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Subrecipient Pre-qualification Review

For UConn Health proposals to external sponsors in which a potential subawardee is identified, the Principal Investigator (PI) must include the following documents for each potential subawardee.

  • Information and Compliance Form for Subrecipients
  • Subrecipient budget and agreed upon scope of work
  • F&A rate agreement
  • Other information that may be required by sponsors, such as compliance certifications, biographical sketches, current and pending support, and available facilities pages

Risk Assessment

The subrecipient must complete and submit a Subrecipient Profile Questionnaire, which allows UConn Health to identify financial weaknesses related to management of sponsored funds.  A risk assessment is completed based on the subrecipient Profile Questionnaire, the Information and Compliance form, and most current single audit for subrecipient. Where the risk assessment reveals a high potential for financial risk, a proposed risk mitigation strategy will be developed by SPS before proceeding with the subaward. The risk assessment takes into account several factors, including:

  • Type of subrecipient organization (for-profit/not-for-profit/small business/corporation/foreign/domestic)
  • Whether the subrecipient is subject to Uniform Guidance or other federal financial review. Subrecipients not subject to Uniform Guidance audit requirement 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
  • UConn Health’s prior experience with the subrecipient
  • Subrecipient location (i.e., remoteness from the UConn Health might require more oversight);
  • Organizational and individual conflict of interest

Issuing a Subaward

In order to initiate a subaward, the PI or designee submits a requisition in HuskyBuy, which must include the FDP Agreement Request form, subrecipient SOW, budget, budget justification and any applicable compliance approvals.

  • SPS reviews the documents, drafts a Research Subaward Agreement, sends to PI for review and approval, and forwards it to the subrecipient for signature
  • SPS negotiates terms with the subrecipient if necessary, countersigns the agreement
  • SPS distributes copies of the subaward to the subrecipient and PI.  A copy is retained in SPS’ award file

Standard Terms in Subawards

The UConn Health 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 UConn Health 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 Guidance, a requirement to report any problem related to the subaward identified in their annual audits

Post-Award Subrecipient Monitoring

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