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).
  • Select subrecipients based on technical expertise and potential ability to perform the scope of work successfully, within the infrastructure of the prime award.  See ‘Choosing a Subrecipient’

At Proposal Submission

  • Include the Subrecipient's budget and other required information in the UI's proposal. See ‘Subrecipient's  Budget requirements’ for additional details.
  • If the UI is applying to a Public Health Service (PHS) agency or the National Science Foundation (NSF) and the Subrecipient is not listed on the FDP FCOI Institutional Clearinghouse, send the UI FCOI Questionnaire - Form B to the Subrecipient. See DSP Proposal Routing Form for additional instructions.

After Project is Funded

Initiate the Subaward Request

  • Initial Stage
    • The PI will negotiate the statement of work and budget with the Subrecipient before submitting the eDSP Subaward Request.  The statement of work should conform to the requirements of the prime award, such as performance measures required by the prime sponsor.
    • FORM I should be completed for all NEW subawards before submitting the eDSP Subaward Request.
    • For more information on completing the request, click here
  • eDSP OGS Request Module
  • Select Vendor (i.e. Subrecipient)
    • If the subrecipient is new and not in the database, send the Vendor Application Form (VAF) to Subrecipient.  This is required in order for the subrecipients invoices to be paid from our purchasing system.
    • If the subrecipient is in database, but a new address is needed, e-mail the Purchasing Vendor File Team (VFT), purchasing-vendor@uiowa.edu, with subrecipient name, new address, phone, and contact person.

Advance Payment

  • If there will be an Advance Payment to the Subrecipient, review the Advance Payment instructions 

Review the Subaward Agreement

  • Upon receipt of the automatic e-mail with the fully signed subaward link, review the subaward to confirm the terms.
  • Notify dsp-contracts@uiowa.edu if changes are needed for the draft subaward.
  • Assists DSP if the Subrecipient 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 dsp-contracts@uiowa.edu if changes are needed.

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 Subrecipient'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 dsp-contracts@uiowa.edu 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 Grant Accounting (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 (AP) immediately if an invoice payment should be placed on hold.