Procedures for Advances for Externally Funded Projects
Effective Date: March 8, 2023 

This document establishes procedures to implement the University’s Policy on Advances for Externally Funded Projects (Policy). In accordance with the Policy, if the University does not have a fully-executed award, no work is to be initiated.  Additionally, even in the Advance status, subawards cannot be issued until the award is activated. Costs incurred prior to SRA/FSURF approval of an advance will not be allowed to be charged or transferred to the anticipated new or continuation project budget, or any other sponsored project (excluding SRAD funds).

For new awards and competitive renewals, the department must approve the advance request via ancillary review in RAMP. This approval is not required for incrementally funded continuation awards.

Departments must provide financial backing for the direct cost amount to be advanced, or the direct costs associated with an available balance for time only advances. The department is advised to limit its exposure to risk by limiting the amount of advance and/or the period of the advance. Financial backing is not required for incrementally funded continuation awards but the Department still assumes the risk for any costs incurred prior to the receipt of executed award.

Projects with cost share require the cost share budget to be set up concurrently with the advance.

Procedures for Requesting Advance on New Award

• • Before the arrival or full execution of an anticipated award, the Principal Investigator (PI) should confer with the Chair and Dean to determine if it is prudent to request an advance budget based on the criteria outlined in the Policy. SRA/FSURF recommends beginning this process as early as 45 days before the desired/requested start date (at least 90 days if pre-award costs are to be requested).                               
  • If the PI, Chair and Dean determine an advance is justified, the PI will follow the instructions in the document entitled (How to Request an Advance – Award Anticipated) to submit the request in RAMP. Details of the advance request should be copied from the Award Modification Request Quick Sheet for Institutional Approvals and pasted into an Ancillary Review request.
  • In addition to the advance request details, requests must include sponsor assurance and compliance review approval for human/animal subjects and cost share information if applicable.
  • SRA/FSURF will review the request and its supporting documentation. If the advance is approved, the project will be established or its dates and/or available funding updated in accordance with internal procedures.

Procedures for Requesting Advance on Existing Award

• Before the end date of the project period or budget period, whichever is sooner, the PI should confer with SRA/FSURF to review the status of the sponsor's award amendment and whether an advance of time and/or funding is appropriate based on the criteria in the Policy.  If the PI determines that an advance is appropriate, SRA/FSURF recommends submitting an Award Modification Request in RAMP 45 days before the end date.
• If an advance is justified, the PI will follow the instructions in the document entitled (How to Request an Advance on an Existing Award) to submit the request in RAMP.
• In addition to the advance request details, requests must include sponsor assurance and updated compliance review approval for human/animal subjects and cost share information if applicable.
• SRA/FSURF will review the advance request and its supporting documentation. If the advance is approved, the project’s dates and/or available funding will be updated in accordance with internal procedures.

Procedures for Removing Projects from Advance

• Once a fully executed award or amendment has been received, SRA/FSURF will create a modification in the award to remove the project from advance status in accordance with internal procedures. 

Special Circumstances

• Certain awards allow the University to authorize the expenditure of pre-award costs, in accordance with 2 CFR 200.458 and 2 CFR 200.308(d)(1) (costs to be incurred within the 90-day period before the official start date). If pre-award costs are requested by the PI and the award document has not been received by SRA/FSURF, the Advance Policy and these Procedures will apply. If the award has been received by the University, the PI may request approval for pre-award costs by submitting the Pre-Award Spending request details listed on the Award Modification Request Quick Sheet. The Advance Policy and these Procedures will not apply.