Washington State University
BUSINESS POLICIES AND PROCEDURES MANUAL

SPONSORED AGREEMENTS
40.23
Revised 5-08
Sponsored Programs Services
335-2058

Sponsored Project Activity Request

PDF link

OVERVIEW

Principal investigators and administrators use a Sponsored Project Activity Request (SPAR) form to initiate the following actions regarding sponsored project accounts:

Questions

Direct questions regarding the SPAR to Sponsored Programs Services (SPS); telephone 335-2058.

FDP Terms and Conditions

Many federal agencies issue awards covered by FDP terms and conditions. In such cases, the agencies have provided the University with authority for approving certain activities and transactions associated with sponsored projects, i.e., pre-award costs, no-cost extensions, and rebudgeting. Principal investigators and budget administrators are responsible for reviewing the applicable award document, published guidelines, or agency notices for references to FDP terms and conditions granted to the University.

Approval Exceptions

Even though FDP terms and conditions may be in place, the following agencies require the University to submit time extensions notifications, as follows:

SPONSORED PROJECT ACTIVITY REQUEST

Copies

To obtain copies of the SPAR form, complete and print the PDF master form on 40.23.10 or obtain an automated form template from the Procedures, Records, and Forms FileMaker Pro website at:

http://www.wsu.edu/~forms/fm.html

Instructions

The following provides instructions for specified form sections. Numbered instructions apply to numbers on the sample in the PDF version of 40.23.3. Unmentioned sections are considered self-explanatory.

Complete the top section of the form providing contact information and information about the sponsored project.

NOTE: Submit a copy of the approved budget proposal with the SPAR, if the approved budget has not been entered into the OGRD database for the activity.

Proposal Working Title (1)

Enter a working title for the proposal no longer than 42 characters including spaces.

Principal Investigator (PI) (2)

Enter the name of the PI responsible for the requested project. Enter the full name, not a nickname. If more than one PI is responsible for the requested account, enter the additional names under Explanation.

PI's WSU ID No. (3)

Enter the WSU ID number for the named PI. If more than one PI name is requested for the account, enter the additional WSU ID numbers under Explanation.

Department Contact (4)

Enter the name of the administrator who completed the SPAR form and is able to answer questions about the sponsored project.

On-Campus or Off-Campus (5)

Check yes or no, in accordance with Request for Approval of Application for Extramural Support (REX) form question #3.

To view the REX form, go to the Office of Grant and Research Development (OGRD) website at:

http://www.ogrd.wsu.edu/Forms.asp

Sponsor (6)

Enter the name of the sponsor. NOTE: It is particularly important enter accurate information in this field when requesting an Advance Expenditure Authorization.

Receiving Funds from Federal Agency? (7)

Indicate whether or not the sponsor is receiving funds from a federal agency. NOTE: This question must be answered when requesting an Advance Expenditure Authorization unless the sponsor is a federal agency. If the sponsor is a federal agency, leave this field blank.

Research? (8)

The requester must check either yes or no in this field in order for Sponsored Programs Services (SPS) to determine the program number to be assigned to the project.

Research is defined as a systematic study directed toward fuller knowledge or understanding of the subject studied (classified as either basic or applied).

Home Account (9)

If the project account has, will have, or is a home account, enter the account number (program-budget-project). (The home account is the primary account assigned to the project.)

Pre-award Costs Requested? (10)

Complete this field if pre-award costs are included in the guarantee and/or if requesting pre-award costs under FDP terms and conditions.

Pre-award Effective Date (11)

If yes is checked under Pre-award Costs Requested?, enter the start date that pre-award costs are required.

Time Limits

Enter the effective date for the start of the pre-award expenditures. Expenditures must be incurred within 90 days of the actual effective date of the award. NOTE: If the effective date of the project is later than anticipated, a specified departmental account (guarantee account) supports expenditures made prior to the 90-day cutoff unless the sponsor agrees to support the early expenditures.

Noncompeting NIH Projects

The 90-day limitation applies only to the first budget period of a noncompeting NIH project. Pre-award expenditures for subsequent budget periods can be requested for more than 90 days prior to the next budget period's award effective date.

OGRD No. (12)

Complete, if known. Include the activity number, if applicable. This number is available in the OGRD database.

To view the OGRD database, go to:

https://gateway.ogrd.wsu.edu/default.asp

F&A Rate (13)

Complete this field when requesting an Advance Expenditure Authorization.

If Facilities and Administrative (F&A) costs are required on the grant or contract, specify the applicable F&A rate (percentage). Also specify the base used for calculating F&A costs. Modified Total Direct Costs (MTDC) is the base most commonly used for the University's approved federally-negotiated F&A rate. See 40.25.

Existing Account (14)

Complete this field if requesting a change to an existing account. Provide the existing account number (program-budget-project). If more than one account is involved, provide the additional account numbers under Explanation. If more room is needed, attach a separate sheet.

If the account is new, leave this field blank and enter the applicable four-digit budget number on the line for the first guarantee requested activity choice. (See line 21 on the example in the PDF version of 40.23.3.)

Award Begin/End Dates (15)

Enter the beginning and ending dates of the grant or contract.

Guarantee Account

A dean or equivalent administrator designates a guarantee account which assumes expenditures if formal agency approval or award does not occur.

Enter Guarantee Account Information when:

NOTE: Guarantee account information is not required if the requested activity choice is under Other. See also below.

