Monitor an Active Subaward

Research, Sponsored Projects   |   Approved October 9, 2015

Purpose

Monitor a subrecipient’s progress and performance on a sponsored project.

Applicability

Principal Investigators (PIs) whose sponsored project includes a subaward to another organization (the subrecipient). PIs have primary responsibility for monitoring subrecipients to ensure compliance with federal regulations and both prime and subrecipient award terms and conditions. 

See the Sponsored Program Administration (SPA) Collaborations and Subrecipients webpage for more information on this subject.

Instructions

1. SPA issues a subaward that includes required terms and conditions and required data elements so that the subrecipient has information needed to comply with federal regulations and sponsor award terms.
2. Review and monitor subrecipient’s technical performance and progress.
   • Verify that the subrecipient’s work is performed timely and is in line with the proposed and funded statement of work.
   • Review technical/performance reports.
   • Verify that subrecipient’s compliance requirements are up-to-date (e.g. approvals for human subjects or animal subjects).
   • Maintain regular contact with the subrecipient.
   • Communicate any deficiencies to the subrecipient in a timely manner.
3. Review and approve subrecipient invoices.
   • Ensure that invoices are received on schedule. Communicate with the subrecipient to urge timely submission of invoices.
   • Ensure that charges to the project are allowable, allocable, reasonable, and within the period of performance
   • Ensure that the percent effort charged to the project is in line with the effort proposed in the approved (funded) budget
   • Notify SPA and Accounts Payable if payment will be temporarily withheld due to unallowable expenses or other significant reasons (2 CFR 200.305(6)), document the issue, and resolve with subrecipient.
4. Work with your SPA Team to make any needed changes to the subaward
5. Work with your SPA Team to close out the subaward after all reports and other deliverables have been received and the final invoice has been paid.