Policies & Procedures


Section: C&G
Part: EXH
Statement No.: 4.11
Date: 10/01/09
University of North Carolina - General Administration
Administrative Policies and Procedures Manual
Title: Subrecipient Monitoring



Sponsored Programs will obtain the following subrecipient selection recommendation/ justification prior to issuing subawards.
Subrecipient Selection Recommendation
Principal Investigator Name:                                               Phone number:
PI Contact Information:
Proposal Title:
Prime Sponsor:
Proposed Subrecipient Name:
Please provide a brief justification of the selection of this subrecipient based on the eligibility criteria, capacity/ experience to perform the scope of work.
Please provide a brief justification for the subrecipient’s budget/proposed costs.
Are you or a member of your immediate family on the Board of Directors, serving in an executive position for, have an ownership interest in, or provide consulting services for the proposed subrecipient? If so, please describe.
By signing below, the principal investigator attests there are no conflicts of interest requiring disclosure for administrative review and no activities or relationships that are generally not allowable.
Principal Investigator Signature ___________________________________, __________







The Division of Finance will send the following letter to all subrecipients annually.
Dear Name:
Our records indicate that your organization was a subrecipient of federal funds awarded to the University of North Carolina during fiscal year ending June 30, 20__. OMB Circular A-133, Audits of States, Local Government & Non-Profit Organizations, requires us to ensure that your organization is in compliance with the requirements of OMB Circular A-133. Accordingly, please check the appropriate boxes and provide any required documents:
1.  [ ] We have not yet completed our A-133 audit for fiscal year 20__. We expect that audit to be completed by ________________. Upon completion, we will provide you with written notification and, if material findings are reported related to the sub-award(s) from the University of North Carolina, we will send a copy of the audit report and corrective action plan.
2.  [ ] We have completed our A-133 audit for fiscal year 20__. The audit presented no material weaknesses, no material instances of noncompliance and no findings related to the sub-award(s) from the University of North Carolina. Therefore, we are not enclosing a copy of the report.
3.  [ ] We have completed our A-133 audit for fiscal year 20__. Material weaknesses, material instances of noncompliance, or findings related to the University of North Carolina’s sub-award(s) to us were noted. Enclosed is a copy of the audit report and our response.
4.  [ ] We are not subject to the provisions of A-133 because (please provide a copy of the most recent audited financial statement).
              [ ] Our organization is for profit.
              [ ] Our organization expended less than $500,000 in Federal funds in fiscal year 20__.
              [ ] Other (explain) _______________________________________________________.
I certify that the boxes checked above are appropriate for the institution I represent. In addition, I certify that all relevant material findings in the audit report have been disclosed.
Signature: _________________________________________ Date:________________________
Print Name and Title: ______________________________________________________________________________________
Address: ______________________________________________________________________________________
Email: __________________________________ Phone No: ___________________________________
If you have any questions contact Ann Doty, (919) 843-5187/amd@northcarolina.edu. Please send your response to the address above. We would appreciate a reply by within 30 days of receipt of this letter.