University of Connecticut University of UC Title Fallback Connecticut

Subrecipient Pre-Qualification Review

Female student in research lab at the Waterbury Campus.For UConn proposals to external sponsors in which a potential subawardee is identified, the Principal Investigator must include the following documents for each potential subawardee.

  • Signed Subrecipient Checklist and Consortium Statement (Attachment A)
  • Subrecipient budget and agreed upon scope of work
  • Other information that may be required by sponsors, such as compliance certifications, biographical sketches, current and pending support, and available facilities pages

Risk Assessment

Before executing a subrecipient agreement, the subrecipient must complete and submit a Subrecipient Profile Questionnaire (Attachment B), which allows the University to identify risks. Where the risk assessment reveals a high potential for financial risk, a proposed risk mitigation strategy will be developed by Office of the Vice President for Research Sponsored Program Services (OVPR SPS) before proceeding with the subaward. The risk assessment takes into account several factors, including the following:

  • Type of subrecipient organization (for-profit/not-for-profit/small business/corporation/ foreign/domestic)
  • Whether the subrecipient is subject to a Uniform Grant Guidance/ A-133 audit or other federal financial review. Subrecipients not subject to a Uniform Grant Guidance/ A-133 audit requirements will provide more information regarding their financial status and systems as part of the Subrecipient Profile Questionnaire.
  • Award size relative to the subrecipient’s sponsored research portfolio
  • Award complexity, sensitivity of the work, and complexity of the governing regulations
  • University’s prior experience with the subrecipient
  • Subrecipient location (i.e., remoteness from the University might require more oversight);
  • Organizational and individual conflict of interest

 Issuing a Subaward

In order to initiate a subaward, the PI or department grant administrator completes a Research Subaward Agreement and submits it to OVPR SPS

  • OVPR SPS reviews the document, revises it as necessary and forwards it to the subrecipient for signature
  • OVPR SPS negotiates terms with the subrecipient if necessary, counter-signs the agreement, and forwards it to the Attorney General’s Office for approval
  • OVPR SPS distributes copies of the subaward to the subrecipient, UConn PI, and UConn Accounts Payable. A copy is retained in OVPR SPS’s official award file.

Standard Terms in Subawards

The University subawards generally will include the following terms and conditions:

  • Mandatory flow-down provisions from the prime award, such as the requirements of applicable federal laws and regulations
  • Payment terms, including but not limited to,: fixed price or cost reimbursement, termination, billing and invoice certification requirements
  • Ownership of intellectual property and data
  • For federal awards, the CFDA number, prime award number, and the federal agency sponsoring the award
  • Requirement permitting the sponsor and the University and their auditors to have access to the records and financial statements as necessary for the University to conduct a review as necessary
  • For subrecipients subject to Uniform Grant Guidance/ A-133, a requirement to report any problem related to the subaward identified in their annual audits and to submit corrective action plans for review by the University

Post-Award Subrecipient Monitoring

The University is responsible for monitoring the activities of subrecipients to ensure that awarded funds are used for authorized purposes and that performance goals are achieved.