If you do not find your answer here, please feel free to contact the Subaward Team by emailing cu_subawards@cornell.edu.
How do I know if I need a subaward?
If an award is issued to Cornell and a portion of the programmatic work will be performed by another institution/entity, a subaward may need to be issued. A subaward request is submitted by the unit research administrator in Cornell’s Research Administration Support System (RASS) and the Subaward Team will complete the subaward process. Subawards can only be signed by the Office of Sponsored Programs.
When should I determine if there will be a subaward?
The determination of a potential collaboration is normally made at proposal submission stage. For assistance with determining if the collaboration is a subaward or contractor, please complete the Subaward vs Contractor checklist.
What is the difference between a vendor/procurement agreement and a subaward? Contracted services require a procurement agreement negotiated by Cornell’s Procurement and Payment Services, procurement@cornell.edu. It conforms with the university’s and in some cases the sponsor’s procurement requirements. Substantive programmatic work of a sponsored project requires a subaward, which is negotiated by Cornell’s Office of Sponsored Programs. The subaward contains (or flows down) most of the terms and conditions of the parent award.
What if I determine I need a subaward after the grant has been awarded?
If you become aware of the need for collaboration after your award has been made to Cornell, you will likely need to request prior approval for subawarding, and possibly rebudgeting, from the sponsoring agency. Your unit research administrator will need to gather the appropriate documents from the potential subrecipient and submit a request on the prime award record in RASS. The prime award Grant and Contract Officer (GCO) will then request prior approval from the sponsor.
What information do I need to provide for the subaward?
The sponsor needs to approve the scope of work and the budget of the collaborator. Depending on the sponsor and the project, additional information may be necessary such as a biographical sketch, current and pending, collaborators and other affiliations, etc. Please work with the prime award GCO to assist with the additional documentation required by the prime sponsor.
I received an award, will my subaward be set up automatically? No, subawards are not set up automatically when a prime award is granted to Cornell. The unit research administrator must initiate the new subaward request on the subaward record in RASS. For guidance on initiating a subaward in RASS, please see: https://guide.rass.cornell.edu/sponsored-projects/initiate-a-subaward.
How is a subaward set up?
The unit research administrator will initiate the new subaward request on the subaward record in RASS. The Subaward Team will review the request and complete the subaward process. Once the subaward is fully executed by both the subaward institution/entity and Cornell the Subaward Team will distribute the new subaward in RASS. Sponsored Financial Services will establish a subaccount (except when a unit requires a related account) for the subaward and move a portion of the budget therein.
My grant has been extended and/or provided additional funds for another year. Will my collaborator's subaward automatically be extended?
No, subawards are not automatically extended. The unit research administrator will need to submit an amendment/modification request on each subaward record in RASS. For guidance on submitting a change request see https://guide.rass.cornell.edu/sponsored-projects/submit-change-requests/
Can subrecipients receive Indirect Costs (IDC)? Indirect Cost terms flow down from the prime award. If the prime grant allows IDC at an entity’s/institution’s federally negotiated rate, then the subrecipient is allowed to collect at their federally negotiated IDC rate. A copy of the subrecipient’s federally negotiated IDC rate agreement, or a link to it online, is required. If the subrecipient does not have a federally negotiated indirect cost rate agreement, they are eligible to elect a rate up to the federal de minimis IDC rate which is calculated on Modified Total Direct Costs (not Total Direct Costs). If the prime award and/or prime sponsor restricts IDC on either the prime award, the RFP, their grant terms and conditions, this same restriction flows down to the subrecipient entity/institution. As defined by the Uniform Guidance, “Modified Total Direct Cost (MTDC) means all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and up to the first $25,000 of each subaward (regardless of the period of performance of the subawards under the award). MTDC excludes equipment, capital expenditures, charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and the portion of each subaward in excess of $25,000..”
How is IDC (Indirect Costs) calculated on subaward expenses on my grant?
Cornell’s federally negotiated rate agreement allows us to collect IDC up to the first $25,000 of each subaward. Prime awards may have other allowable rates that affect the amount of IDC that Cornell can collect on subawards. This information is usually clearly stated in the solicitation and prime award terms and conditions that Cornell receives.
Are subawards paid in full when the award is signed?
No, subawards are generally not paid in advance. Nearly all subawards are cost reimbursable with very few exceptions. The subrecipient must incur allowable expenses and submit invoices to the Cornell Financial/Invoicing Contact identified in their subaward agreement. The Cornell Unit and PI are responsible for monitoring the technical performance of the subrecipient and approval of all subaward expenses/invoices submitted for payment. For additional information see the Subawards: Roles and Responsibilities page.
I am working with a subaward on my project, what are my responsibilities?
The Cornell PI is responsible for monitoring a subrecipient’s progress toward completion of the work they agreed to perform. The unit research administrator should review all subrecipient invoices for elements that include proper form, conformance with the agreement and budget, expected expenditures to date, including any required cost-sharing. The PI should review all subrecipient invoices to ensure that the invoices reflect the progress made on the subaward work. The unit research administrator and PI are also responsible for ensuring the subrecipient submits all invoices, deliverables and technical reports as required under the subaward agreement. For additional information see the Subawards: Roles and Responsibilities page.
What information is required on a subrecipient invoice?
Invoices can be submitted using the subrecipient’s standard invoice, but at a minimum must include current and cumulative costs (including cost sharing), billing period, and the subaward ID. They should also include a signed certification by the subrecipient as to truth and accuracy of invoice. Subaward invoices on federal funds must also include the following:
“By signing this report, I certify to the best of my knowledge and belief that the report is true, complete, and accurate, and the expenditures, disbursements and cash receipts are for the purposes and objectives set forth in the terms and conditions of the Federal award. I am aware that any false, fictitious, or fraudulent information, or the omission of any material fact, may subject me to criminal, civil or administrative penalties for fraud, false statements, false claims or otherwise. (U.S. Code Title 18, Section 1001 and Title 31, Sections 3729-3730 and 3801-3812).” Sample invoice templates are available for cost-reimbursable and fixed-price subawards.
I am having trouble getting a subrecipient to provide reports/deliverables. Can anyone help me?
If your subrecipient is not performing adequately, including submitting invoices as outlined in the subaward agreement, promptly contact the Subaward Team at cu_subawards@cornell.edu and provide us with the details and a copy of any correspondence you have sent. The Subaward Team will work with you to determine the most appropriate course of action. If the subrecipient is not performing and there is a questionable invoice you should consult the Subaward Team prior to paying.
I’ve decided I want to spend my grant funds differently and want to eliminate or modify my subaward budget. Can I do this?
Discuss this question with your prime award GCO. You will need to modify the budget on your prime grant by working with your unit research administrator. The change may require prime sponsor prior approval if the change includes a change of scope, a change in key personnel named in the award, rebudgeting participant support to any other category of expense, etc. A subaward that has already been issued will need to be modified. The unit research administrator will need to submit an amendment/modification request once prior approval has been received or it is determined that prior approval for the change is not required. Since a subaward is a legally binding agreement, this process will take time and there may be agreement provisions that require adequate notice prior to modification. Clear communication between the Cornell PI and the Collaborator is essential.