FREE 10+ Pre-Award Forms and Policies in PDF | MS Word

Pre-award forms are documents which are used by educational institutions for their grant applicants during the pre-award phase of a grant. These forms range from application forms up to waiver requests and authorization forms depending on the specific phase that an applicant will have to complete in order to obtain the grant approval of the school administration. Students and organizations who want to acquire funds and other types of support from the school are the target users of pre-award forms.

Pre-award Contractor Survey Form

Institutional Routing and Authorization Form

Varieties of Pre-Award Forms

The varieties of pre-award forms differ on their purposes and when it will be used by the applicant. Below are some of the common varieties of this document which can be used as a guide for school administrations and grant providers to create their own document based on their needs and services:

Budget Justification Form – Organizations or individuals who want to obtain financial support from a grant provider needs to submit a budget justification form. This type of document is identical to a basic budget proposal wherein the finance request of the organization will be defined and described. Specifically, the form will contain a list of products, goods, services, and other matters where the requested budget will be allotted. To complete the justification form, the user or the representative of the organization must provide a description of where the budget will be used including the details of the project or the event that the organization is planning to conduct. Additionally, the supplies, equipment, and other expenses will also be required to be stated in the form.

Budget Justification Form in DOC

Exception Request Form – A principal investigator is a person who is held responsible and obligated to conduct a research and investigation procedures for any type of grant request. One of the forms that a principal investigator will be needing to complete is an exception request form. The importance of this document is to for the principal investigator to have an approved exception from the school’s grant administrators. In the form, the general information of the principal investigator will be disclosed with the description of the grant project. The signatures of the research dean and other officials who are assigned to handle the selection and approval process of a grant are needed to complete the form with the dates of when the decision to approve the request was decided.

Exception Request Form

Graduate Tuition Waiver Request Form – For graduate students who are already grant-program holders or have sponsors from grant providers, a graduate tuition waiver request form should be filled out. This tuition waiver request is essential for informing the school administration about the inclusions in the student’s grant sponsorship which is to waive him from providing tuition payments and other related fees. The form contains five sections wherein the first three sections are allotted for collecting data about the student, the principal investigator, and his tuition waiver or grant. The fourth section is a questionnaire which will identify if the student’s grant sponsorship have met the guidelines set up by the school regarding tuition waivers. Moreover, the last section caters to the signatures of the administration’s officials who will decide whether or not the student’s request will obtain an approval.

Graduate Tuition Waiver Request Form

Internal Approval Form – This variety of pre-award form is applicable to be used by individuals and groups who want to have a sponsorship approval for their projects. The objective of using an internal approval form is to obtain the approval of grant providers within an educational institution and not from outside grant providing organizations. Six sections comprise the form. The first section is a general information section wherein the project details and the data of the principal investigator will be stated. The second section is for identifying the collaborators of the project ranging from the participants in the school’s departments and from other institutions as well. The third section is labeled as the budget information section which will state the dates of the project’s timeframe, the project’s direct and indirect costs, and the cash and planned source match of the project. If the project manager or the principal investigator will demand special conditions to be considered by the administration in relation to the creation of the project, then he must state the details of the conditions on the fourth section of the form. Then, the investigator must sign the certification on the fifth section of the form to signify his assurance to the administration that the stated data and information are facts and truths. Lastly, a signature block is the main content of the sixth section which will indicate the decision of the institution’s grant or sponsorship board members.

Internal Approval Form

New Clinical Trials Checklist Form – For educational institutions which focus on health and medical subjects, a clinical trials checklist form must be prepared especially for individuals who will be aiming for a sponsorship for their clinical projects. Basically, the checklist form will have an itemized list of documents and steps which should be fulfilled by the project manager. Once the checklist is completed, it should be duplicated to be included in one of the essential documentation procedures for the project’s reports and records.

New Clinical Trials Checklist Form

Non Profit Organization Pre-Award Questionnaire Form – An educational institution’s non-profitable organizations are the users of a pre-award questionnaire form. This document is for ensuring that the organizations who are receiving funds and sponsorship from the institution’s grant programs are able to manage their cash and other sponsored items appropriately. The questionnaire focuses on determining the strategies and the procedures of the organization which are related to their payroll, finances, and cost sharing. Additionally, institutional compliance is also required to be disclosed. Then, the organization’s representative who filled out the questionnaire will have to affix his signature and date on the provided blanks to complete the form.

Non Profit Organization Pre-Award Questionnaire Form

Preaward Accounting System Survey Form – Survey forms are also used by educational institutions for their organizations and individuals who receive grant award sponsorships. With a pre-award accounting system survey form, the grant provider or the institution will be able to determine the effectivity of an organization’s accounting system protocol and procedures in managing their received financial support. The eligibility of the organization to have a continuation of their grant sponsorships will depend on the answers that they provide in the survey as well as in other documents which will prove the financial status and stability of the group.

Preaward Accounting System Survey Form

Pre-award Risk Assessment Form – Acknowledging the risks and the consequences which accompany a sponsorship project is important for grant providers. This is why pre-award risk assessment forms are required to be completed by the project creator before the project requests and funding will be approved. The risk assessment form will center on determining the entity risks, experiences, and the expectations of the project creator or manager towards the planned project. The last portion of the form is where the list of categorized projects are stated which are divided into three: low risk, moderate risk, and high risks. The list will aid the grant provider and the educational institution administration to distinguish whether the requested project is accompanied by one of the evident risks.

Pre-award Risk Assessment Form

Basic Pre-Award Policies

The pre-award policies which are created by grant providers and educational institutions are intended to outline the rules and the regulations that grant requestors and applicants must follow during the application and selection phase of the pre-award procedure. Enlisted below are the basic policies which are mandated by educational institutions and grant award providers for their applicants:

• Members of the administration who are assigned to manage pre-award procedures should execute their responsibilities. This refers to the assigned tasks of the executive directors of an educational institution and even the principal investigator chosen by the applicant for his pre-award concerns.

• A proposal should be established based on the requirement of the institution. Every educational institution and grant provider will have varying rules and requirements when it comes to the pre-award selection process. This is the reason why applicants should be aware of the requirements and must ensure that the documents that they will submit will meet the criteria of the selection committee. For this, the applicant can inquire about a requirement list as well as a checklist which will guide him throughout the process of gaining the approval of the institution and the grant provider.

• Actions must be documented and recorded for evaluation purposes. Whether the result of a pre-award grant project proposal is an approved project or a declined project, it should be documented and recorded in the institution. Additionally, incidents which lead to a deviation of policy should also be indicated in the reports of the institution and the grant provider. A minimum of two to three years is also essential to be observed in retaining the documents related to the pre-award selection.

Spend Funds Approval Request Form

With the aforementioned pre-award forms, schools and grant providers will be able to choose what documents they lack for their applicants and sponsored organizations. Nevertheless, it is important to create a form which is connected to the needs of the school and the needs of the applicants.