{"id":208,"date":"2025-12-03T15:12:02","date_gmt":"2025-12-03T20:12:02","guid":{"rendered":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/?page_id=208"},"modified":"2025-12-09T16:37:28","modified_gmt":"2025-12-09T21:37:28","slug":"sub-recipient-and-sub-award-monitoring","status":"publish","type":"page","link":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/sub-recipient-and-sub-award-monitoring\/","title":{"rendered":"Sub-Recipient and Sub-Award Monitoring"},"content":{"rendered":"\n<div class=\"wp-block-columns sidebar is-layout-flex wp-container-core-columns-is-layout-28f84493 wp-block-columns-is-layout-flex\">\n<div class=\"wp-block-column is-layout-flow wp-block-column-is-layout-flow\" style=\"flex-basis:45rem\">\n<p class=\"is-style-intro\">Clark University researchers often collaborate on funded projects with colleagues at other institutions, contractors providing services, and other organizations.\u00a0 If Clark University is the prime recipient and a pass-through entity of funded awards with sub-awards, the University follows established policies and procedures.<\/p>\n\n\n\n<p>As a prime recipient and a pass through entity of Federal awards, Clark University is required to monitor the activities of sub-recipients. In order meet the requirements of the Office of Management and Budget <a href=\"https:\/\/www.ecfr.gov\/current\/title-2\/subtitle-A\/chapter-II\/part-200\">Uniform Administrative Requirements, Cost Principles, and Audit Requirements For Federal Awards<\/a> (2 CFR 200), commonly known as Uniform Guidance, the University shall perform the following with respect to sub-recipients\/sub-awards:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Identify Federal awards made by informing each sub-recipient of CFDA title and number, award name and number, award year, if the award is R&amp;D, and name of Federal agency. If any of this information is not available, the pass-through entity shall provide the best information available to describe the Federal award.<\/li>\n\n\n\n<li>Advise sub-recipient of requirements imposed on them by Federal laws, regulations, and the provisions of contracts or grant agreements as well as any supplemental requirements imposed by the pass-through entity.<\/li>\n\n\n\n<li>Monitor the activities of sub-recipients as necessary to ensure that Federal awards are used for authorized purposes in compliance with laws, regulations, and the provisions of contracts or grants agreements and that the performance goals are achieved.<\/li>\n\n\n\n<li>Ensure that sub-recipients expending $750,000 or more in Federal awards during the sub-recipient\u2019s fiscal year have met the audit requirements of 2 CFR 200 for that fiscal year.<\/li>\n\n\n\n<li>Issue a management decision on audit findings within six months after receipt of the sub-recipient\u2019s audit report and ensure that the sub-recipient takes appropriate and timely corrective action.<\/li>\n\n\n\n<li>Consider whether sub-recipient audits necessitate adjustment of the pass-through entity\u2019s own records.<\/li>\n\n\n\n<li>Require each sub-recipient to permit the pass-through entity and auditors to have access to the records and financial statements as necessary for the pass-through entity to comply with this part.<\/li>\n<\/ul>\n\n\n\n<aside class=\"wp-block-group boxout has-lighter-blue-background-color has-background is-content-justification-left is-layout-constrained wp-container-core-group-is-layout-12dd3699 wp-block-group-is-layout-constrained\">\n<p>The Principal Investigator (PI) is responsible for monitoring the activities of the sub-recipient to ensure compliance with the progression of work, progress reports, technical reports and other deliverables by specified due dates.&nbsp; Any concerns or issues related to sub-award or sub-recipient monitoring should be brought to the attention of OSPR.&nbsp; PI, or assigned designee, is responsible for forwarding copies of the sub-recipient\u2019s progress report and\/or technical report(s) to OSPR.<\/p>\n<\/aside>\n<\/div>\n\n\n\n<div class=\"wp-block-column is-layout-flow wp-block-column-is-layout-flow\"><?xml encoding=\"utf-8\" ?