Research & Economic Development

Subrecipient Monitoring on Federal Awards

Introduction

As a prime recipient and a pass-through entity of Federal awards, Tennessee Technological University is responsible for monitoring subrecipients to ensure proper stewardship of Federal funds. Subrecipient monitoring is essential at all stages of the subaward process from proposal to award closeout. The Subrecipient Monitoring Procedures are provided to assist PIs/departments to ensure proper use of sponsor funds.

To view or print individual forms for subrecipient monitoring, click on the following links:

Reference

Form Name
Description
Subrecipient Monitoring Procedures 
The Subrecipient Monitoring Procedures provide an overview of the monitoring activities performed at each stage of a subaward.
Roles and Responsibilities Chart 
The Roles and Responsibilities Chart provides an overview of the general subrecipient monitoring process responsibilities.

Pre-Award Process

The initial set-up phase includes activities performed prior to issuing a subaward to a third-party organization. Subrecipient monitoring activities at this stage are generally related to a subrecipient who has the technical/financial resources to fulfill the proposed scope of work. If the PI/department/Office of Research questions whether or not the subrecipient has acceptable business practices, the following tools can be utilized when deciding whether or not a subrecipient is appropriate for the proposed work or whether a contractor could fulfill the obligation.

Form Name Description

Subrecipient vs. Contractor Checklist

The Subrecipient/Contractor Checklist is used by the PI to determine whether the university/industry/agency is a subrecipient or a contractor. Once this form is completed, it is submitted to the Office of Research prior to proposal submission.

Post-Award Process

Activities at this phase are conducted by the Office of Research in order to review the financial status and management controls of a Subrecipient to mitigate the risk of contracting with a subrecipient. Contractors are handled through TTU’s Purchasing Department.

Form Name

Description

Subrecipient Information Form

The Subrecipient Information Form is used by the Office of Research to help determine a subrecipient organization’s financial and management strengths, which helps assess risk and dictates the monitoring plan for domestic subrecipients.

Foreign Subrecipient Information Form

The Foreign Subrecipient Information Form is used to help determine a subrecipient organization’s financial and management strengths, which helps assess risk and dictates the monitoring plan for foreign subrecipients.

Subrecipient Risk Assessment

Subrecipient Monitoring Matrix

The Subrecipient Risk Assessment is used by the Office of Research to determine the risk of a Subrecipient based on the Subrecipient Monitoring Procedures. The Subrecipient Monitoring Matrix gives examples of plans to implement based on a subrecipient's perceived riskiness.

Workshop/Seminar Participation Authorization Form
Individuals receiving a stipend for attendance at a workshop or seminar may be paid using the Workshop/Seminar Participation Authorization Form, instead of a Personal/Professional Services Agreement. This form can only be used for stipend payment and may not be used if payment involves reimbursement of expenses and/or any payment whatsoever for services. The form is to be completed and fully signed prior to the participant’s involvement in the workshop/seminar. A copy of the fully executed form is to be included with the payment request in Eagle Buy. The originally signed form should be maintained by the department responsible for the workshop with a copy given to the workshop participant.

Ongoing Monitoring

Ongoing monitoring includes activities undertaken to monitor the subrecipient’s administrative, invoicing, and scientific progress activities of an active subaward as well as on-going risk assessments. The following tools can be used as a guide and for documentation of subrecipient monitoring efforts.

Form Name

Description

Invoice Monitoring Guide

The Invoice Monitoring Guide is a list of 10 questions for PIs/bookkeepers/departments to consider when monitoring invoices for completeness and compliance with TTU’s policies.

Subrecipient Monitoring Form

The Subrecipient Monitoring Form is used to document the performance of the subrecipient throughout the life of the subaward.

Problematic Subrecipient Letter

The Problematic Subrecipient Letter is sent to subrecipients at the request of the PI when a subrecipient is identified for late billing, communication difficulty, or any other factor related to noncompliance or potential noncompliance.