Subaward actions requiring prior approval
If carryover authority is not automatic, it requires sponsor approval and an Authorized Official of the subrecipient institution should submit a written request for carry over to the Administrative Contact noted in the original subaward agreement (typically the OSP Subaward Manager.) The request will be forwarded via email to the DBO for review. If the DBO and PI concur, a written prior approval request incorporating the subrecipient’s request should be sent to the assigned GCAT mailbox and will be assigned to the OSP Award/Contract Manager for review and submission to the sponsor in accordance with 1307 PR.01 Establishing Subrecipients Associated with Sponsored Programs Section 4D: Subaward Renewals and Modifications.
A subrecipient’s carry over request to Yale should include:
- Amount of carry over after commitments
- Reason for carry over
- Summary of how carry over funds will be s
- Detailed budget
- From and to dates of carry over
Once the sponsor approves the carry over, the OSP Award Manager will log a subaward amendment to the Subaward Manager to authorize the carry over.
If carry over is automatic, there is no need to obtain approvals or specify carry over amounts in subsequent subaward amendments.
No Cost Extensions
An Authorized Official of the subrecipient institution should submit a written request for a no cost extension to the Administrative Contact noted in the original subaward agreement (typically the OSP Subaward Manager.) A subrecipient’s extension request for federally sponsored projects should be made no less than 30 days prior to the end date, or in accordance with the terms and conditions of the subaward agreement if privately sponsored. Upon receipt, the request will be forwarded to the DBO for review.
If the DBO and PI concur, an approval for an extension of the subaward end date should be emailed to the Subaward Manager. The email should contain the following:
- PI name, sponsor name, sponsor ID, IRES record number, current expiration date, new requested expiration date.
- Programmatic reason for an extension.
- Confirmation that sufficient funds are available to support the project for the extended period of time and for the approved/committed effort.
If the Subrecipient requested an extension directly from the Yale PI, the DBO should email the extension approval to the Subaward Manager.
Additional funding and time
During the life of a subaward, there may be circumstances that require an amendment to authorize additional funding or adjust the period of performance. In these cases, the DBO must send an email containing the request to the assigned GCAT mailbox. The email should contain the Yale PI’s name, IRES record number, grant/contract ID and an explanation of the programmatic reasons for an amendment. Also provide the budget amount, effective dates and whether the Subrecipient is compliant with invoicing, reporting and performance requirements. The OSP Award/Contract Manager will review the request and if approved, will log the amendment to the Subaward Manager for processing.
At the point that a notice of award for a continuing year is received and an activity log is opened to the Subaward Manager to process an amendment, the Subaward Manager will email the DBO for confirmation of the budget amount.
In extremely rare circumstances in which subrecipient requests advance payments or prepayments, refer to Procedure 1307 PR.02 Managing Subrecipient Activity Associated with Sponsored Programs.