><nav class=\"is-vertical wp-block-navigation is-content-justification-stretch is-layout-flex wp-container-core-navigation-is-layout-2c14e10a wp-block-navigation-is-layout-flex\" aria-label=\"Procedures Sub Navigation\"><ul class=\"wp-block-navigation__container  is-vertical wp-block-navigation\"><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/animal-use\/\"><span class=\"wp-block-navigation-item__label\">Animal Use<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/award-expenditures\/\"><span class=\"wp-block-navigation-item__label\">Award Expenditures<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/citi-training\/\"><span class=\"wp-block-navigation-item__label\">CITI Training<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/cost-transfer\/\"><span class=\"wp-block-navigation-item__label\">Cost Transfer<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/export-controls\/\"><span class=\"wp-block-navigation-item__label\">Export Controls<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/financial-conflict-of-interest\/\"><span class=\"wp-block-navigation-item__label\">Financial Conflict of Interest<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/irb-human-subjects\/human-subjects-policy\/\"><span class=\"wp-block-navigation-item__label\">Human Subjects Policy<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/intellectual-property\/\"><span class=\"wp-block-navigation-item__label\">Intellectual Property<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/policies\/www-content\/uploads\/sites\/295\/2023\/02\/International-Travel-Policy-FINAL-Jan-2023-1.pdf\"><span class=\"wp-block-navigation-item__label\">International Travel<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/re-budgeting-and-prior-approvals\/\"><span class=\"wp-block-navigation-item__label\">Re-Budgeting and Prior Approvals<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/responsible-conduct-in-research\/\"><span class=\"wp-block-navigation-item__label\">Responsible Conduct in Research<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/sub-recipient-and-sub-award-monitoring\/\"><span class=\"wp-block-navigation-item__label\">Sub-Recipient and Sub-Award Monitoring<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/cdn.clarku.edu\/sponsored-programs-and-research\/wp-content\/uploads\/sites\/116\/summer-salary-guideline.pdf?_gl=1*14k6xcw*_gcl_aw*R0NMLjE3Njg0ODc2NjAuRUFJYUlRb2JDaE1JZ29DNzlPR05rZ01Wd3pZSUJSMWEtQ3c2RUFBWUFTQUFFZ0pNS2ZEX0J3RQ..*_gcl_au*MTA0MjkxMTczMy4xNzYzNzQzMDAz\"><span class=\"wp-block-navigation-item__label\">Summer Salary Guidelines<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/time-and-effort-reporting\/\"><span class=\"wp-block-navigation-item__label\">Time and Effort Reporting<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/wp-content\/uploads\/sites\/116\/Trafficking-in-Persons-Procedures.pdf\"><span class=\"wp-block-navigation-item__label\">Trafficking in Human Persons<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/offices\/purchasing\/travel-policy\/\"><span class=\"wp-block-navigation-item__label\">Travel Policy<\/span><\/a><\/li><\/ul><\/nav>\n<\/div>\n<\/div>\n\n\n\n<div class=\"wp-block-group section is-layout-constrained wp-block-group-is-layout-constrained\">\n<div class=\"wp-block-clarku-clarku-block-tabs clarku__tabs_ba69eccb\"><ul class=\"clarku__tab-labels\" role=\"tablist\" aria-label=\"tabbed content\"><li id=\"\" class=\"clarku__tab-label active\" role=\"tab\"><strong>Sub-recipient invoices<\/strong><\/li><li id=\"\" class=\"clarku__tab-label\" role=\"tab\"><strong>Grant accounting review<\/strong><\/li><li id=\"\" class=\"clarku__tab-label\" role=\"tab\"><strong>Closeout requirements<\/strong><\/li><\/ul><div class=\"clarku__tab-content\">\n<div class=\"wp-block-clarku-child-tab clarku__tab-panel\" role=\"tabpanel\" aria-labelledby=\"<strong&gt;Sub-recipient invoices<\/strong&gt;\">\n<p><strong>Sub-recipient invoices submitted to the University must contain the following information:<\/strong><\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Invoice must be on the sub-recipient\u2019s letterhead<\/li>\n\n\n\n<li>Date of invoice<\/li>\n\n\n\n<li>Invoice number<\/li>\n\n\n\n<li>Period of performance covered by the invoice<\/li>\n\n\n\n<li>Itemized description of services and backup documentation<\/li>\n\n\n\n<li>Current period costs, including cost sharing<\/li>\n\n\n\n<li>Cumulative projects costs, including cost sharing<\/li>\n\n\n\n<li>Sub-recipient contact person with respect to invoice<\/li>\n\n\n\n<li>Invoice must be signed by an authorized official of the sub-recipient<\/li>\n\n\n\n<li>Invoice must contain a certification that all payments requested are for appropriate purposes and in accordance with the agreements set forth in the application and award documents<\/li>\n<\/ul>\n\n\n\n<p>The PI is also responsible for reviewing and approving invoices from sub-recipient(s) for adherence to the budget. The signature of the PI, or assigned designee, on the invoice indicates that the review has taken place and that the invoice adheres to the budget.