- 1307 PR.02 Managing Subrecipient Activity Associated with Sponsored Programs
- 1307 PR.03 Monitoring Subrecipient Activity Associated with Sponsored Programs
OSP, the DBO and the PI monitor subrecipients to help confirm:
- that the subaward is used for authorized purposes in compliance with federal regulations, as well as sponsor and Yale requirements and
- that subaward performance goals are being met.
PIs and DBOs have a role in subrecipient monitoring by ensuring progress reporting and invoicing requirements are being met according to the terms and conditions of the subaward agreement.
Progress Reporting: The principal investigator monitors the technical progress of a subrecipient’s performance as defined in the scope of work of the subaward. The PI should notify the business office and/or OSP of any performance issues with the subrecipient.
Invoicing: The PI (or delegate) reviews the invoice for reasonableness, that all costs appear appropriate, and the subrecipient is making adequate progress toward the aims of the subaward. The DBO reviews invoices for adherence to the budget and terms and conditions of the related subaward, monitors the status of invoices to ensure timeliness and accuracy of payments, and monitors the remaining balance of the subaward to ensure timeliness of invoice submission by the subrecipient.
- Invoices should not be processed for payment until a fully executed Subaward has been activated in Workday.
- Always run the “Find Subawards – Yale” report to determine if there are sufficient funds remaining to pay an invoice. Do not approve an invoice for payment if the Remaining Balance on the Supplier Contract will not cover the total amount invoiced.
- Do not approve an invoice for payment if the invoice includes unallowable costs, or if expenses charged are not part of the subrecipient’s budget in the subaward agreement.
- If an invoice is submitted by the subrecipient after the contractually required invoicing timeframe in the subaward, Yale may elect to not pay the invoice. Yale needs to pay invoices before the sponsor’s required reporting/payment timeframe and within Yale’s accounting closeout timeframe to ensure recoupment of funds. Untimely invoicing may also result in the increase of the subrecipient’s risk level.
- Run the Subaward Invoices in Progress–Yale report to see invoices that are Aging at 0-10 days, 11-20 days, 21-30 days, and 31+ days. 2 CFR Part 200, Uniform Guidance requires Yale to pay subrecipient invoices issued under a federal prime award within 30 calendar days after receipt of the invoice unless the invoice is believed to be improper.
- Use the Subaward Invoice Review Checklist to assist with your review of subaward invoices.
- If you get a Workday system error message when attempting to process an invoice, please refer to the SubAward Error Message Guide.