SUBJECT: Advance Budget Number Assignments (Advance Notices)

I. GENERAL POLICY

The Principal Investigator of a contract, grant or other agreement may request authorization to spend a limited amount of money during a specified period on an Advance Notice prior to the receipt of an executed award from the funding agency. This need often arises when an award has not been received in Office of Sponsored Programs (OSP) by the effective date of the award.

II. PROCEDURE

• The Principal Investigator is advised by the sponsor that an award is forthcoming. The PI completes the Memo to Request an Advance Notice form (See Attachment A), providing all information required for budget setup as indicated. The form is signed by the PI and the Chair or Dean of the Department and then sent to Grant and Contract Accounting (GCA). The request should:

1. Explain the need for the Advance Notice, and the proposed advance period. An advance budget can be requested for up to the maximum of six (6) months.

2. A subsequent increment of the advance budget to a maximum of three (3) months can be requested by memo, or email, to GCA at the end of the first period. The request must guarantee any additional advance funding. The second request must be signed by the PI and Dean/Chair (for email, both must concur by email).

• GCA establishes a budget number with a short title denoted by *ADVANCE* and informs the Principal Investigator or Administrator as noted on Attachment A (UW contact name/email).

• Advance Notice requests will not be processed for a proposal with Significant Financial Conflict of Interest (see GIM 10) until the approval is obtained.

• Requests to establish advance budgets for Industry Sponsored and Clinical Trial agreements should be sent to Office of Sponsored Programs (OSP) for review and processing (See Attachment B).

• The PI or Department Administrator will monitor advance budget expenditures and notify GCA within (10) working days prior to advance budget expiration to request a second advance if an award has not been received by that time. An Advance budget will not exceed 12 months. The PI and Department Chair will be responsible for any pre-award costs that are not allowed by Sponsor as well as any amounts authorized by the advance but not funded by the Sponsor.

• When OSP receives an award from the sponsor, OSP staff will review the Online Financial Accounting System to verify that an advance budget has been authorized, a final NEA will be completed and sent to GCA with notification that an Advance Notice was previously set up for the subject account.

Carol Zuiches
Executive Director, Office of Sponsored Programs
Assistant Vice Provost for Research

Sue Camber, Assistant Controller
Research Accounting and Analysis