<\/p>\n<\/div>\n\n\n\n<div class=\"wp-block-clarku-child-tab clarku__tab-panel\" role=\"tabpanel\" aria-labelledby=\"<strong&gt;Grant accounting review<\/strong&gt;\">\n<p><strong>Grants Accounting will review the sub-recipient\u2019s invoice(s) for the following:<\/strong><\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Period of performance is within the contract period<\/li>\n\n\n\n<li>Appropriate invoice format and level of detail<\/li>\n\n\n\n<li>Signatures of the PI, or assigned designee<\/li>\n\n\n\n<li>Certification or signature by authorized sub-recipient representatives<\/li>\n\n\n\n<li>Funds are available in contract<\/li>\n\n\n\n<li>Cost Share documentation, if applicable<\/li>\n<\/ul>\n\n\n\n<p>Grants Accounting is responsible for ensuring that sub-recipients that expend $750,000 or more of federal funds each fiscal year submit an Audit Certification Letter.<\/p>\n<\/div>\n\n\n\n<div class=\"wp-block-clarku-child-tab clarku__tab-panel\" role=\"tabpanel\" aria-labelledby=\"<strong&gt;Closeout requirements<\/strong&gt;\">\n<p><strong>Sub-recipient award closeout requirements:<\/strong><\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Annual Audit certification letter<\/li>\n\n\n\n<li>Receipt of final invoice<\/li>\n\n\n\n<li>Receipt of Cost Share documentation, if applicable<\/li>\n\n\n\n<li>Time and Effort certifications<\/li>\n\n\n\n<li>Final progress and technical reports<\/li>\n<\/ul>\n<\/div>\n<\/div><\/div>\n<\/div>\n","protected":false},"excerpt":{"rendered":"<p>Clark University researchers often collaborate on funded projects with colleagues at other institutions, contractors providing services, and other organizations.\u00a0 If Clark University is the prime recipient and a pass-through entity of funded awards with sub-awards, the University follows established policies and procedures. As a prime recipient and a pass through entity of Federal awards, Clark [&hellip;]<\/p>\n","protected":false},"author":7,"featured_media":0,"parent":63,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":"","_links_to":"","_links_to_target":""},"class_list":["post-208","page","type-page","status-publish","hentry"],"yoast_head":"<!-- This site is optimized with the Yoast SEO Premium plugin v27.4 (Yoast SEO v27.4) - https:\/\/yoast.com\/product\/yoast-seo-premium-wordpress\/ -->\n<title>Sub-Recipient and Sub-Award Monitoring | Sponsored Programs and Research | Clark University<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/sub-recipient-and-sub-award-monitoring\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Sub-Recipient and Sub-Award Monitoring\" \/>\n<meta property=\"og:description\" content=\"Clark University researchers often collaborate on funded projects with colleagues at other institutions, contractors providing services, and other organizations.\u00a0 If Clark University is the prime recipient and a pass-through entity of funded awards with sub-awards, the University follows established policies and procedures. As a prime recipient and a pass through entity of Federal awards, Clark [&hellip;]\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/sub-recipient-and-sub-award-monitoring\/\" \/>\n<meta property=\"og:site_name\" content=\"Sponsored Programs and Research\" \/>\n<meta property=\"article:publisher\" content=\"https:\/\/www.facebook.com\/ClarkUniversityWorcester\" \/>\n<meta property=\"article:modified_time\" content=\"2025-12-09T21:37:28+00:00\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:site\" content=\"@clarkuniversity\" \/>\n<meta name=\"twitter:label1\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data1\" content=\"3 minutes\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\\\/\\\/schema.org\",\"@graph\":[{\"@type\":\"WebPage\",\"@id\":\"https:\\\/\\\/www.clarku.edu\\\/sponsored-programs-and-research\\\/procedures\\\/sub-recipient-and-sub-award-monitoring\\\/\",\"url\":\"https:\\\/\\\/www.clarku.edu\\\/sponsored-programs-and-research\\\/procedures\\\/sub-recipient-and-sub-award-monitoring\\\/\",\"name\":\"Sub-Recipient and Sub-Award Monitoring | Sponsored Programs and Research | Clark