Establishment of Accounts on Non-Competitive Continuation Budget Periods

Federal Grants (NSF, NIH, NASA)

As a result of principal investigators requesting improvements to the way non-competitive continuation budgets are currently handled, and consistent with our on-going efforts to provide improved services to the research community, OGCA and the Controller’s Office will implement new procedures effective May 15, 2000. These improvements will minimize payroll disruptions for grant-funded students and staff, address important audit concerns about the lack of timely submission of annual project reports, and generally save time and frustration for many people involved in the process.

For all National Science Foundation (NSF), National Aeronautics and Space Administration (NASA), and National Institutes of Health (NIH) grants that are multi-year funded, the establishment of accounts for continuation years will be an automatic process with no additional work or responsibility placed on Principal Investigators or their support staff. These sponsors represent approximately 75% of all pre-award requests and are easily adapted to these procedures. By eliminating the need for OPAS Pre-Award paperwork, which currently requires the signature of the PI, Dept Head and Dean, it is anticipated that continuation years will be seamless to grant employees, support staff and signatories of pre-award requests.

Annual performance reports are the obligation of the principal investigator and must be submitted to the sponsor several months prior to the annual continuation date (NSF = 90days, NIH, NASA 60days). When OGCA receives notification that the PI has fulfilled reporting obligations, we will notify the Controller’s Office via email, and the subsequent year budget (and new account number if needed) will be uploaded automatically; PI will be notified via email.*

Timely submission of performance reports is extremely important to the sponsor, the University, and the audit teams. If the PI has not submitted reports as required by the sponsor, or if OGCA determines that there are concerns associated with a continuation award, establishment of the account/budget for the subsequent year will NOT be done automatically. The OPAS pre-award form will need to be signed and submitted, and will be processed by OGCA and the Controller’s Office once the level of risk is determined to be acceptable.

*NASA PI’s must provide OGCA with a copy of the report transmittal letter to the sponsor in order to initiate the automatic procedure. NSF notifies OGCA once they receive the report and NIH requires these submissions be processed through OGCA.

Note: This does not change existing procedures for OPAS Pre-Award from other federal sponsors, for Pre-Establishment of Account for non-federal sponsors or for the first year of any federal competitive cycle awards.