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SPA Pre-Award Proposal Review

Description: This guidance provides a general overview of SPA Standard Operating Procedures for an efficient proposal review and submission by the SPA Pre-Award Team. The following standard operating procedures have been designed to streamline SPA's process to review relevant critical parts while the PI finalizes the scientific components of a proposal. The review of minimal administrative (non-scientific) components within the context of a full proposal package allows SPA to conduct a meaningful review of the application as a whole.


The primary investigator and department/grant administrator, if assisting the PI with a grant submission, share responsibility with SPA in reviewing the sponsor guidelines to ensure adherence to requirements for submission, as well as ensuring the project(s) are conducted in compliance with federal and state regulations and university policies.


Procedure: SPA will conduct reviews on a first-come, first-serve basis, prioritizing based on the submission deadline. The assigned pre-award administrator will make every effort to notify the PI and/or administrator of the planned review date and keep the PI and/or administrator updated on possible delays, providing a revised review date.

SPA will conduct no more than one (1) major review of each proposal submission, which will consist of a review of the budget and review of the proposal documents, as described below.  SPA Review will be sent to both the PI and administrator providing pre-award support.


Letters of Intent (LOIs) requiring an institutional signature/approval and/or a detailed budget, including NIH prior approval requests for budgets exceeding $500,000 direct costs per year, require SPA review and approval prior to submission to the sponsor.  Submit a NOI, selecting LOI for the Activity field

Link to Complete Procedure Document: SPA Pre-Award Proposal Review


Preparing for Huron Research Suite Implementation

UPDATED Roles & Responsibilities* (effective 05/01/2021)

*Specific to applications for externally funded projects and annual non-competing progress reports


To reserve your spot for participation in the HRS Sponsored Projects Super Users Group, please complete this form:


SPA Contracts

The SPA Contracts team is one of three teams at the Research Institute responsible for helping KUMC investigators with contracts related to the work of KUMC sponsored programs. SPA Contracts is responsible for most funding agreements with institutions external to KUMC, with the broad exception of pure clinical trial agreements.


*Most subawards/subcontracts will be reviewed by the SPA Pre-award team at the proposal stage, as well as at the award stage, if not previously reviewed.

Who can help me with my contract?

Incoming Funding Agreement (this includes most awards or subawards from non-profit sponsors and other academic institutions). These are handled by the SPA Contracts team. Information about what is needed is located further down on this page. You can contact SPA Contracts at

Agreement to Outside Institution from existing KUMC Funding source. These are handled by the SPA Contracts team. Information about what is needed is located further down on this page. You can contact SPA Contracts at

Unfunded Agreement (Examples: NDA/CDA; DUA; MTA).  You can contact the Research Contracts Office for help with these types of agreements here.

Clinical Trial Agreement (Often funded by Pharmaceutical company, but always using a Per-patient or Capitation budget).  You can contact the Clinical Research Administration here for help with these agreements.

Incoming Subaward/Contract

Information Needed 

  • KUMC budget
  • KUMC scope of work (SOW)
  • Sponsor contact information
  •  Contract/Subaward (drafted by Sponsor)
  • Subrecipient Commitment Documents (as required by Sponsor) or ePRS (electronic Proposal Routing Sheet)

Process for Incoming Awards 

  1.  Communication with Sponsor
  •          If you are already in contact with the sponsor please forward whatever information you have received.
  •          Alternatively, the SPA Contracts team can reach out to the sponsor if our KUMC PI has reason to believe that a subaward or contract is expected imminently. If this is the case, please reach out to SPA Contracts so we know to initiate discussion with the sponsor.
  1. SPA receives & completes set up documents (commitment forms, etc.) from the sponsor
  2. Receive subaward/contract from sponsor for review
  3. SPA Reviews contract
  •          Legal
  •          Compliance (IRB/IACUC/COI, others?)
  •          Financial terms
  1. Obtain necessary approvals (compliance, PI/budget, others)
  2. SPA Contracts team negotiates necessary changes with sponsor
  3. SPA Contracts team will route for signature at KUMC & return to sponsor for full execution
  4. Receive fully executed contract from sponsor in SPA