University\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/www.clarku.edu\\\/sponsored-programs-and-research\\\/#website\"},\"datePublished\":\"2025-12-03T20:12:02+00:00\",\"dateModified\":\"2025-12-09T21:37:28+00:00\",\"inLanguage\":\"en-US\",\"potentialAction\":[{\"@type\":\"ReadAction\",\"target\":[\"https:\\\/\\\/www.clarku.edu\\\/sponsored-programs-and-research\\\/procedures\\\/sub-recipient-and-sub-award-monitoring\\\/\"]}]},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\\\/\\\/www.clarku.edu\\\/sponsored-programs-and-research\\\/wp-json\\\/wp\\\/v2\\\/pages\\\/208#breadcrumbs\",\"itemListElement\":[{\"@type\":\"ListItem\",\"position\":0,\"name\":\"ClarkU\",\"item\":\"https:\\\/\\\/www.clarku.edu\\\/\"},{\"@type\":\"ListItem\",\"position\":1,\"name\":\"Sponsored Programs and Research\",\"item\":\"https:\\\/\\\/www.clarku.edu\\\/sponsored-programs-and-research\"}]},{\"@type\":\"WebSite\",\"@id\":\"https:\\\/\\\/www.clarku.edu\\\/sponsored-programs-and-research\\\/#website\",\"url\":\"https:\\\/\\\/www.clarku.edu\\\/sponsored-programs-and-research\\\/\",\"name\":\"Sponsored Programs and Research\",\"description\":\"\",\"potentialAction\":[{\"@type\":\"SearchAction\",\"target\":{\"@type\":\"EntryPoint\",\"urlTemplate\":\"https:\\\/\\\/www.clarku.edu\\\/sponsored-programs-and-research\\\/?s={search_term_string}\"},\"query-input\":{\"@type\":\"PropertyValueSpecification\",\"valueRequired\":true,\"valueName\":\"search_term_string\"}}],\"inLanguage\":\"en-US\"}]}<\/script>\n<!-- \/ Yoast SEO Premium plugin. -->","yoast_head_json":{"title":"Sub-Recipient and Sub-Award Monitoring | Sponsored Programs and Research | Clark University","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/sub-recipient-and-sub-award-monitoring\/","og_locale":"en_US","og_type":"article","og_title":"Sub-Recipient and Sub-Award Monitoring","og_description":"Clark University researchers often collaborate on funded projects with colleagues at other institutions, contractors providing services, and other organizations.\u00a0 If Clark University is the prime recipient and a pass-through entity of funded awards with sub-awards, the University follows established policies and procedures. As a prime recipient and a pass through entity of Federal awards, Clark [&hellip;]","og_url":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/sub-recipient-and-sub-award-monitoring\/","og_site_name":"Sponsored Programs and Research","article_publisher":"https:\/\/www.facebook.com\/ClarkUniversityWorcester","article_modified_time":"2025-12-09T21:37:28+00:00","twitter_card":"summary_large_image","twitter_site":"@clarkuniversity","twitter_misc":{"Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/sub-recipient-and-sub-award-monitoring\/","url":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/sub-recipient-and-sub-award-monitoring\/","name":"Sub-Recipient and Sub-Award Monitoring | Sponsored Programs and Research | Clark University","isPartOf":{"@id":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/#website"},"datePublished":"2025-12-03T20:12:02+00:00","dateModified":"2025-12-09T21:37:28+00:00","inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/sub-recipient-and-sub-award-monitoring\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/wp-json\/wp\/v2\/pages\/208#breadcrumbs","itemListElement":[{"@type":"ListItem","position":0,"name":"ClarkU","item":"https:\/\/www.clarku.edu\/"},{"@type":"ListItem","position":1,"name":"Sponsored Programs and Research","item":"https:\/\/www.clarku.edu\/sponsored-programs-and-research"}]},{"@type":"WebSite","@id":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/#website","url":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/","name":"Sponsored Programs and Research","description":"","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"}]}},"_links":{"self":[{"href":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/wp-json\/wp\/v2\/pages\/208","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/wp-json\/wp\/v2\/users\/7"}],"replies":[{"embeddable":true,"href":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/wp-json\/wp\/v2\/comments?post=208"}],"version-history":[{"count":2,"href":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/wp-json\/wp\/v2\/pages\/208\/revisions"}],"predecessor-version":[{"id":554,"href":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/wp-json\/wp\/v2\/pages\/208\/revisions\/554"}],"up":[{"embeddable":true,"href":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/wp-json\/wp\/v2\/pages\/63"}],"wp:attachment":[{"href":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/wp-json\/wp\/v2\/media?parent=208"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}