Office of Sponsored Programs

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

Supporting Document	Description
Subrecipient Monitoring Procedures (updated March 5, 2021)	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/Research & Economic Development 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.

Supporting Document	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 Research & Economic Development prior to proposal submission.

Post-Award Process

Activities at this phase are conducted by Research & Economic Development 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 Tennessee Tech’s Purchasing Department.

Supporting Document	Description
Subrecipient Commitment Form	The Subrecipient Commitment Form is used by the Research & Economic Development 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 Research & Economic Development 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.
For the form for Workshop/Seminar Participation Authorization, visit our Forms page.	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.

Supporting Document	Description
Invoice Monitoring Guide	The Invoice Monitoring Guide is a list of 11 questions for PIs/bookkeepers/departments to consider when monitoring invoices for completeness and compliance with Tennessee Tech’s policies.
For the Subrecipient Monitoring Form, visit our Forms page.	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.