Note: If the sponsor sends this directly to the PI or department, please forward to SPA Contracts so we can complete set up in Workday

  1. SPA will route for account set up in Workday

Outgoing Subaward/Contract Process

Information needed 

  •  KUMC Account from which funds will be paid
  •  Subrecipient budget
  • Subrecipient scope of work (SOW) o Subrecipient vs. Vendor determination form (to be completed by KUMC PI) o Subrecipient Commitment form (to be completed by Subrecipient. Will be sent by SPA Contracts)

Process for Outgoing Awards: 

  1. SPA receives budget & SOW from KUMC PI for portion of work to be done outside of KUMC
  2. SPA receives Subrecipient vs. Vendor form from KUMC PI (if not already in proposal)
  3. SPA completes risk assessment for subrecipients of federal funds
  4. SPA Contracts drafts a subcontract based upon the budget, SOW, and terms dictated by funding source
  5. SPA Contracts will send a commitment form (if necessary) to the subrecipient to collect necessary institutional information
  6. SPA Contracts will send the draft agreement to the contract site for review
  7. SPA Contracts will negotiate contract terms with the recipient institution

8.      SPA Contracts works with the Research Contracts Office, as necessary, to find acceptable legal terms with the recipient site

  1. Once terms acceptable to both institutions are agreed upon the recipient institution signs and returns the agreement
  2. SPA Contracts routes agreement for full execution here at KUMC
  3. SPA Contracts sends a copy of the fully executed agreement to the recipient and KUMC PI.
  4. SPA Contracts team sends agreement to SPA Post-award team to set up in Workday



Transfer a Grant to KUMCRI

Welcome to the University of Kansas Medical Center Research Institute, Inc. (KUMCRI).  As you work to transfer your research projects to KUMCRI, please keep in mind that each sponsor may have different requirements for transferring your awards.  Below, we have outlined the NIH/DHHS general guidelines.  However, for other federal sponsors and private sponsors, you will need to contact the awarding agency for specific instructions. 


You are welcome to contact the Sponsored Programs Administration (SPA) at KUMCRI ( for assistance.  We are here to help.


At KUMCRI, we use the Cayuse Proposal Submission System for federal proposals.  Work with a SPA pre-award grant administrator to obtain access to our Cayuse portal.  If you are new to Cayuse, training is available from SPA.


Steps to transfer an NIH/DHHS grant(s) TO the KUMCRI

  1. Before we can submit the transfer application from KUMCRI, the relinquishing (your previous) institution will have to relinquish your grant.  They will have to process and send the Official Statement Relinquishing Interests and Rights in a Public Health Research Grant (PHS 3734) and the Final Invention Statement (HHS 568) forms to NIH.  Please ask your research office contact at the relinquishing institution to complete the relinquishment form in eRA Commons.  A Federal Financial Report (FFR) will be due at NIH from the relinquishing organization within 90 days of the end of the NIH support.  Ask your contact at the relinquishing institution to be sure the carryover dollars are noted on the FFR.  If the carryover dollars are not included, an official letter signed by the relinquishing institution's official will have to be submitted to NIH releasing these funds.  This may cause a delay in receiving the carryover funds at KUMCRI.
  2. Check with the NIH Grant Management Specialist on your grant regarding supplemental instructions for the transfer.  If there are supplemental instructions, please send a copy to your pre-award grant administrator here at KUMCRI.
  3. Once you know if there are supplemental instructions, complete the Change of Grantee Institution application (Type 7 Parent) in Cayuse.  When your application is completed, SPA will be able to process your transfer application after receiving notification of the relinquishing statement from your previous institution.
  4. If your research project involves animals or human subjects, you need to obtain IRB approval at this time.  If you already have KUMC IRB or IACUC certification, please upload this approval in the Summary screen under Documents.
  5. When you have a complete and final application in Cayuse, please notify your KUMCRI pre-award grant administrator that your application is ready for review.  Your completed application should contain the following attachments in the Summary screen under Documents:

6.      SPA will do a final review, obtain institutional sign-off by our Authorized Institutional Official, and submit your application.





Last modified: May 07, 2021