Pre-award Coverage of Costs

Overview

Sponsored program accounts for officially received awards are automatically established by the Office of Sponsored Programs as part of the Notice of Award procedure. If, however, you need money before grant/period starts, preliminary sponsored program accounts may be established when a sponsor has assured funding but official award documents have not yet been received for processing.

In order not to interrupt on-going research or delay the start of new projects, the principal investigator may request that a preliminary account be set up for up to three months before a new or continuation award is assured. Should the expected support fall through, the originating department is responsible for expenditures made.

Federal Grants

If the sponsor is a member of FDP (Federal Demonstration Partnership), then departments can submit a preliminary account request, bearing your department chair's authorizing signature, to the Office of Sponsored Programs. If the sponsor is not an FDP member, the PI must have written approval from the sponsor to spend funds within 90 days preceding the project's start date. Typically, ninety days is the earliest funds can be spent prior to the project start

Non-federal Grants

Unless noted in the sponsor's award document, no pre award costs would typically be allowed.

Contracts

With contracts, advanced expenditures are unlikely because the conditions of the contract commonly preclude such. Either advanced purchases would have to be negotiated and contained in the contract, or an addendum to the contract would have to be filed.

Filling out the Preliminary Account Request Form (SP-23)

To request that a preliminary account be established, submit a Preliminary Account Request and Grant/Contract Change Form (SP-23) to the Office of Sponsored Programs via Arts & Sciences Office of Research Administration.

Download the Preliminary Account Request form (.doc 20Kb)

Indicate the type of request desired.  If it is a continuance, cite the current Oracle Project and Award numbers.

Indicate the name of the sponsor and the Oracle Award Full Name.

Complete a budget and attach.  The budget total must agree with the amount requested and should not exceed 25% of the total anticipated award.  Also include the indirect cost as stated in the cost proposal.

The period can be one, two, or three months.  If the award has not been received during the initial period, the principal investigator/program director should request an extension for the preliminary account.

If information concerning the pending award has been received from the sponsor, briefly summarize the message.

The form must be signed by:

• principal investigator
• the department chairman or the appropriate center director