Guarantee Remaining Funds? (16)

Check "yes" if utilizing remaining funds and no new money is to be added.

New Fund Amount (17)

Enter the amount of additional (not currently allocated) funds to be guaranteed. If the form is a revision of an earlier SPAR, enter the updated total amount to be guaranteed.

Guarantee Account Number (18)

Enter the account number (program-budget-project) of the account designated by unit and area administrators as the guarantee account. Expenditures on the authorization must also be allowable on the guarantee account.

Usually, administrators designate state-supported or unrestricted accounts as guarantee accounts.

NOTE: Other grant or contract accounts (programs 11-14) are not acceptable as guarantee accounts.

Guarantee Begin Date (19)

In most cases, the guarantee begin date is the award begin date. If pre-award costs are authorized, enter the pre-award cost authorization effective date.

If the request is for the extension of an existing account, leave this field blank. (Do not enter a future effective date.)

Requested Activities (20)

Check one box describing the requested activities.

Advance Expenditure Authorization

Process an Advance Expenditure Authorization to begin limited expenditures prior to formal award of a grant or contract. (Generally the principal investigator or the OGRD has informally learned that the grant or contract has been or soon will be awarded).

New Account (21)

Check the first box only for a new guarantee account. If the Advance Expenditure Authorization is to be processed with a new account, enter the applicable budget number.

Award Receipt

Upon receipt of the approved award, the account information set up by the SPAR is superseded by the award terms and conditions. Conflicts between the Advance Expenditure Authorization and the actual award may result in a transfer of expenditures to the guarantee account.

Account Control

Expenditures and commitments based on the Advance Expenditure Authorization must be controlled by the principal investigator, the department, and the University in the same manner as for the formal award.

Allocation

The approved and guaranteed amount is not shown as an allocation in Account Balances. Sponsored Programs Services makes the allocation when formal award or approval is received from the sponsor.

Project Extension (22) (23)

A principal investigator may submit an Advance Expenditure Authorization to request extension of the budget period with or without additional funds pending formal sponsor approval.

NOTE: The fact that funds remain at the project's expiration date is not sufficient justification for an extension request.

Sponsored Programs Services (SPS) recommends that the PI submits the extension request through OGRD at least thirty days prior to the final budget period expiration date.

Guarantee for Rebudget (24)

A principal investigator may use a SPAR to add an object to an existing account to request the purchase of an item or budget category not in the original budget when a sponsor's approval is required. NOTE: Rebudget requests based on Advance Expenditure Authorizations are not reallocated until sponsor approval is received.

Change to an Existing Guarantee Account (25)

Check this box when the account is under guarantee but the award is not yet set up and changes to the existing guarantee are needed. Enter the requested changes under Explanation. Examples: Extend guarantee end date, add an object on a guarantee account, change guarantee begin date, add pre-award costs to guarantee.

Other

Changes (Internal Rebudgeting) (26)

A principal investigator may submit a SPAR to request that funds be rebudgeted between two existing accounts under the same award, unless agency approval is required. Rebudgeting is defined as changing budgeted allocations in expenditure categories (objects).

Enter the account numbers and desired changes in the appropriate columns on the Object Table. The total in the From column should equal the total in the To column.

NOTE: If requesting a funds transfer to a new account, submit a Research or Conference Account Request (RCAR) form instead of a SPAR form.

Pre-award Costs (27)

The University may authorize a principal investigator to make expenditures prior to the beginning date of a sponsored agreement in accordance with FDP terms and conditions (see above) if the following criteria are met:

See above for pre-award information and instructions (example numbers 10 and 11).

NOTE: When required for specific expenditures or activities not covered by FDP terms and conditions, agency prior approval must be obtained.

Extend Account End Date (28)

If a time extension is approved under FDP terms and conditions, the final budget period for the project may be extended one time only for a period up to one year after the original expiration date. Refer to agency guidelines and the award document for more information. See also 40.25.

If the extension is approved by the University, University officials notify the sponsoring agency. The sponsor usually provides acknowledgment of the new expiration date.

Allowable Objects (29)

When requesting a new account, check allowable expenditure objects for the account on the Object Table. This review is not required if extending an existing account, unless a new object is being opened.

If opening a new object on an existing account, enter the object description under Explanation.

NOTE: When a F&A rate is entered in the F&A Rate field, certain allowable object information must be completed, as indicated below:

Also, if the department checks object 13 on the Object Table, the department must enter an F&A rate in the F&A Rate field.

Explanation (30)

Enter an explanation for the requested activity. If the request is to incur costs prior to the receipt of a formal award, indicate the basis for assuming the sponsor will approve the proposal.

If more than one account is being requested, additional accounts numbers may be entered here or enter "See Attached," if the number of accounts is too numerous.

Routing and Approval

Send the original SPAR and attachments to Sponsored Programs Services (SPS) after the authorization has been approved by the principal investigator, chair, and dean (or equivalent administrator). NOTE: Dean or equivalent administrator signature is required on all guarantees unless a blanket authorization is on file with SPS.

Provide copies of the approved form to the principal investigator, the chair, and the dean (or equivalent administrator).

In order to facilitate processing, the SPAR and attachments may be faxed to Sponsored Programs Services and other offices.

See the PDF form:
40.23.10: Sponsored Project Activity Request
Complete and/or print as needed.