Automatic Award Advance Procedures

This procedure streamlines the administrative steps needed to process certain award advances without increasing institutional risk. Use of an award advance allows for spending in the correct Award and Activity Period; minimizing cost transfers. Without an award advance, departments will need to record expenditures on a discretionary fund until the sponsor funds the award/budget period.

Which awards qualify for an automatic advance?

CGA Compliance will establish an advance in RAS for a continuation or supplemental year on a current award, including City and County of San Francisco (CCSF) awards, when:

  • The department administrator sends an email to [email protected] requesting the advance
  • The Activity Period has not been established for the next budget period
  • There are no past-due receivables older than 90 days
    • All milestones have been met, i.e., installments have been billed
  • Continuation is in progress
    • There must be a CACTAS record, except for CCSF awards
      • All CCSF awards will be confirmed with the UCSF contracting officer; a CACTAS record is not required
    • CACTAS record must have sponsor intent to fund
      • If no record, work with contracting officer to get a correspondence record created
  • Active certifications are in place or in progress and visible in the appropriate certification system
    • IACUC
    • CHR
      • If no evidence in certification system, confirm with Contracting officer

When should a formal advance request be processed through OSR?

The Award Advance Request Form is required (automatic award advance is not applicable) for:

  • New awards
  • Competitive renewal periods
  • Transfer-In awards

When is an advance (automatic or formal) not allowable?

No-Cost Extension Pending – Federal and Federal Flow-Through Awards

During final reporting and closeout, departments notify Contracts and Grants Accounting (CGA) that a no-cost extension (NCE) is pending with the sponsor using Section C of the Final Reporting Certification Form. CGA will confirm the pending request via CACTAS with the contracting officer to ensure that there is sponsor intent to issue. If the sponsor intends to issue a NCE, then CGA will extend the processing end date of the current award 90 days. If the NCE is not received within 90 days, then CGA will discuss with OSR whether an extension is still appropriate.

No-Cost Extension Pending – Private Awards

When submitting the Financial Status Report to CGA for review and submission to the sponsor, departments should alert CGA that a no-cost extension is pending with the sponsor in the submission email. CGA will confirm the pending request via CACTAS with the contracting officer to ensure that there is sponsor intent to issue. If the sponsor intends to issue a NCE, then CGA will extend the processing end date for the current budget period 90 days. If the NCE is not received within 90 days, then CGA will discuss with OSR whether an extension is still appropriate.


Clinical Trials

Award advances will not be processed for clinical trials. The risk of continuing with this type of work is greater than the University is able to assume without the expressed understanding and approval of the sponsor. If you have a clinical trial that has an upcoming end date and the work will continue past the indicated end date, work with OSR to get the award extended.

How is an automatic advance processed?

Department administrators should identify continuation and supplemental awards, including CCSF awards, which qualify for an automatic advance (see section above), and send a request for an advance by email to [email protected].

CGA will verify that the award meets the required qualifications and:

  • Establish a budget/modification at 50% of the expected budget
  • Add new Activity Period or extend the existing Activity Period, as appropriate
  • Send an email notification to the Principal Investigator, Department RSA, Assigned RSC, and Departmental Financial Administrator using the following Advance Award template:

Subject Line: AUTO ADVANCE; Award Number; PI Last name, First Initial; Sponsor; Reference Number

An advance has been established for the continuation budget period for your award [Award Title] from [Sponsor
Name] pending the arrival of the fully executed award agreement. You may continue program progress on this
award but remember if for some reason the award agreement is not executed by the sponsor under UCSF policy,
you are responsible for financing all expenses incurred during the advance period from discretionary funds.

Notification of advance award number: [A#]

Activity Period: [AP#]

Primary Project: [Primary project #]

For additional projects, contact [email protected] for processing

Additional Information - Information on chart strings

Regards,

CGA Compliance

[email protected]

Resources

References

Forms

Policies