Managing Subawards
There are many processes and responsibilities involved in managing subawards, including monitoring performance, approving invoices, and ensuring compliance throughout the award lifecycle.
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Roles & Responsibilities
During the course of the subaward, the University principal investigator (PI) is responsible for the following oversight:
Documentation
The PI should document the subrecipient’s review of progress reports in whatever format is easiest. Remember that the evidence of the subrecipient’s review may be requested by auditors. The PI is responsible for documenting their review, storing reports, and providing them in the event of an audit. An inability to produce a report could result in increased federal oversight and prior approvals in the future or even payback of subaward or award funding.
During the course of the subaward, ORA will ensure annual audits are collected, insurance certifications are valid, and FFATA reporting is up to date. ORA receives, tracks, and pay invoices, with PI approval, during the project duration.
Subaward Invoicing
Once a subaward is officially approved and executed, ORA will set up a declining balance purchase order (PO) in Marketplace. The PO will be set up with the funds awarded, as a declining balance PO.
The subrecipient will begin to invoice UMaine for reimbursement as they work on the project. The subrecipient invoice template may be helpful to some subrecipients. ORA will review the invoice and submit it to the PI for approval.
Explore additional guidance on Subaward Invoicing Approval Process.
Subaward Modifications
During the life of the subaward, it may be necessary to make changes (e.g. modify the amounts, dates, or terms of a subaward). Some changes may require prior approval from the prime sponsor, such as a change to the scope of work or investigator.
Please notify umsubawards@maine.edu of any changes immediately. ORA will help you determine whether approval is needed from the prime sponsor and issue an amendment to the Subrecipient.
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