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Business and Financial Policies and Procedures

Guidelines on Subrecipient Performance

The Principal Investigator (PI) is responsible for ensuring that the progress on the subrecipient’s scope of work is satisfactory. The PI should manage each subrecipient's work or progress as presented in the subaward proposal, and as awarded by reviewing the subrecipient’s technical reports or other deliverables related to the project.

Programmatic Reports

The subrecipient is responsible for completing programmatic reports as stipulated in the terms and conditions of the subaward. Programmatic reports should be submitted by the subrecipient to the PI, as applicable. Programmatic reports serve as official documentation that the stated work has been performed, and substantiate the invoices paid throughout the course of the funding period. These reports should be maintained by the PI/department.

Unsatisfactory Performance

The PI determines the validity of the subrecipient invoices based upon the progress of the subawardee. The PI reserves the right to reject or withhold an invoice due to insufficient or unsatisfactory performance. If there are concerns about either the subrecipient’s performance or invoices, contact your university Grants and Contracts Office (post-award) as quickly as possible for assistance in resolving the issue.

Early Termination

If the subrecipient is in violation, breach or default of any of its obligations under the subaward and fails to remedy such default, the PI has the option to terminate the subaward. The PI or business manager shall notify the pre-award office and GCO of the intent to terminate the award early so written notification can be provided to the subrecipient.

Upon early termination, the subrecipient will be required to submit a final invoice within 30 days of the termination date unless otherwise stated in the termination notice. The subrecipient will be reimbursed for allowable, non-cancelable costs and commitments incurred in the performance of the subaward up to termination date, not to exceed the maximum reimbursement amount set forth in the agreement. Additionally, the subaward’s PI must submit all necessary progress reports through the date of termination.


Last Updated: January 3, 2019 | Approved: Senior Associate Vice President for Business and Finance - July 7, 2015

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