Advance spending requests developing revised program
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Advance Spending Requests – developing revised program. Lynelle A. Gehrke, Associate Director Office of Contract & Grant Administration Campus Cost Transfer & ECERT Focus Group Meeting June 13, 2013. Current Process. Advance Funding Approval subject to F irm funding commitment

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Advance Spending Requests – developing revised program

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Advance spending requests developing revised program

Advance Spending Requests – developing revised program

Lynelle A. Gehrke, Associate Director Office of Contract & Grant Administration

Campus Cost Transfer & ECERT Focus Group Meeting

June 13, 2013


Current process

Current Process

  • Advance Funding Approval subject to

    • Firm funding commitment

    • Firm start date

    • Estimate of when the University might expect to receive the actual award for review, negotiation, if necessary, and formal acceptance

    • Provision of alternate non-federal unrestricted fund to absorb expenses if award is not ultimately issued by sponsor

  • Problems/challenges

    • Sponsor Grant/Contract Officers unwilling to commit to award; yet Program Officer advised PI that award was pending from sponsor

    • Current form requires too much information and is time consuming

      • Detailed financial breakdown of proposed costs by account and sub-account

      • Salaries, General Assistance, S&E, Equipment, Travel, Benefits, etc.


The current process in practice

The current process in practice

  • Extended time to gain approval for advance funding

    • Too many approvers

    • Requires sponsor Grants Officer confirmation who will not confirm until the award is issued (which is too late)

  • Other funds are charged to support expenditures that are occurring by PI’s

    • When award fund is set up, numerous transfers from those other funds to federal funds are processed raising red-flags and causing significant work

    • More prudent to set up fund/index for those lower risk circumstances so that expenditures are processed on the correct fund/index without transfers

    • We are aligning our process to the already sanctioned allowance by federal sponsors (FDP) to advance spend by 90 days.


Proposed new process

Proposed new Process

  • Identify federal grants with low risk

  • Identify non-federal sponsors with low risk

  • Accept Program Officer confirmation of pending award

    • Program Officer is in most likely position to confirm award pending

    • Establish conditions that qualify the pending award as high risk

    • Continue the provision of alternate non-federal unrestricted fund to absorb expenses if award is not ultimately issued by sponsor

  • New form will only require essential information, making completion of form quicker/easier

  • Limit number of approvers/signatures based on level of risk

  • Publish new process/form on Blink


Conditions that will not allow approval of advance spending request

Conditions that will not allow approval of advance spending request

  • Because the effective start date is not until the date of contract execution – primarily federal contracts

  • Where UC reserves the right to negotiate terms and conditions as a condition of submitting a proposal due to unacceptable terms

  • Problematic Sponsor

    • Award terms conflict with UC policies

    • Repeated protracted negotiations

    • Contracts with industry, and certain non-profit foundations

    • Sponsors known to withhold awards due to outstanding reporting obligations (financial, technical, property, etc.) on unrelated awards


Plan and timeline

Plan and timeline

  • OCGA will complete draft

    • New form

    • New procedures

    • Publish guidelines and forms via Blink

  • Coordinate with OPAFS to align process with fund set-up

  • Pilot for a 6 month period

  • Evaluate pilot and adjust program


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