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The UW PI is responsible for ensuring that the subrecipient is making reasonable progress. Periodic (usually annual) progress reports are submitted to the UW PI from the subrecipient to be incorporated into the progress report to the UW's originating sponsor.
The UW PI should maintain records of calls, e-mails, conferences and other meetings held with the subrecipient technical and/or administrative staff.
Various aspects of the subawardee activity require monitoring for compliance. Examples include: a) Receipt of subawardee IRB or IACUC protocol approvals, b) Assurance that required training has taken place prior to and through the life of the subaward (e.g. FCOI training), c) all prime sponsor requirements incorporated into subaward terms and conditions are followed.
It is recommended the UW PI set up a subaward monitoring schedule/checklist to ensure on-going progress and compliance by subawardees.
Subawardees are required to invoice based on the frequency as determined by the UW department but at a minimum no less frequently than quarterly and are instructed to send those requests to the (PI) and the department fiscal contact. The invoices should be in sufficient detail to indicate clearly the nature of the expenses, as well as the period and the amount claimed for reimbursement.
The PI reviews that the financial expenditures are appropriate for the technical/scientific work performed before approving the invoice. The PI should work directly with the subrecipient if any costs appears to be questionable and a revised invoice should be issued.
In accordance with UW Accounts Payable policies, the PI forwards the signed, approved invoice to Accounts Payable with supporting UW Invoice Voucher form 1730 for appropriate reduction of encumbrance and initiation of payment within 30 days. Refer to the AP policies in the Purchasing/Accounts Payable System (PAS).
From time to time, the subawardee may request modifications to the subaward terms and conditions in order to accommodate changes to the subawardee activity, personnel, or fiscal needs. Such requests should be sent directly to the UW PI for review. If appropriate, the UW PI forwards the request and any supporting documentation to firstname.lastname@example.org with a request to modify the subaward.
The subaward team will review the request and issue a change to the subaward by sending directly to the subrecipient, usually in the form of a modification.
If the UW PI determines there are potential performance issues, noncompliance, misuse of funds or is having trouble receiving timely invoices, the Subaward team must be notified immediately for assistance in resolving the issue.