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  • Verify the subrecipeint meets the UG definition of subrecipient, utilizing the Sub vs. Contractor Determination Form (EXHIBIT 2)
  • Include all required information per UG §200.331
  • Determine whether the subrecipient or its PIs are debarred or suspended from receiving federal funds
  • Perform a Risk Assessment (EXHIBT 1) for all subrecipients
    • Perform site-visits or increased monitoring based on Risk Assessment level of risk (high risk only)
    • As regulated in UG §200.331(e)
  • Maintain all subrecipient information in PeopleSoft Award Module
    • Subrecipient and PI name
    • Budget amounts
    • Subaward begin/end dates
    • Amendments to contract information
      • Dates
      • Budget
    • Annually review all active subawards
      • Obtain subrecipient monitoring from signed by PI (EXHIBIT 5) prior to issuance of amendments
      • If a subrecipient has been identified as high-risk or is foreign, complete continuing risk assessment form (EXHIBIT 1) prior to issuance of amendments
      • Request Audit Certification Letters from all subrecipients (EXHIBIT 3)
      • Review returned certification letters to verify that no audit findings related to federal funds provided by UTD are reported.
        • If no findings are indicated, OSP will save the certification and no further action is necessary.
        • If findings are indicated, OSP will make a management decision:
          • The management decision (EXHIBIT 4) must be issued within 6 months of receipt of the audit report;
          • Prior to issuing the management decision, UTD may request additional information or documentation from the auditee, including a request for auditor assurance related to the documentation, as a way of mitigating disallowed costs;
          • Send Management Decision Letter to subrecipient containing the following:
            • Whether or not the audit finding is sustained.
            • Reason for the decision.
            • Expected auditee action – repay disallowed costs, make financial adjustments, or take other action.
            • If the auditee has not completed corrective action, a timetable for follow-up should be given.
            • Any appeal process available to the auditee.
          • Retain all documentation in official award files.
  • Obtain subaward closeout certification form (EXHIBIT 6) from subrecipient within six (6) months of project end

Office of Post Award Management (OPM)

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