAMSeS will not be accepted. Submit additional information when:
- Requested by the Sponsored Projects Specialist
- There is a change in project or subrecipient administrative information
Budget Justifications are no longer required for ALL applicable amendment requests
If a budget justification is required by the sponsor, then it must be included.
New Instructions tab incorporated into all forms
There are now detailed instructions pertaining to each field in the forms that is accessible in each form.
Initiate a Subagreement vs. Amend an Existing Subagreement
Currently, full agreements are drafted for all subawards that receive a new project ID each year. The prime award on these projects typically does not award automatic carryover.
Any additional year(s) of funding, even if a new PS Project ID has been issued, will now go through the Amendment SIP form.
Additional Information for Data Use Agreements (DUA)
The Data Use Agreement (DUA) is a necessary component of the Federal Demonstration Partnership (FDP) template when data is being transferred and an independent or Master DUA has not been established. If there is an established DUA, either the ALICE Record No. is required or the DUA must be attached.
Updated Human Research Subjects’ Information
The Federal Demonstration Partnership (FDP) has required additional IRB information that needs to be incorporated in the draft agreements to the subrecipient in regard to the single IRBs and IRB holders.
Departments will be asked to upload all subaward attachments for new agreements and amendments. This will allow for the departments to ensure that the appropriate subagreement documentation is included in the subrecipient’s agreement which will reduce the margin of error and reduce additional administrative burden for all parties involved, ensuring that the research is able to move forward in a more timely manner.
New fields in Amendment – New/Additional Funding and Carryover
There are now separate fields to indicate either New/Additional Funding and/or Carryover Funding to add clarity to the difference of these types of funding.
- Department completes and submits SIP request (the preparer of the form will receive a confirmation email with details of the submission)
- Completed SIP form routes to ResAdminOSR@unc.edu and will be assigned in RAM Tracker to appropriate Sponsored Projects Specialist (SPS)
- SPS reviews all documentation before forwarding request to Subaward Specialist (SAS)
- SAS will review the request and proceed to draft, submit, and execute the subagreement or amendment
*If all necessary documentation/info isn’t received, the department will be notified by the SPS to submit additional info via SIP and the RAM Tracker will be placed on hold until the additional info request is submitted in SIP.
Matrix of Required Documents for Outgoing Subagreement Requests
NOTE: Outgoing subagreements are NOT processed for projects on Financial Guarantee / Letter of Credit (LOG).
|Transaction Type||Detailed Budget||Budget Justification||Scope of Work (SOW)||Prime Award||Sponsor Prior Approval||Letter of Intent (LOI)/Facepage||UNC PI
|Additional Terms and Conditions||●|
|Carryover and Additional Funds||●||✓||●||●|
|Change in Budget||●||✓||✓||●|
|Change in PI||✓||●|
|Change in UNC PI||✓|
|Change in Scope of Work (SOW)||●||●||●|
|Deobligation of Funds and Early Termination||✓||●|
|Deobligation of Funds without|
|Early Termination without|
|Break in Period of Performance||●||●||●||●||●|
|● = Requirement to issue draft agreement.
✓ = Required only if Sponsor Approval is needed for action.
|* For deobligation amendments, additional documentation needs to be provided acknowledging subrecipient’s confirmation of forthcoming deobligation. Deobligation amendments may require a revised budget and budget justification dependent upon Prime Sponsor requirements.|
|Helpful Tips for Review:
- Streamlines the process for requesting subagreements
- Provides efficient communications with OSR on subagreements as many questions that require follow-up are asked in the portal
- Gives campus users more control in the subagreement process
- Improves timely execution of subagreements
- Additional email reminders from RAMSeS and RAMTracker pertaining to subagreements both to be processed or in process.
- What is the Subagreement Initiation Portal (SIP)?
- Who is responsible for issuing Subagreements?
- How do I submit a request for a Subagreement or amendment?
- What is the SIP process?
- What actions may be completed via SIP?
- How do I provide Research Subject and Data Transfer Information?
- Funding to Subrecipients is issued for one year at a time. If the sponsor provides us with funding for more than a year, how do I handle SIP submittals?
- What is the SIP Questionnaire?
- Can I send the SIP emails to a shared inbox?
- Can I save and return later to finish SIP?
- What do I do if I need to revise a SIP form that I have already submitted?
- What do I use the Additional Comments section for?
- What emails will I receive for managing subagreements?
- How do I check the status of a Subagreement?
- What is the Subrecipient Commitment Form (SRCF)?
- Can I submit a request for a subagreement Letter of Guarantee through SIP?
- How do I receive help for Subagreement Initiation Portal (SIP) questions?
What is the Subagreement Initiation Portal (SIP)?
SIP is an online tool used for initiating and amending subagreements issued to UNC’s subrecipients.
Who is responsible for issuing Subagreements?
