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OSR-2 Instructions
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Request for Review and Approval of Proposed Action Related to a Pending Proposal or Sponsored Project
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This form should be used for internal review and approval of all
actions to pending proposals or funded projects. Typically, its use
is intended for initiating budget transfers that can be made by the
Office of Sponsored Research (OSR) without further
agency or University approval; for requesting University Prior
Approval of rebudgeting or other actions as required by agency
regulations; for obtaining approval of no-cost extensions on Federal
Demonstration Project Accounts; for establishing pre-award spending
accounts or guaranteeing continued spending on existing accounts; and
for requesting endorsement of correspondence of an administrative nature
to a sponsoring agency.
The description
of the action requested and the background for the request should be brief
but sufficiently detailed to permit adequate understanding for review and
approval. In addition:
a.
When budget changes are requested, show the objects of expense and amounts
to be transferred in the "Budget Change" section on the form.
b.
When University prior Approval is requested, justification of the need
for the expenditure should be provided.
c.
When a no-cost extension is requested on a Federal Demonstration Partnership
Project supported by a participating agency (except ONR and AFOSR),
OSR is authorized to grant approval under the following conditions:
A single extension,
which shall not exceed twelve months, may be made to assure adequate
completion of the original scope of work using the funds already awarded
by the agency. All requests for no-cost extensions must be made and
received by OSR prior to the originally established expiration date.
An explanation for the necessity of an extension should be provided.
An extension may be made to assure completion of the original approved
project scope or objective; when continuity of grant support is required
while a competing application is under review; or in order to permit
an orderly phaseout of a project that will not receive continued support.
A balance of funds alone is not sufficient justification to extend a
project. OSR will officially notify the awarding agency in writing
within ten days of making the extension.
d.
When no-cost extensions for projects not covered by the terms and conditions
of the Federal Demonstration Partnership Project (plus ONR and AFOSR
grants under FDP) are requested, sponsor approval is required. The principal
investigator should write a letter to the agency explaining the necessity
for the extension; the additional time requested; the anticipated balance
of funds remaining in the project account; and a budget or description
of the use of funds during the extension period. This letter, along
with an OSR-2 form, should be routed through customary channels to
OSR for University endorsement and mailing.
e.
Pre-spending accounts for all FDP projects may be established up to
90 days in advance of the budget period start date for a new or competitive
renewal award. Pre-award spending accounts can also be established when
agencies are late in issuing awards.
When pre-award spending
is requested, the appropriate section of the OSR-2 should be completed.
Required information includes the amount of the guarantee, the period
during which the guarantee will be in effect, the objects of expense
to be opened, and the non-sponsored account that will be used to guarantee
expenditures. If the award is not forthcoming or if expenditures and/or
commitments are incurred outside the award budget period, charges will
be transferred to the non-sponsored guarantee account. Pre-award spending
is authorized at the risk of the endorsing department or center.
Depending
on the nature of the request, the following conditions must be met:
Expenditures requested
are eligible for consideration under the authorities granted to the
University, and adequate funds are available.
There are no restrictions
in the award statement that would prohibit prior to commitment of the
project funds. Any exceptions must be justified to the University or
to the sponsoring agency.
The Principal
Investigator certifies that this request is consistent with the scope and
objectives of the project as approved by the sponsor. The Department Chair,
Center Director or his/her designee, acknowledges that the scientific and
technical propriety of this request has been reviewed and approved, and
that the action requested will result in the effective utilization of institutional
resources. The Dean or his/her designee recommends approval of the request.
OSR reviews for consistency with agency and University policies as well
as for adequacy of resources, if applicable to the action requested, and
approves on behalf of the University.
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