Subrecipient agreements

A subrecipient agreement, commonly known as a subaward, is a portion of an award that is distributed to a third party (subrecipient) by the recipient of the original award to conduct a portion of the project work that is a collaborative or a substantive contribution to the project.

Detailed instructions for outgoing subawards

Subaward Requests - Begin the Subaward Process

The department begins the process by submitting a Subaward Request for each subrecipient. The process can be initiated after UMB receives the award notice and the Award has been set up in Kuali Research. 

Before making the request, review the statement of work to determine whether the arrangement constitutes a subaward or a procurement. Vendor and consultant agreements are issued by the procurement office (Strategic Sourcing and Acquisition Services). Sponsored Programs Administration (SPA) issues subawards.

Prior Approval

If the proposed subaward was not part of the original proposal submitted to the sponsor, sponsor approval is usually required before UMB issues the subaward.

Information needed for the Subaward Request includes:

  • Kuali Research Award Number (example: 302000-00004)
    • This information identifies the UMB award that will pay for the subaward. This identifier is only available once the award has been entered in Kuali Research, and can be found on the KR Award record as well as in Medusa.
    • NOTE:  If funding for the subrecipient is internal (institutional funds, for example), please use the Subaward Request - Internal
  • For modifications to an existing subaward, the KR Subaward ID
  • Subaward start and end dates. Usually these dates will match the budget period of UMB's award.
  • Budget. Use the Budget template-subaward request. A budget is required for new subawards and for modifications that add dollars to the subaward. The budget will include salary, fringe benefits (at the subrecipient's rate), operating expenses (supplies, equipment, travel), and F&A costs.
    • For fixed price/deliverable subawards, provide a payment schedule including deliverables (and due dates) and payment dates and amounts.
  • Scope of Work. This document should describe, with a reasonable amount of detail, what the subrecipient investigators will do for the project. Statement of Work template
  • Any special conditions or requirements to be included in the subaward. Examples: additional reports, data, shared research materials, timetables. Include these in the Comments section of the form.
  • Commitment form: The Subrecipient Commitment Form must be‌ completed and signed by the subrecipient’s authorized official‌


Subrecipients are listed in the Organization look-up in Kuali Research (KR). From the KR left navigation bar, select All Links. In the Search for a Link field, begin typing Organization, and select the link from the results. Enter key words from the subrecipient name in the Organization Name field, using asterisks for a wildcard search. Example: *hopkins*

  • If the subrecipient is not yet in the KR Organization look-up, submit an Address Request to add this new subrecipient to Kuali Research.
  • The subaward must appear as an Approved Subaward in the KR Award record. This information is on the first tab of the Award record. Scroll down to Subawards and click “Show”.  The section “Approved Subawards” should list the organization(s) and amount(s). If the subrecipient is not yet listed in the KR Award record as an Approved Subaward, contact your SPA Team to request that it be added.
  • When the prime sponsor is federal, subrecipient's DUNS number is required for UMB's reporting to the federal government. If the subrecipient does not yet have a DUNS number, please direct that organization to:

Subrecipient Principal Investigator and Administrative Contact(s)

Contact information for the subrecipient investigator and the subrecipient administrative contact(s) is needed to complete and send the subaward. If they are not already in KR, please submit Address Requests.

  • To search for your contacts in KR, from the left navigation, select All Links. In the Search for a Link field, begin typing Address and select Address Book from the results.
  • If the individual is not yet in the KR Address Book, submit an Address Request.

When applicable, SPA will require:

  • IRB or IACUC approvals.
  • Human subject training certifications for all key personnel.
  • Approval for use of select agents.
  • Financial Conflict of Interest (FCOI) certifications for all key personnel (NIH-funded projects).
  • Copy of subrecipient's Federally Negotiated Indirect Cost Rate Agreement, when applicable and if not provided in the proposal

How do I process the procurement requisition for the subaward?

The department processes the subaward purchase order requisition:
Full Instructions, Subaward Procurement Requisition
Quick Check, Subaward Procurement Requisition

The subaward is signed in SPA when all approvals are in place and the purchase order number has been assigned.

What are the next steps for issuing the subaward?

  • The PI authorizes the subaward request, via workflow for the Subaward Request or via email for internally funded subawards.
  • The department provides the purchase order number to the SPA team.
  • If the proposed subrecipient is a foreign organization, the SPA team will submit the proposed subaward for export compliance review before finalizing the agreement.
  • The subaward is sent to the subrecipient for signature.
  • The subaward is signed in SPA only when all approvals are in place and the purchase order number has been assigned.
  • The fully executed subaward is sent to the subrecipient with the assigned purchase order number.
  • The fully executed subaward is also sent to the PI, Procurement, and Accounts Payable.

