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GIM 9
Advance Budget Numbers

UNIVERSITY OF WASHINGTON

Office of Research
Office of Sponsored Programs

GRANTS INFORMATION MEMORANDUM 9

June 13, 2013

SUPERSEDES: GIM 9 (May 9, 2008)

  1. Purpose

    This policy sets out the allowability of expending funds against a grant, contract or other agreement for external sponsored funding prior to the receipt of an award document. This GIM also includes the procedures in place at the University to obtain an advance budget number.

  2. Background

    Federal assistance funding (grants and cooperative agreements) may include pre-award spending authority. Additionally, some sponsors grant explicit prior approval to an applicant to incur pre-award costs in anticipation of making an award.

    The University provides a mechanism by which a Principal Investigator can set up an advance budget number for the convenience of accounting for costs that will be charged to the sponsored funding. This mechanism accommodates the need of a PI to charge costs ahead of receipt of the award once all relevant compliance areas are reviewed and resolved.

  3. University 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 budget number prior to the receipt of an award from the sponsor.

    Advance budget number eligibility is reviewed by the Office of Sponsored Programs (OSP) once all pertinent information required for a review is provided by the PI or his/her designee to OSP.

    Advance budget number eligibility is not allowed when the forthcoming award has outstanding compliance issues that would prohibit spending on a project. Such compliance issues include, but are not limited to:

    The Department Chair or Dean will be responsible for any pre-award costs that are subsequently not allowed by the sponsor as well as any amounts incurred on the advance budget number but not funded by the sponsor.The alternative department budget number provided at time of Advance Budget Eligibility Request will be charged.

  4. Procedures and Guidance

  5. Responsibilities

    Principal Investigator
    Office of Sponsored Programs
    Chair and/or Dean
    Grant and Contract Accounting
  6. Other Related Resources

    Subject Document
    Significant Financial Interest Disclosure Policy GIM 10
    Activities Involving Human Subjects, Including Clinical Research GIM 20
    Use of Experimental Animals: Regulations GIM 27
  7. Contacts

    Subject Contact Email Phone
    Advance Budget Number Eligibility Office of Sponsored Programs osp@uw.edu 206-543-4043
    Advance Budget Number Request Form Grant and Contract Accounting gcahelp@uw.edu 206-616-9995
  8. Content Creator

    Responsible University Office
    Office of Sponsored Programs/Research Accounting and Analysis