The University of Iowa

Outgoing Subaward Roles and Responsibilities: Principal Investigator/Department

The Principal Investigator and corresponding department hold critical responsibilities in the outgoing subaward process, as outlined here

Prior to Proposal Submission

  • Determine whether the collaboration will be treated as a subaward (carrying out an intellectually significant portion of the Federal award, creating a financial assistance arrangement) or a contractor agreement (UI purchase order; obtaining goods and services, creating a procurement relationship).  Click here for more detailed information on this topic.
  • Select subrecipients based on technical expertise and potential ability to perform the scope of work successfully, within the infrastructure of the prime award.

At Proposal Submission

  • Include the Subawardee's budget and other required information in the UI's proposal. See Subawardee's Budget requirements for additional details.
  • If the UI is applying to a Public Health Service agency and the Subawardee is not listed on the FDP clearinghouse, send Form B to the Subawardee.  See DSP Proposal Routing Form for additional instructions.

After the Project is Funded:

  1. Initiate the PReq

    1. Initial Stage

      • If the Subawardee is other than a U.S. accredited institution of higher education, the PI should send the Audit Certification and Financial Status Questionnaire to the Subawardee.
      • The PI should negotiate the statement of work and budget with the Subawardee before submitting the PReq.
      • The statement of work should conform to the requirements of the prime award, such as performance measures required by the prime sponsor.
    2. Select Vendor

      •  If vendor is new, send link or fax the Vendor Application Form (VAF) to Vendor.
      • If Vendor is in database, but new address is needed, e-mail Purchasing Vendor File Team (VFT) with Vendor name, new address, phone, and contact person.
    3. Advance Payment

      • If there will be an Advance Payment to the Subawardee, review the Advance Payment instructions.
    4. Complete the Preq

      • Use Category Code 99990000 – specific for Subawards.
      • List subaward period of performance dates.
      • List direct and F&A cost figures for the subaward budget period.
      • Attach the statement of work.
      • Attach the budget
      • Attach the PDF iconSubaward Reporting Requirements form (required for subawards under federal grants).  This form is recommended for other subawards.
      • Attach Audit Certification and Financial Status Questionnaire (required for Subawardees other than U.S. accredited institutions of higher education)
      • If replacing an existing PO, list the previous PO number.
    5. Route the PReq through Workflow.

  2. Review the Subaward Agreement

    • Upon receipt of the automatic e-mail with the draft subaward link, review the subaward draft to assure it meets the PI’s expectations.
    • Notify if changes are needed for the draft subaward.
    • Assists DSP if the Subawardee questions the scope of work, budget, or other project specific terms.
    • Upon receipt of the automatic e-mail with the fully signed subaward link, review the subaward to confirm the terms.
    • Notify if changes are needed.
  3. Monitor Performance, Progress Reports, Invoices/Financial Reports, Compliance

    • PI is responsible for monitoring compliance with the terms of the subaward and the prime award.
    • PI is responsible for monitoring the Subawardee's performance of the work.
    • PI is responsible for collecting progress and invention reports, documenting their review*, and locally retaining (in the PI’s or departmental records) those subrecipient reports as part of the regular record retention schedule required for the prime award**. *e.g., an email back to the subrecipient indicating the report has been reviewed and is acceptable, or annotating on the report itself  “Reviewed, Approved” with PIs’ signature and date. **Generally the record retention period for federally funded awards is three years after project completion.
    • Notify if there are concerns regarding performance or if the subaward needs to be revised for any reason.
    • Any disclosures of financial interest or conflict of interest might require that specific action to be taken.  PIs and departments should discuss such disclosures with DSP and the Conflict of Interest in Research Office.
    • PI or delegate is responsible for reviewing invoices/financial report for consistency with the subaward budget and monitoring performance of the work and compliance with the terms of the prime award.  PI confirms this through the "Receipt" of a voucher in the e-Pro system.  The PI should immediately contact GAO with questions about invoices.
    • Notify GAO immediately if invoices should be held due to performance issues or for any other reason.
    • Notify Accounts Payable immediately if an invoice payment should be placed on hold.