Policy for Obtaining a Sponsored Programs
Fund Number in Anticipation of a Fully Executed Agreement
University Research Administration recognizes that in certain, limited, circumstances it
would be expedient to issue a sponsored program fund number to a principal investigator
prior to receiving a fully-executed granting instrument. The following guidelines govern
the situations where Sponsored Programs Administration will issue a fund number prior
to receiving a fully-executed granting instrument. In all cases, should the fully-executed
agreement not be forthcoming or be altered to change the sponsor’s financial
commitment, the principal investigator’s department will be liable for any shortfall.
In cases where the requested fund number is for the continuation of an on-going project,
the department will complete the attached request form in its entirety. As support for the
request, the requesting department will attach the current year Notice of Grant Award that
reflects future years funding. This may be requested within 60 days of anticipated budget
start date. If the anticipated start date for the follow-on work is other than the day after
the expiration of the current project, the Notice of Award must address the disposition of
pre-award costs. In all cases the department will provide a departmental fund
number that will absorb any costs incurred that are not reimbursed by the sponsor.
In cases where the requested fund number is for new project work or continuation of an
ongoing subaward, the department will complete the attached request form in its entirety.
As support for the request, a Letter of Intent for a Contract or Subaward from the
collaborating Institution needs to be completed or Letter of Intent from the Sponsor that
contains the same language outlined in subaward document. The letter of intent or
preliminary granting instrument must address the disposition of pre-award costs. In all
cases the department will provide a departmental fund number that will absorb any
costs incurred that are not reimbursed by the sponsor.
Once approved, Sponsored Programs Administration will set up a sponsored program
fund in the usual way and notify the department and principal investigator involved.
Department business management should review the status of these funds at least
quarterly in order to get the final agreement in place as soon as possible.
If, after nine months from initial set-up, the agreement has not been finalized, Sponsored
Programs Administration will request the department transfer any charges allocated to
that project to the specified department fund. These transactions must be completed
within 60 days.
When the final agreement is in place, the department will complete a Fund Request Form
as a change indicating the assigned fund number, include the budget and Notice of Award
and submit through University channels. In cases of subawards, the payment method
must be identified, either in the subaward or by email from the Institution. Upon receipt
of the paperwork in Sponsored Programs, this will activate the financial reporting of the
project.
Sponsored Programs Administration will not process incomplete request forms, and
reserves the right to deny inadequately supported requests.
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