Office for Sponsored Programs

PRE-AWARD / ADVANCE ACCOUNT POLICY

Effective Date: November 9, 2007

PURPOSE

To enable Principal Investigators who have a demonstrated need to start sponsored projects prior to receipt of the award notice or executed contract.

DEFINITIONS

Pre-Award Accounts

A Pre-Award Account will be established for Federal grants where costs are allowed up to 90 days prior to the official start date of the award under expanded authorities granted to the University.

Advance Accounts

Federal contracts and non-Federal grants and contracts are not covered by expanded authorities.  Therefore, the University does not have the authority to use the 90 day pre-award action.  An Advance Account will be established for those Federal and non-Federal awards not eligible for Pre-Award accounts.  Costs can only be incurred on Advance Accounts as of the sponsor approved start date.

POLICY

The Office for Sponsored Programs (OSP) will establish Pre-Award or Advance Accounts under the following conditions:

The appropriate Department Head and/or Dean has approved the request for a Pre-Award or Advance account, and agrees to assume the financial risk in the event the award is not made, not accepted, or the terms of the award deem certain expenditures to be unallowable. 

There is a demonstrated need by the PI to incur expenditures prior to the proposed start date (Pre-Award accounts) or prior to receipt of the executed contract (Advance accounts).  Acceptable reasons for requesting an account include, but are not limited to the following: making employment offers and completing payroll authorizations, equipping a lab or purchasing supplies, purchasing equipment early to take advantage of a discounted price.

A full copy of the proposal for the project is on file in OSP.

OSP personnel are able to determine that pre-award expenditures are allowed.

When applicable, required compliance approvals have been obtained.

PROCEDURES

Requests for a Pre-Award or Advance Account should be submitted on-line at http://www.osp.uconn.edu/forms.php#uconn

After review and approval by OSP, an account will be established with a budget equal to the amount requested or the expected first period / increment of the award, whichever is less.

The Principal Investigator and Department Head will be notified via email on the outcome of the request, including an explanation in the event the request is not approved.

The status of accounts will be reviewed monthly.  If an account has been active for 90 days and not yet awarded, OSP will determine whether an award is still likely to be made or the contract executed.

If OSP is notified that the award will not be made or a contract will not be executed, the account will be terminated and any expenses incurred will be charged to the account listed on the request form.

ROLES AND RESPONSIBILITIES

Principal Investigators are responsible for submission of Pre-Award or Advance Account requests and seeking the approval of their Department Head and/or Dean.

Deans and Department Heads are responsible for reviewing and approving Pre-Award / Advance account requests, and providing the account number(s) to be charged in the event an award is not made.

The Executive Director of the Office for Sponsored Programs has overall responsibility for this policy.

The Executive Director will review this policy annually.

The Manager of Post-Award Services and the Manager of Pre-Award & Contract Services are responsible for procedural oversight of this policy.

Grant Managers are responsible for responding to inquiries about this policy or procedures.  They are also responsible for reviewing the status of accounts monthly.

Last revised:  February 19, 2008