How does the subrecipient get paid?

  • SPA informs the subrecipient of the purchase order number
  • The subrecipient submits an invoice, referencing the assigned purchase order number
  • Invoices are processed by Accounts Payable
  • Review each invoice to confirm that subrecipient has performed the work and that the charges are reasonable, allowable, and within budget. Subrecipient Monitoring Invoice Checklist
  • PI must review and approve in writing all expenditures for work completed during the period stated on any invoice received.
    As an example, the PI could confirm via email to the department administrator that the subrecipient has made progress in the project work, completed milestones (describe), or submitted data and/or reports and that the expenditures are approved as invoiced.

Monitor your subrecipient to ensure that they are invoicing regularly and timely.

Monitor your subrecipient to ensure that progress is being made. Document the progress and completion of project work: keep records of telephone calls, meetings, emails, reports, deliverables, and compliance requirements (such as IRB approvals).

As part of the invoice review, compare the effort reported by key persons with the approved (awarded) effort to ensure that the effort commitment is met. The effort should be reasonable for the progress made. If there is a "disconnect", follow up with your subrecipient contacts to work through the issue.

If the subrecipient is not performing or has not submitted required reports, notify Accounts Payable and your SPA Team to delay future payments until the issue is resolved. Document the issue and related communications.

What if we need to change something about the subaward?

The department requests changes to the subaward using the Subaward Request. Possible changes include:

  • Add continuation year funding (increase and extend)
  • Increase or reduce the subrecipient’s budget
  • Change of Subrecipient PI
  • Carry over funds from one project year to the next
  • Early termination of the subaward
  • Change of subrecipient (e.g., due to transfer of subrecipient PI)
  • Extension of agreement (The term of the subaward cannot be extended beyond that of UMB's award.)

Approved changes will be incorporated in a modification to the subaward issued by SPA.

Some changes require sponsor approval. When required, sponsor approval must be obtained before the subaward can be modified. Requests for sponsor approval are initiated by the PI and signed off by the SPA authorized official.

Requests from the subrecipient regarding changes to the agreement will be forwarded to the UMB PI for review and approval.

In the Subaward Request

  • Identify the change(s) to be made
  • Include updated approvals (human subjects, animals) and certifications when applicable
  • Upload a current, completed and signed Subrecipient Commitment Form
  • Upload a budget for any increase to the subrecipient's budget
  • When applicable, provide an updated scope of work and/or reporting requirements

The Subaward Request will be verified and authorized by the PI via email.

Changes to the purchase order:

The department must process approved changes to the purchase order when required.
Full Instructions, Subaward Procurement Requisition
Quick Check, Subaward Procurement Requisition

How and when do I close out a subaward?

A subaward should be closed out at the end of the project, after all technical reports or other deliverables have been completed by the subrecipient, and after the subrecipient's final invoice has been paid. The steps to close out a subaward should also be taken if a subaward is terminated early, before the end date in a signed agreement.

Your SPA Team may request that you complete the form, PI Subaward Closeout Authorization

For closeout, the following items are needed:

  • Within 30-45 days after the end of the budget period, the subrecipient must submit an invoice marked as "Final". The PI should approve this final invoice for payment only if all the required reports and deliverables have been received from the subrecipient.
  • The department administrator should ensure that payment of the final invoice expense has been posted. Email Procurement Services (and copy your SPA Team) to have any remaining balance of the subrecipient purchase order disencumbered.
  • The final invention report to the sponsor must include any inventions first conceived or first reduced to practice by the subrecipient personnel under the subaward.
  • If UMB and the subrecipient entered into any material transfer agreement (MTA) related to the subaward, review the MTA to determine if the exchange of materials is still needed or should be ended. Contact the Center for Clinical Trials and Corporate Contracts for assistance.
  • Your SPA Team will request any other documents that may be required from the subrecipient for closeout.

Subaward Manual

Subaward Manual Appendix A - Federal contract clauses

Subaward Manual Appendix B - Matrix of Uniform Guidance applicability

Subaward Manual Appendix C - Certificate of Current Cost or Pricing Data

Subaward Manual Appendix D - A brief explanation of how subaward are numbered

Subaward Manual Appendix E - Contractor's Assignment form for subaward close-out

Subaward Manual Appendix F - Subaward Close-out Authorization Form for completion by the UMB Principal Investigator

Collaborator Roles (Subrecipient, Consultant, Vendor, Other Significant Contributor)

PI Subaward Closeout Authorization

Subrecipient Monitoring Invoice Checklist