Subrecipient Monitoring

The University of Alaska must comply with OMB Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 CFR §200, (Uniform Guidance), specifically sections §200.330 and §200.331, Subrecipient Monitoring and Management.  This section of Uniform guidance requires prime recipients of federal funds to monitor subawardees and to ensure subrecipients meet the audit requirements in Subpart F, and use funds in accordance with applicable laws, regulations, and terms of the awards.

In order to maintain compliance with these regulations and ensure sound stewardship of sponsored project funds, UAF regularly monitors subrecipients receiving pass-through funds under the University’s prime awards in compliance with our Policies and Regulations.

Monitoring of a subrecipient’s performance, financial controls, and compliance is a shared responsibility between the Principal Investigator (PI), the PI’s Department Business Office, Procurement & Research Services, and Statewide Fund Accounting.

Subrecipients are assessed for financial, organizational, and compliance risk at different stages of the sponsored project life cycle. Initial risk assessment takes place prior to proposal submission and continues during issuance of subaward agreements and modifications, annual single audit or financial control review, and documentation of closeout requirements.

The following documents are used to assist the University in our monitoring responsibilities, the following tools are used throughout the life of a subaward:

  1. Subaward Monitoring Checklist
  2. Subrecipient Risk Assessment Worksheet
  3. Subrecipient Questionnaire
  4. Subaward Compliance & Assurance Statement
  5. Release of Claims Form

Policy & Regulations  

  1. FFATA Policy
  2. Subrecipient Monitoring Policy
  3. High Risk Subrecipient Monitoring Policy
  4. Closeout & Release of Claims Policy
  5. University of Alaska Accounting & Administrative Manual
    1. D-06 Subawards & Vendor Contracts
    2. D-07 Subrecipient Monitoring 
    3. D-08 American Recovery and Reinvestment Act of 2009
  6. 2 CFR §200