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 Sponsored Program Services (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 an A-133 audit or other federal financial review. Subrecipients not subject to 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 SPS

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