UNIVERSITY of WISCONSIN-MADISON
UNIVERSITY of WISCONSIN-MADISON

Subrecipient Monitoring

Page Updated: April 26th, 2018

Subaward monitoring is a shared responsibility at UW-Madison, with RSP having primary responsibility for developing policies and procedures.

UW-Madison uses the Uniform Guidance as a guiding principle for all subawards we issue, regardless of whether the agreement is sponsored by federal or non-federal funding. RSP makes a subrecipient/vendor determination, conducts a risk assessment, and completes annual subrecipient monitoring for all subawards.

Subrecipients determined to be high risk may require further review, which may result in additional terms and conditions. Departmental staff and principal investigators assist RSP with ongoing monitoring and closeout activities.

UW-Madison Subaward Lifecycle Roles and Responsibilities

The information presented below provides a high-level view of the processes followed during the subaward lifecycle, staff responsible for the functions, and the systems used.

Subaward Lifecycle: Proposal Preparation
Function/Process Responsible Staff Systems/Tools
As applicable, review LOI, SOW, budget
  • Dean's or Director's Office
  • RSP Proposal Services
  • WISPER
Subaward Lifecycle: Award Setup
Function/Process Responsible Staff Systems/Tools
Perform subrecipient versus contractor determination
  • RSP Outgoing Subaward Team
  • Subaward Portal
Initiate subaward request
  • Department & Division staff
  • Subaward Portal
Confirmation of subaward information
  • RSP Outgoing Subaward Team
  • Subaward Portal
  • E-mail

Subrecipient risk assessment:

  • Audit Certification/Financial Questionnaire Form review
  • Single Audit/Financial review
  • Institutional assessment
  • Project/compliance assessment
  • RSP Outgoing Subaward Team
  • RSP Subaward Monitoring Team
  • Subaward Portal
  • SAM
  • Visual Compliance
  • FDP Expanded Clearinghouse
  • Audit Certification/Financial Questionnaire Form
Generate and negotiate subaward
  • RSP Outgoing Subaward Team
  • Subaward Portal
  • E-mail
  • Shared Financial System
Subaward requisition
  • RSP Outgoing Subaward Team
  • Business Services' External Requisition Generator
Subaward Lifecycle: Award Management
Function/Process Responsible Staff Systems/Tools
Subaward invoice review/payments
  • RSP Accountant
  • Subaward Invoice Team
  • Principal Investigator/Department
  • Accounts Payable
  • Purchasing Information Inquiry
  • Remaining Encumbrance Status Tool
  • E-mail
  • Subaward Invoice Tracking (internal RSP tool)
  • Shared Financial System
  • Perceptive Content (formerly ImageNow)
Subaward modifications
  • RSP Accountants
  • Purchasing
  • Principal Investigator/Department
  • Subaward Portal
  • SAM
  • Visual Compliance
Annual audit reviews
  • RSP Subaward Monitoring Team
  • Subaward Portal
FFATA reporting
  • RSP Subaward Monitoring Team
  • Fsrs.gov
  • USAspending.gov
  • Subaward Portal
Subaward Lifecycle: Closeout
Function/Process Responsible Staff Systems/Tools
Final review
  • Departmental Administrators
  • RSP Accountants and Closeout Team
  • Closeout Checklists
  • Purchasing Information Inquiry
  • Remaining Encumbrance Status Tool
  • Shared Financial System
  • WISDM
  • Subaward Invoice Tracking (internal RSP tool)