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Preaward Spending Policy
Policy and Procedure for the Establishment of Pre-award Spending Accounts
When a sponsored project award is received and accepted by the University, a unique restricted fund chartstring is set up for management of income and expenditures related to the grant or contract project. In order to maintain control over expenditures related to but incurred prior to the receipt of an award notice, it may be advantageous to set up a chartstring prior to receipt of the award document in order to meet payroll and effort requirements for a project. The chartstring that is set up in the absence of an award document is known as "pre-award spending" and was previously known as a “temporary account”.
A responsible investigator, department and school are identified when a restricted fund chartstring is set up. Consistent with policies for other types of chartstrings, this policy will require that the responsible department or school reimburse the University for expenditures charged against a University chartstring that are in excess of income received and credited to that chartstring.
This policy sets forth the conditions under which approval will be given for issuance and maintenance of a pre-award spending chartstring. The policy is intended to standardize and streamline the request and review process, as well as minimize the risk to a department or school of incurring expenses for which it may need to reimburse the University. A form is provided which will solicit the required information for chartstring set-up, responsibility, and guarantee for reimbursement.
The objectives of this policy are (1) to set forth the information necessary to initiate the establishment of a pre-award spending chartstring, and to identify alternate sources of funding to support expenses charged to the chartstring and (2) to provide a standardized request process to meet the needs of the Principal Investigators, to expedite request review, and to satisfy the guarantee requirement of the University.
This policy applies to all requests for pre-award spending for sponsored programs to support research, service, or training for new projects and new years of continuing projects.
The Office of Research and Development (ORD) is charged with approval of requests for pre-award spending accounts. ORD will approve establishment of a pre-award spending account in the absence of an award document contingent upon required proposal and guarantee documentation on file in ORD, and upon consideration on a case-by-case basis, of the probability of receiving an award document and receiving payment from the sponsor. Pre-award spending may be set up for a budget period not longer than one year.