Subawards and Responsibilites

Principal Investigators & Departments

See the Subaward Processing Checklist—Department/PIs for additional guidance.

  • Request proposal documents from proposed subrecipient, including any ancillary documents required by UM or sponsor
  • Indicate subawards in Section on PARS
  • Prepare and submit complete proposal to ORA. All subaward documents must accompany proposal even if not required by the sponsor as part of the proposal package. The documents are for ORA’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 via email from
  • 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 ORA Subaward Officer when problems arise (inability to obtain satisfactory invoice, nonperformance)

Office of Research Administration

  • Review and submit proposal
  • 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 PeopleSoft/Marketplace
  • Assist PIs and departments with monitoring subawards
  • Request and review annual audit reports
  • Verify corrective action plans are implemented (if necessary)
  • Receive, track and pay invoices with PI approval
  • Prepare, negotiate, issue and distribute amendments
  • Modify subaward encumbrances in the financial system
  • Complete closeout
  • Help resolve problems that arise during performance


See the Guide to Proposing, Receiving, and Managing a Subaward from the University of Maine 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 UM PI
  • Prepare and submit invoices to Subawards email box, for review and processing
  • Assess need to modify statement of work or budget and work with ORA Subaward Officer to obtain prior approvals as needed

Subawards Terminology & Definitions

View a list of subaward terminology and definitions.