Subaward Roles & Responsibilities
Principal Investigators & Departments
See the Subaward Processing Checklist—Department/PIs for additional guidance.
- Request proposal package from proposed subrecipient, including any ancillary documents required by UMN or sponsor (e.g., W9, NSF Nondiscrimination Certification)
- Verify Financial Conflict of Interest (FCOI) policy and/or obtain FCOI Forms 1 & 2 if sponsor uses PHS FCOI regulations
- Indicate subawards in Section 14 on PRF
- Prepare and submit complete proposal to SPA. All subaward documents must accompany proposal even if not required by the sponsor as part of the proposal package. The documents are for SPA’s files.
- Provide additional information required for subaward issuance
- Monitor subrecipient technical progress and performance
- Monitor subrecipient’s adherence to terms and cost sharing requirements
- Verify compliance approvals are current for subrecipient’s portion of statement of work (human subjects, animal subjects, biosafety)
- Monitors receipt of invoices and reviews that expenses are aligned with technical progress and all required reports are received
- Reviews invoices electronically via WorkflowGen
- Assesses need to modify statement of work or budget
- Plans for timely closeout and obtain prime no cost extension if needed (follow up on missing reports, receipt of final invoice and release of claims form)
- Promptly alerts SPA when problems arise (inability to obtain satisfactory invoice, nonperformance)
Sponsored Project Administration
- Review and submit proposal
- Verify FCOI policy and reviews Forms 1 & 2
- Work with Conflict of Interest office to verify FCOI training and disclosures
- Negotiate with sponsor and accepts prime award
- Follow up with PI/Dept to obtain any additional required documentation/data required for subaward
- Review risk levels and, if necessary, modify subaward agreements
- Prepare, negotiate, issue and distribute subaward agreement
- Collect, maintain, and report FFATA data
- Activate/encumber subaward funds in financial system
- Assist PIs and departments with monitoring subawards
- Request and review annual audit reports
- Verify corrective action plans are implemented (if necessary)
- Notify department administrators if the invoices are incorrect
- Receive, track and pay invoices with GA and PI approval
- Prepare, negotiate, issue and distribute amendments
- Modify subaward encumbrances in the financial system
- Complete closeout
- Resolve problems that arise during performance
Subrecipient
See the Guide to Proposing, Receiving, and Managing a Subaward from the University of Minnesota for additional guidance.
- Provide proposal materials to PI/department within stipulated deadlines
- Create and or agree on work scope and budget
- Provide compliance approvals and risk assessment information (e.g., human subjects, biosafety, audit reports, financial questionnaire and supporting financial documentation)
- Prepare and submit technical progress and all required reports to UMN PI
- Prepare and submit invoices to SPA email box, sub-inv@umn.edu for review and processing
- Assess need to modify statement of work or budget and work with SPA to notify UMN or obtain prior approvals as needed
Subawards Terminology & Definitions
View a complete list of subaward terminology and definitions.