A defined portion of a sponsored project is assigned to another entity
The subrecipient assumes full responsibility, including intellectual leadership, for completing the assigned work
Work is generally performed by the subrecipient’s personnel (including graduate students) using their resources (usually at their site)
The subrecipient must comply with the terms and conditions of the subaward agreement, including terms flowed down from the University’s sponsor
A subrecipient will need to obtain approvals from their IRB or IACUC if human or animal subjects are used in their portion of the work
Subrecipient personnel might be an author or co-author of a paper written about the project
An invention might arise from the work performed by the subrecipient
Roles & Responsibilities
The following is a brief breakdown of roles and responsibilities between the Principal Investigator (PI), the Office of Research Administration (ORA), and the Subrecipient in relation to Subaward Actions:
PI Role & Responsibility
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
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)
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
Subrecipient Role & Responsibility
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, umsubawards@maine.edu 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
Subrecipient vs. Subcontractor
It is important to correctly determine whether an entity should be considered a subrecipient or a subcontractor, so that the appropriate terms and conditions are applied and budget calculations are performed accurately.
A subaward is likely appropriate if you can answer “yes” to any of the following questions:
Does the entity’s scope of work represent an intellectually significant portion of the programmatic effort of the overall project?
Does the entity have responsibility for programmatic decision making?
Could the entity’s work result in intellectual property developed or publishable results (including co-authorship)?
Will the entity need animal and/or human subjects approval for its portion of the work?
An entity would be considered a contractor if they provide goods or services within normal business operations to many different purchasers and operates in a competitive environment.
Additional Resources
For additional guidance on determining if work conducted by an institution or organization outside of the University should be procured under a subaward or a different mechanism, such as a Contract for Professional Services, see the FDP Checklist to Determine Subrecipient or Contractor Classification.
