Sponsored Projects Procedures

Modify a Subaward

Research, Sponsored Projects  |  Approved June 16, 2016

Purpose

Submit a request to modify the terms of a subaward.

Applicability

Principal Investigators (PIs) and administrators who need to modify the terms of an existing subaward. The Subaward Request is used to submit a request to Sponsored Programs Administration (SPA) to issue a contractual modification of an existing subaward to the subrecipient. 

A subaward should be modified whenever the existing terms need to be changed. Typical reasons for modifications include, but are not limited to the following:

1. To increase or decrease the funding for the subrecipient
2. To extend or shorten the length of the period of performance for the subrecipient
3. To change the scope of the work being performed by the subrecipient
4. To authorize carry-forward of unexpended funds from a prior budget period
5. To terminate the subaward
6. To change the PI at UMB or the PI at the subrecipient
7. To flow-down changes in the terms of the prime award that govern the subaward
8. To change the Purchase Order (PO) number used for invoicing by the subrecipient
9. To authorize changes that require Sponsor approval 

See the Sponsored Program Administration’s Collaborations and Subrecipients webpage for more information on this topic.

Instructions

1. Determine if Sponsor prior approval is required to make the change.
   1. If Sponsor approval is required or for assistance with making this determination, contact your SPA Team. 
2. Enter data and upload supporting documents using the Subaward Request.
   1. Enter the requested data to identify which subaward is being modified: Project ID, Kuali Research Award Number, and existing Purchase Order (PO) number.
   2. Choose the type of modification from the list.
   3. Ensure that:
      1. Period of performance dates for the subaward are the same as or fall within the active budget period of UMB’s funding award.
      2. The Project ID has sufficient funds to cover an increase in the subaward budget.
   4. Attach documents to support the requested change.
3. After submission of the Subaward Request, the submitting Department Administrator will receive a copy of the completed request via email.
4. SPA will review the request. After any additions or clarifications have been made, SPA will email a copy of the request to the PI. The PI must authorize the requested subaward change via an email reply.
5. The SPA Team drafts the modification to the subaward based on the Subaward Request, emails the modification document to the subrecipient, and when necessary, negotiates the terms of the modification with the subrecipient.
6. Once the SPA Team receives the signed modification from the subrecipient along with all applicable regulatory approvals (IRB, IACUC, etc), the subaward modification is signed for UMB and returned to the subrecipient with copies to the PI and Department Administrator.
7. Department makes corresponding changes to the PO for the subaward or requests a new PO, depending on the type of change.
   
   1. If a new PO number is assigned, email it to the subrecipient and the SPA Team.