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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 for 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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