The Subaward team within OSR’s Research Administration unit is responsible for negotiating and signing all outgoing subagreements and amendments.
How do I submit a request for a Subagreement or amendment?
Requests to initiate and amend subagreements will need to be submitted via the Subagreement Initiation Portal (SIP).
What is the SIP process?
- Department completes and submits SIP request
- Completed SIP form routes to ResAminOSR@unc.edu and is assigned to the appropriate SPS
- SPS reviews all documentation before forwarding request to the Subaward Manager (SAM)
*If all necessary documentation isn’t received or additional documentation is needed, the department will be notified by email to submit additional information via SIP and the transaction will be placed on hold by the SPS until requested information is received
- The SAM will review to confirm all documentation is attached and move to Subaward Specialist (SAS).
- The SAS will complete a final review of the documents and complete all Compliance requirements. They will then proceed to draft, issue, and execute the subagreement or amendment.
What actions may be completed via SIP?
- Subagreements or Amendments with a new project ID
- Amendments with existing project IDs
- Submission of additional documentation requested by SPS or SAS
How do I provide Research Subject and Data Transfer Information?
There will be a series of questions pertaining to Research Subjects and Data Use information, which can be completed in the online form or via fillable PDF form.
Funding to Subrecipients is issued for one year at a time. If the sponsor provides us with funding for more than a year, how do I handle SIP submittals?
For Year 1, you may send the full project budget and justification, however, we will require budget information each year in order to issue the subagreement or amendment to ensure we capture any budget or staff changes.
What is the SIP Questionnaire?
A group of initial questions which will direct the user to the appropriate subagreement action and form.
Can I send the SIP emails to a shared inbox?
Yes, in the “Submitter Email” field, for initial subagreements or amendments, you can enter the shared inbox email address for your department.
Can I save and return later to finish SIP?
Yes, for all SIP actions there is an option to “Save and Continue Later”. When selected, a link will be sent to the entered email that is good for thirty (30) days. You may also extend the time period by returning to that link to update the form at any time prior to the end of the 30 days.
What do I do if I need to revise a SIP form that I have already submitted?
Please make the needed changes within the confirmation email that you received and send it to ResAdminOSR@unc.edu. DO NOT create a new SIP form to make revisions.
What do I use the Additional Comments section for?
You may use the additional comments field if there are unique terms and conditions that need to be included in the agreement or amendment. Requests such as a cash advance being issued up front, or if specific information is needed to issue the subagreement, such as with international agreements, can also be identified in this box. You may also add anything to clarify responses on the form that will help the SAS in issuing the agreement or amendment. The SAS will review and determine if the terms and conditions requested are appropriate
What emails will I receive for managing subagreements?
- Establishment of new PS project IDs
- Reminders every ten (10) calendar days that the RAM Tracker status is “SIP Review – Pending Department”
- Reminders from RAMSeS thirty (30) days prior to budget end date
How do I check the status of a Subagreement?
All Subagreements are tracked via RAM Tracker which is the workflow management tool for OSR. You may view the status of your subagreements within the RAM Tracker Transparency tool. Please see RAM Tracker Transparency guidance for more information.
What is the Subrecipient Commitment Form (SRCF)?
This is a form that all subrecipients must complete during the issuance of a subagreement or amendment, usually on an annual basis. This form helps the SAS determine the subrecipients’ risk factor and will help the audit team to determine if additional terms and conditions need to be addressed within the subagreement. For FDP Expanded Clearinghouse Members, the SRCF is a project specific questionnaire centered around research subjects and conflict of interest.
Can I submit a request for a subagreement Letter of Guarantee through SIP?
No. Letter of Guarantees are issued for prime projects but not subagreements. A notice of award has to be accepted before funds can be committed to a subrecipient.
How do I receive help for Subagreement Initiation Portal (SIP) questions?
Please email ResAdminOSR@unc.edu with any questions about SIP. For detailed assistance on using SIP please visit our SIP Help / Training section. For specific subagreement questions, email your departments Sponsored Projects Specialist.
Sponsored Projects Specialist
- For questions regarding specific Subagreements or requests for a new or change in subrecipients not identified in the original proposal, please contact your Sponsored Projects Specialist.
- For questions or assistance on the SIP process, using SIP, confirmation of SIP submissions, and/or all general inquiries, please contact ResAdminOSR@unc.edu.
- 2019 OSR Symposium Presentation
- SIP Introduction Video
- Please also refer to the SIP FAQs to find commonly requested help topics on SIP and Subagreements.
RAM Tracker Transparency Dashboard
- Use RAM Tracker Search to keep up-to-date on the status of your Subagreements requests. Learn more about this tool here.
Get Started with the SIP Questionnaire
To Initiate a Subagreement or Amend an Existing Subagreement, answer a few questions below to be directed to the appropriate form.
Is this Subagreement request associated with a new Project ID?