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Request for Pre-Award Account Procedure and Form

Click here to print the Request for Pre-Award Account Procedure and Form from the Office of Sponsored Programs website

Request for Pre-Award Account Procedure and Form

PURPOSE: To request a project number to be created to allow expenditures to be charged in advance of receipt of the official award. To allow spending to continue in anticipation of an official action that will formally extend the period of performance.

RESPONSIBILITY: Principal Investigator, Office of Sponsored Programs (OSP), Office of Contract and Grant Accounting (OCGA), Department Business Manager, Deans and Directors.

OBJECTIVE: To mitigate risks associated with UMBC incurring expenditures for projects without a legal contract or grant in place. No sponsored research should be performed without the proper approvals of UMBC management and the assignment of a pre-award project number. In the event UMBC does not receive the anticipated grant or contract and expenses have been charged, the originating unit is fully responsible for any charges made to the pre-award project.

 

PROCEDURE

  1. Determine Need for Pre-Award Project: The Principal Investigator and Department Chairperson or direct reporting line shall preliminarily determine if it is in the best interest of UMBC to proceed with work in advance of an expected contract or grant. The request should only be made if contract or grant award is imminent and delay in proceeding would harm the objectives or mission of the program.
  2. Pre-Award Project Request Form: The request form below must be completed by the Unit’s Business Manager and be approved by the Principal Investigator, Department Chair or equivalent, and Dean or reporting line. Upon completion and approval, the request form should be submitted to OSP for review and submittal to OCGA .
  3. OSP Management: OSP Manager will receive and review the request. If acceptable, OSP will then create a new award in Kuali, using the existing proposal information. OSP will create an award in Kuali, with a zero-dollar T&M transaction. The award status will be set as “Pre-Award.” OSP will attach a copy of the Pre-Award Account Request Form in Kuali.
  4. OCGA: OCGA will create the project number in PeopleSoft and will enter the project number in Kuali, following the same procedure as in regularly received Award Notices.
  5. OCGA Monitoring: OCGA will monitor the expenses on the pre-award project for a ninety (90) day period; if no sponsor notice of award has been received, OCGA may freeze or close the project after consultation with OSP. Ultimate responsibility for managing dollar limitations on expenditures resides with the administrative unit.
  6. OSP Management: Follows-up on pre-award account. Notice of Award was received within ninety (90) days?                                                                                                                                      Yes – Notice of Award was received within ninety (90) days from date of project creation. OSP will process the award, updating the status from “Pre-Award” to “Active”. At that time, OSP will add actual award obligated and anticipated award amounts, and enter award information (sponsor award ID, CFDA #, etc.) OSP will notify OCGA and Administrative Unit the Award Notice has been received.                                                                                                                     No – Notice of Award was not received within ninety (90) days, OSP will then contact the Administrative Unit. (NOTE: Pre-Award Projects cannot exceed ninety (90) days activation. After that period, a request to continue the pre-award number is required)
  7. Deficits: In the event of any financial deficit resulting from failure of UMBC to receive the contract or grant, the Department or Unit performing the effort will immediately remove all expenditures from the pre-award project upon notification. An unrestricted unit chartstring must be provided to cover any costs that are not allowed after the award is finalized.
For questions regarding requesting Pre-Award Projects, please contact OSPA@umbc.edu
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