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Sponsored Projects Administration

Awards are reviewed and, if necessary, negotiated by Pre-award to ensure the terms and conditions are acceptable to the University. Once the terms and conditions of the award have been negotiated, Pre-award will accept the award on behalf of the University.

Pre-award will send the PI a copy of the Notice of Award or finalized sponsored agreement for review and approval, as well as assist in collecting the necessary documents needed by the Post-Award Finance team (PAF) to setup and manage the account. As part of Pre-award’s responsibility, the allow ability of pre-award costs will be reviewed and finalized prior to sending the account setup request to PAF. All pending items (including any required approvals or assurances) must be complete prior to account set-up.

In order to limit retroactive personnel actions and cost transfers, an account may be established for projects prior to receiving the first payment. These guarantee accounts are established as cash-basis accounts with zero budgets.

The process begins with Pre-award receiving a Notice of Grant Award from a sponsor and ends with PAF creating an account in FMS.


Upon receiving, negotiating, and accepting an award or modification to an existing award, a Sponsored Projects Administrator in Pre-award will begin the initiation of the account set-up process.

To set up a grant account efficiently and effectively, Pre-award must have a complete file, including:

Once Pre-award has the information listed above, they will notify the PAF team to set up the account. Departments and PI’s will be cc’ed on notification from tracking purposes.

Note: If the file is not complete when the notification is sent to PAF, it will take longer to get the account set up.

Post Award Finance

To set up an account, the PAF team completes the following steps:


Guarantee account set-up follows the same process as a regular award set-up. Setting up an account immediately allows expenditures to be charged to the correct project and therefore limits cost transfers and retroactive personnel actions. The allowability of pre-award costs must be taken into consideration. All standard award documentation requirements, including assurances, must be complete prior to setting up a guarantee account.

*Note: Schools/departments requesting a guarantee account do so at their own risk. If funding for a project on guarantee does not materialize, or is less than expended, incurred expenses will be transferred to an eligible departmental account.

Allow five (5) business days to complete the majority of requests. Large projects or projects with uncommon costs may require more review time. All requests will be reviewed in the order received and in accordance with major proposal deadlines.

Guarantee accounts may be established for grants as long as the start date in FMS is not before the start date on the grant award notice. Federal accounts that allow pre-award costs are the exception. In the exception cases the FMS project start date (when spending may begin) should be within 90 days of the start date on the Notice of Grant Award.

Guarantee accounts are not set up on non-federal clinical trial agreements and cannot be set up prior to the effective date of the contract. Contracts do not allow for pre-award spending. Subcontracts off of federal grants may be set up on guarantee as long as the start date matches the start date on the prime institution’s NOGA.

Guarantee accounts are set up for four months with a $0.00 budget. An extension of an additional four months may be requested.


The following procedure is to be used when requesting the establishment of a guarantee account for contracts and grants for new & renewal projects that have been reviewed & approved by Pre-award.

The responsible business official will submit a written request to the appropriate Sponsored Projects Administrator in Pre-award. The request should include:

SPA has the created a guarantee request template to ensure correct information is provided.

All guarantee requests adhere to the same requirements as a regular award set up with the exception of a finalized award document. This includes but not limited to application, assurances, budgets and certifications.

Once all appropriated documentation and information is received, Pre-award will notify Post Award Finance who will set up the guarantee account and notify the department.

It is the department's responsibility to monitor all guarantee accounts closely.

Establishing Expenditure Budgets on Clinical Trial Projects

In order to limit retroactive personnel actions and cost transfers by allowing expenditures to be charged to the correct fund source, an expenditure budget may be established for clinical trial projects prior to receiving the first payment.  (Formerly, these projects were established as cash-basis accounts with ‘zero’ budgets.)  Schools/departments requesting an expenditure budget on a clinical trial project are guaranteeing coverage.  If payments are not received equal to or greater than the expenditure budget established, the expenses incurred that exceed the revenue will be transferred to an eligible account.  The use of the “guarantee” account is advisable if the expense will be incurred by the department regardless of a clinical trial receipt.

If effort reports have been certified, expenses may only be transferred to a departmental or discretionary account.

The following procedure is to be used when requesting the establishment of an expenditure budget clinical trial projects:

These accounts should be monitored closely by the department to ensure that revenue covers or exceeds expenditures.