Sub-recipient Overview

Sub-Recipient Management

A sub-recipient agreement is an agreement made by the University to a third party for the performance of a substantive portion of the work of a sponsored project. In most cases, a sub-recipient award will be for a particular phase or area of a sponsored project which has been identified in both the proposal and subsequent agreement of the prime grant or contract and where the University maintains overall scientific, administrative, and financial responsibility (as opposed to covering the use of professional or consulting services).

In most cases, sub-recipient agreements will be to other universities for services similar to those performed by the University (research, instruction, and public service). The sub-recipient agreement document will be referenced as either a sub-contract, sub-grant, or sub-agreement. This determination will be based on the prime award being issued as a contract, grant, or agreement.

Sub-recipient Monitoring

UNC Asheville is responsible for the programmatic and financial monitoring of its Sponsored Programs sub-recipients. The procedures outlined in the documents below are intended to define specific responsibilities around sub-recipient establishment and monitoring and to assist in defining appropriate ways in which monitoring may be accomplished.

• Sub-recipient vs. Contractor
• Sub-recipient Risk Assessment Questionnaire (xls)
• Sub-recipient Monitoring Guide (pdf)
• Sub-recipient Invoicing

Closeout of Sub-awards

UNC Asheville will not close out a prime award until all sub-awards issued under the prime award have been closed out.

• Sub-awards must be processed for closeout and formally closed on a timely basis
• Closeout actions should begin immediately following the expiration of the sub-award performance period
• Sub-awards will only be considered formally closed when all applicable closeout requirements have been accomplished

In Summary

Sub-award closeout requirements:

1. Verification with UNC Asheville technical representative of the following:
   • Deliverable items/services have been delivered/performed
   • Inventions or discoveries report from UNC Asheville principal investigator (PI)
   • Residual property – property remaining at sub-award facility
2. Items provided by sub-awardee
   • Reports of patents, inventions, or discoveries
   • Report of residual property
   • Final certified cumulative invoice statement
3. Interim sub-award change order/amendment to deduct/add funds
4. Final invoice processing and payment