Awards and Subawards

Once an award is received and provided to Research & Sponsored Program Development (RSPD), a few steps are needed to get the award set up and ready for the project to begin.

Award Setup Process and Responsibilities for Pre-Award Research & Sponsored Program Development (RSPD):

  • RSPD can receive a Notice of Award (NoA) from various sources. PIs and DRA- if you receive an award notice, be sure to forward to RSPD:
    • Awarding Agency
    • RSPD Pre-Award Officer Individual Email
    • RSPD Email
    • Principal Investigator (PI)
    • Department Research Administrator (DRA)
    • Grants & Contracts Administration (GCA)
  • Once an award has been received by the RSPD Pre-Award Officer, they will:
    • Verify there is an approved proposal in Novelution.
    • Review for accuracy, negotiate terms, and follow through until full execution. This includes collaborating with General Counsel on legal review if necessary and any other compliance reviews required. NOTE: The negotiation will depend on the length of time needed for General Counsel review. 
    • The review process will include the PI for review of the Scope of Work, Budget, Budget Justification, reporting schedules, and compliance requirements. PI must also verify conflict of interest disclosure and finalize any compliance requirements and protocols.
    • After an award is fully executed the Pre-Award Officer will email an award setup email to the PI, College/DRA, Compliance Director (when there is a compliance protocol component), and GCA for setup in PeopleSoft.  GCA requires the PI/DRA to complete an Award Budget Setup form before they will complete the PeopleSoft set up.
    • Pre-Award Officer sends RSPD Proposal Intake Officer award setup email with NoA and any additional documents relating to the NoA. The associated Novelution proposal will then be awarded in Novelution.
    • The award is now moved to GCA to initiate the award setup in PeopleSoft.
    • RSPD will start the screening process of any proposed subawards and alerts GCA to complete the subrecipient risk analysis. Once the risk analysis has been done, RSPD will work through the execution of the subaward agreement.
  • If the need arises, a risk account request memo may be utilized to have a project reviewed to be set up on temporary risk status.
  • Pre-award costs are defined in the Uniform Guidance at 200.458. Pre-award costs are those incurred prior to the effective date of the award directly pursuant to the negotiation and in anticipation of the award where such costs are necessary for efficient and timely performance of the scope of work.  Pre-award costs are not the same as setting up a project using a risk account request that most often uses the start date of the award.  The risk account request may include pre-award costs if the expenses are anticipated prior to the expected award start date.
  • During the life of a project, it is likely that the award will have deviations from the submitted proposal. Many of these changes require prior approval. Typical items that require prior approval include:
    • Significant changes in the project scope of work
    • Changes to Key Personnel
    • Reduction of effort of 25% or more of the proposed effort for Key Personnel
    • Adding new Subawards
    • Major equipment purchases not included in the original proposal
    • Substantial budget reallocations
    • Foreign travel not included in the original proposal
    • No Cost Extensions

  • If subawards are proposed on the project:
    • The Pre-Award Officer will ask the PI/DRA to provide the subaward packet including the Scope of Work, Budget, and Budget Justification. The Information Compliance Form is collected during the proposal. If the Questionnaire Form was not collected during the proposal, this will also need to be provided. 
    • Several steps are needed during the review and processing during the creation of a subaward:
      • Has the Information Compliance Form and Questionnaire Form been provided?
      • Has the subaward been approved by the agency during the proposal or progress report?
      • Has the subaward provided a Scope of Work, Budget, and Budget Justification?
      • Visual Compliance checks are needed for the subaward entity and subaward PI
      • Are there Compliance Protocols that need to be provided by the subaward?
      • Has the subaward provided their negotiated indirect cost rate agreement?
      • GCA will do a risk anaylsis once all necessary documents are provided. Once the risk analysis is done any additional necessary terms and conditions will be proposed by GCA for inclusion in the subaward.
    • The Pre-Award Officer will then draft the subaward.
    • Once drafted, the PI/DRA will be asked to review and look at reporting terms.
    • Once it is all approved, the Pre-Award Officer will work with the subaward to get it negotiated, signed and executed.
    • When a fully executed subaward is available, the Pre-Award Officer will provide it to the PI, DRA, and GCA.

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