All staff who can work at home should continue to do so. Only with an explicit request from a supervisor should a staff member return to campus. For more information, review COVID-19 Workplace Guidance.
Subaward FAQs: PreAward
- Ensures that the required documentation for establishment of a subaward is received and complete at the time of proposal review (i.e. SIC form, FDP LOI, scope of work, budget, F&A rate agreement).
- Works with the DBO and PI to obtain missing subaward information required at the time of proposal review.
- Reviews award documentation and logs a new subaward agreement/amendment to the Specialist.
- Works with the Subaward Manager to draft special terms and conditions, non-standard language and non-standard reporting requirements, if required.
- Runs IRES activity log to determine need to issue subawards.
- Ensures that all required compliance documentation is complete prior to generating a subaward agreement.
- Works with DBO and PI to obtain budget confirmation and any other missing items.
- Drafts new subaward agreements and amendments funded by grants from federal and private sponsors.
- Conducts subaward risk assessments and audit reviews.
- Determines monitoring activities to ensure a Subrecipient’s compliance with the terms and conditions of the subaward.
- Obtains final business office confirmation of subaward agreement/amendment drafts and sends to the Subrecipient institution for execution.
- Upon receipt of the partially executed subaward agreement/amendment, coordinates OSP signature and returns the fully executed subaward agreement/amendment to the Subrecipient.
- Ensures subaward funding is accurately reflected in the IRES record and Workday.
- Oversees the accurate set up of subaward funding in Workday
- Emails the fully executed subaward to the PI and DBO, including confirmation that the subaward has been activated in Workday.
- Serves as the Administrative Contact on outgoing subawards.
Regardless of the type of recipient, the rate(s) in effect at the beginning of the competitive segment will be used to determine the amount budgeted for F&A costs for each year of the competitive segment. F&A cost reimbursement on grants formerly subject to OMB Circular A-21 (Institutions of Higher Education) is based on the rates used in the award, which are not subject to adjustment in reimbursement except for the establishment of permanent rates when a provisional rate was used for funding. The decision matrix below can be used to determine if rebudgeting to accommodate a higher F&A rate can be permitted.
Under an NIH grant to Yale, can a subrecipient rebudget direct costs to indirect costs to accommodate a higher F&A rate if it provides an updated rate agreement?
Regardless of the type of grant subrecipient, the rate(s) in effect at the beginning of a new or competitive segment grant will be used to determine the amount budgeted for F&A costs for each year of the competitive segment. F&A cost reimbursement is based on the rate(s) used at the beginning of the competitive segment and is not subject to adjustment in reimbursement except for those instances when the subrecipient uses a provisional rate in a proposal and a permanent rate is subsequently negotiated.
|If the rate type at the beginning of a competitive segment is…||And the new rate type is…||And the…||Can the Subrecipient rebudget according to the NIH GPS?|
|Permanent / Negotiated (i.e., Fixed, Final, Predetermined)||Permanent / Negotiated (i.e., Fixed, Final, Predetermined)||Subrecipient was formerly subject to OMB Circular A-21 (IHE)||NO. Rebudgeting is not permitted from direct costs to accommodate a rate increase if the F&A costs provided for a period were based on negotiated rates rather than provisional rates.|
|Permanent / Negotiated (i.e., Fixed, Final, Predetermined)||Permanent / Negotiated (i.e., Fixed, Final, Predetermined||Subrecipient was NOT formerly subject to OMB Circular A-21||YES. F&A cost reimbursement is based on the negotiated F&A rate agreement consistent with the time period when the cost is incurred.|
|Provisional||Permanent / Negotiated (i.e., Fixed, Final, Predetermined)||Subrecipient was formerly subject to OMB Circular A-21 (IHE)||YES. Rates are subject to adjustment in reimbursement with the establishment of a permanent rate when a provisional rate was used for funding.|
|Provisional||Permanent / Negotiated (i.e., Fixed, Final, Predetermined)||Subrecipient was NOT formerly subject to OMB Circular A-21||YES. F&A cost reimbursement is based on the negotiated F&A rate agreement consistent with the time period when the cost is incurred.|
If the Subrecipient institution is not listed as a supplier in Workday, the business office must submit a Supplier Request and inform the Subaward Manager when the supplier set up has been completed.
With every new foreign supplier, the business office is responsible for requesting from the subrecipient institution a Form W-8 (W-8BEN-E for foreign business entities). Departments can instruct suppliers to contact the Finance Support Center and send all documentation to email@example.com. The Supplier Compliance Unit will maintain these documents in the Supplier Database. An updated W‑8BEN‑E form is required every three years. If the form has expired, the DBO is responsible for obtaining and attaching an updated copy to the invoice. Refer to 1307 PR.01 Establishing Subrecipients Associated with Sponsored Programs Section 4B: Determining Subaward Terms and Conditions for additional information.
Federally funded subaward agreements to foreign entities will be drafted using a special template authorized under the Federal Demonstration Partnership. Foreign subrecipients must also have an active DUNS number.
Check the IRES activity log for the current status and actions taken and contact your Subaward Manager for questions or clarification.
Tips for efficient processing of subawards:
- Send requests for new subawards or amendments to the appropriate GCAT mailbox. All requests are reviewed by the Award Manager and then logged to the Subaward Manager for processing.
- In order to expedite the process, review SIC materials, LOIs, dates, scopes of work and budgets for completeness and accuracy before submitting to OSP. If information is incomplete or incorrect, the business office should contact the Subrecipient.
- Ensure that a Subrecipient’s IRB and/or IACUC approval is in place. Subawards are not issued if IRB or IACUC compliances are pending.
- Provide timely review of subaward drafts and requests for information to the Subaward Manager.
- Become familiar with published subaward policies and procedures and consider an online refresher course in Subrecipient Basics.
- Subawards to high risk entities require extensive OSP review, monitoring plans and customized language. Inform your PI of the risks associated with issuing subawards to organizations with few internal controls or significant audit findings. Doing so could adversely impact study goals and Yale’s compliance with the sponsor’s terms and conditions.
- Consult the IRES activity log for subaward status updates.
- When requesting action on a subaward, concisely provide the pertinent information.
The Subaward Manager may set up new grant lines for subaward funding (subaward GR lines) if the award is new and subaward funding was not included on the Workday Webform, or if the subaward is after the fact. They also set up Supplier Contracts.
A Supplier Contract is the Workday mechanism used to pay subaward invoices. The total dollar amount of the Supplier Contract will be equal to the funding amount obligated in the subaward agreement(s)/amendment(s). The Supplier Contract number is part of the overall Subaward Number and must be referenced on all subaward invoices to facilitate payment.
New Supplier Contracts are created for every new outgoing subaward agreement. New Supplier Contracts are also created for annual amendments on non-SNAP awards. Each annual amendment on a non-SNAP award will have a unique Supplier Contract number.
SMS numbers are paired with a Supplier Contract number on SNAP subaward amendments that were already in place at the time of Workday conversion. The SMS number will be paired with the Supplier Contract number until the competitive cycle is over.
A GR number is paired with a Supplier Contract number for brand new subawards established post-conversion. GR numbers may also be paired with a Supplier Contract on non-SNAP amendments.