INSTRUCTIONS FOR FUND ADVANCE REQUEST FORM

Effective immediately, fund advance requests that were previously processed through EMF will now be handled at the Office of Sponsored Research (OSR).

The University will provide authorization to spend funds in advance of an award being received if there was a proposal submitted through OSR (Contracts & Grants or Industry Contracts); the agency has indicated their intention to fund the project and the funding has a very strong likelihood to be forthcoming.

If there is a need to start a project before the official paperwork arrives at the campus and the department will guarantee the funding if the award does not materialize, the OSR may approve a fund in advance of an award to allow the project to begin.

There are only three circumstances for which a Fund Advance may be requested:

1. for awards under the Federal Demonstration Partnership (FDP) in which 90 day pre-award spending is allowed;
2. when an award has not been finalized by the institution but the project begin date has passed and;
3. for a new fund year on an already existing award.

If a fund is set up in advance of the award, the same fund number will be used for the award once it is officially set up in the accounting system. This will minimize the number of cost transfers, purchase order and HR changes that need to be made after the award is at the institution.

HOW TO REQUEST A FUND IN ADVANCE OF AN AWARD

A Fund Advance Form is to be completed by the Principal Investigator. The form and instructions can be found here. The form will include an estimated budget for no more the 90 days. Approval of advance periods beyond 90 days will be considered on a case-by-case basis. The budget will not appear on the advance fund but is to be used as a guide to the department regarding the liability they are willing to guarantee.

The Principal Investigator’s Department Chair or ORU Director (wherever the award will be administered) must approve the request or an advance fund will be not be set up. Departments should establish procedures to assure that the funding is likely to be forthcoming. If the department has any documentation from the sponsor that supports the fund advance request, the documentation should be attached to the Fund Advance Request Form.

The approved form is then forwarded to the OSR (either Contracts & Grants or Industry Contracts depending on where the proposal has been processed). OSR will review the request and if approved will forward it to EMF (along with a copy to the Department and PI) to set up an advance fund. OSR’s signature on the Fund Advance Request Form indicates that the form has been approved for the establishment of an advance fund while the department assumes the liability for any expenditures if the award does not materialize.

These procedures will be revised when the Research Administration System (RAS) is implemented. If you have any question contact Joan Kaiser, Director, Contracts & Grants at joan.kaiser@ucsf.edu.