Subrecipient Monitoring

Subrecipient Monitoring Roles and Responsibilities

UF Principal Investigator (PI):

PIs have the primary responsibility for subrecipient monitoring. PIs receive a reminder of their duties when each Subaward is executed in UFIRST:

Maintain regular contact with the Subrecipient’s PI.
Monitor Subrecipient’s technical and programmatic activities, verifying the Subrecipient’s work is conducted in a timely manner and ensuring the results delivered are in line with the proposed statement of work.
Collect, review and retain Subrecipient’s technical/performance reports as required by the terms of the Subaward.
Review and approve Subrecipient invoices to ensure the charges are reasonable. Approve the final invoice only when all required reports have been obtained.
Promptly contact Contracts & Grants Accounting with concerns about Subrecipient expenditures and Division of Sponsored Programs with concerns that the Subrecipient is not fulfilling its obligations under the subaward.

Unit Fiscal/Grant Administrators:

The level of involvement of Unit/Department fiscal or grant staff support varies; however, it should be clearly defined at the local level and include the following:

Assist PIs in their subrecipient monitoring responsibilities.
Assist in the review of Subrecipient invoices to ensure invoices are within the parameters of the Subaward budget and question expenditures if necessary.
Request clarification from the Subrecipient regarding any unusual or excessive charges invoiced by the Subrecipient.
Ensure Subrecipient invoices are approved by the PI and returned to C&G on a timely basis.

Division of Sponsored Programs (DSP):

Conduct risk assessment for all new subawards.
Prepare outgoing subaward agreements and any modifications. Ensure outgoing subawards incorporate appropriate provisions including additional requirements to mitigate risk.
Assist PIs and unit staff with any issues that arise during the Subaward period of performance.
Work with PIs to resolve any subrecipient performance or programmatic issues.

Contracts and Grants Accounting Services (C&G):

Receive invoices from Subrecipients and coordinate approval to pay with PI.
- Review invoices before payment to ensure consistency with Subaward requirements. C&G performs additional review of at-risk subaward invoices.
- Review cost sharing expenses documented on subrecipient invoices. Ensure they are flagged for the UF PI/Unit for review.
Assist PIs and Unit staff with any financial issues that arise during the Subaward period of performance.
Review each Subrecipient’s Single Audit report as required by Uniform Guidance. For subawards/subrecipients not subject to Uniform Guidance, obtain certification from each subrecipient for compliance. If a Subrecipient has audit findings related to a Subaward from UF, follow up with subrecipient regarding corrective action.

Resources

Subrecipient Risk Assessment and Monitoring Policy
Subrecipient Risk Assessment and Monitoring Directives & Procedures

Last updated 7/24/24