Sponsored Programs
Pre-Award Administration
Pre-Award Spending
Background and Contingencies
Under limited circumstances, Principal Investigators (PIs) may request authorization
to spend funds in support of a sponsored project in advance of receiving a notice
of an award from a sponsor (Pre-Award). Authorization for a Pre-Award is contingent
upon the following:
- A crtical need to meet project objectives must exist to expend funds in advance
of a new, renewal or continuation award;
- Approval of human subjects, animal, biosafety or other research protocols by the
appropriate regulatory commitee, as applicable;
- Successful completion of the human subject tutorial by the PI and all key personnel
participating on the project, if human subjects are involved;
- Approval of required financial disclosures, as applicable;
- Approval of Exception to Principal Investigator Eligibility, as applicable;
- Certification by the Principal Investigator that the level of effort, scope, and
objectives of the project as proposed or negotiated will not change;
- Certification by the chair/director of the unit responsible for administering the
anticipated award, along with the appropriate dean or vice chancellor, that any
monetary loss to the campus resulting from the sponsor's failure to make the award,
or from costs incurred but disallowed by the sponsor, shall be the responsibility
of that unit or school; and
- Confirmationof the sponsor's firm commitment from an authorized representative of
the sponsor by Sponsored Programs Administration (SPA).
Pre-Award Spending - Risks, Liabilities and Limitations
The risks, liabilities and limitations associated with Pre-Awards must be carefully
considered prior to requesting authorization.
Risks: Whenever the University approves a Pre-Award, it is risking
monetary loss. Other funding must be available to cover the risk of a delayed start
date, costs disallowed by the sponsor or failure of the sponsor to make an award
as anticipated.
Liabilities: Special care must be exercised in assessing the impact
of Pre-Awards on the legal obligations of the University, especially in the areas
of intellectual property rights and indemnification, as well as other special award
terms.
Limitations: A sponsor's policies, the terms and conditions of
the anticipated award, and campus policies and practices determine whether or not
a Pre-Award will be authorized. Restrictions differ depending on the type of sponsor
and the type of award anticipated (i.e., grant, cooperative agreement, or contract).
Requesting Pre-Awards
Pre-Awards are requested by completing and routing the
Pre-Award request form. Once the form is completed and signed, it may be
submitted to SPA. SPA will analyze the request to verify all administrative requirements
have been met. In such cases, , SPA will then secure a firm commitment from the
sponsor's authorized representative, if evidence of a firm commitment was not provided
with the Pre-Award request form.
If the sponsor provides a firm commitment, SPA will then approve the Pre-Award and
notify the PI, department and Extramural Accounting. If the sponsor cannot provide
a firm commitment, the Pre-Award will not be approved.