Subaward Amendments

Additional funding and time

During the life of a subaward, an amendment may be issued to authorize additional funding or adjust the period of performance. For an additional time/funding amendment, the DBO must send the request to the assigned GCAT email. The email should contain the following:

  • The Yale PI’s name
  • The IRES record number and subaward number
  • The budget amount and effective dates
  • An explanation of the programmatic reasons for an amendment

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 Attachment 3A of the original subaward agreement. A subrecipient’s extension request should be made no less than 30 days prior to the end date for a federally sponsored project, or in accordance with the terms and conditions of the subaward agreement if non-federally sponsored. The Subaward Manager will forward the request to the DBO for review with the Yale PI.

If the PI approves, the DBO will email the no cost extension authorization to the assigned GCAT email. The DBO’s request should contain the following:

  • PI name, sponsor name, subaward number, 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 and for the approved/committed effort

If the Subrecipient requested an extension directly from the Yale PI, the DBO should email the PI’s approval of the extension to GCAT.

Carryover

If carryover authority is not automatic, sponsor approval is required. The carryover request process is as follows:

  1. Authorized Official of the subrecipient institution submits a written request for carryover to the Administrative Contact noted in Attachment 3A of the original subaward agreement. A subrecipient’s carryover request to Yale should include:
    1. Amount of carryover after commitments
    2. Reason for carryover
    3. Summary of how carryover funds will be spent
    4. Detailed budget
    5. Budget period(s) the carryover funds originate from and budget period(s) the carryover funds should be applied to
  2. Subaward Manager forwards request to the DBO for review.
  3. If the DBO and PI concur, DBO sends a prior approval request to the assigned GCAT email.
  4. GCAT assigns the request 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.

Once the sponsor approves the carryover, the OSP Award/Contract Manager logs a subaward amendment to the Subaward Manager to authorize the carryover.

Prepayments

In the extremely rare circumstance that a subrecipient requests advance payments or prepayments, refer to Procedure 1307 PR.02 Managing Subrecipient Activity Associated with Sponsored Programs.