UW Research

Policies, Procedures and Guidance

GIM 09 – Advance Budget Numbers

Effective: June 13, 2013

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.

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.

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:

  • Human subjects research expenditures to support the project will be charged and an IRB approval, an Exempt Status determination has not been obtained from the Human Subjects Division (HSD)
  • Animal use research expenditures to support the project will be charged and IACUC approval has not been obtained from the Office of Animal Welfare (OAW)
  • Significant financial interest was disclosed by investigators who will be on the project and an exception to this policy has not been made by the Institutional Official for Research Conflict of Interest

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.

Procedures and Guidance

Submission of Advance Budget Number Eligibility Information to OSP

All eGC1s are automatically blocked from eligibility to receive an advance budget number unless OSP lifts the block at time of eGC1 approval.

At any time after the proposal is submitted and receiving indication that an award is forthcoming, a PI may assess whether the eGC1 may now be eligible for an advance budget number by completing the Advance Budget Number Eligibility Tool. To answer the questions posed on the Eligibility Tool, the following information is needed:

  • The eGC1 number and access to the eGC1 , including the Compliance Questions and Explanations (Q&E) page
  • Access to Status Checker on the OSP website
  • Request for Proposal (RFP), Program Announcement (PA) or Funding Opportunity Announcement (FOA) to which the proposal responded
  • Anticipated award type (grant, cooperative agreement, contract)
  • Sponsor type (federal, federal flow-through, other)
  • Anticipated start date of award
  • IRB approval, Delayed Onset Human Research (DOHR) or Exempt Status Determination, if applicable
  • IACUC approval, if applicable
  • Whether SFI disclosures were made for the subject eGC1

If, based on the answers provided, the Eligibility Tool indicates that the eGC1 must remain ineligible, the Eligibility Tool provides the reason for ineligibility and any relevant guidance.

If the Eligibility Tool indicates this eGC1 is eligible for an advance budget number, the information provided by the requestor is sent directly to OSP from the Eligibility Tool. OSP confirms that the information provided is consistent with eGC1 information, federal requirements, sponsor requirements, and any relevant university policies.

All information provided by the requestor that is sent to OSP will be documented on the eGC1 and maintained in the grant and contract file.

The PI, all eGC1 contacts and those with access to the eGC1 will receive an auto-generated e-mail from OSP once the eGC1 is made eligible for an advance budget number.The PI or his/her delegee may then enter SAGE, click on the Advances tab, find the eGC1, and proceed with advance budget number set-up procedures with Grant and Contract Accounting (GCA).

OSP review of Advance Budget Number Eligibility

Advance budget number eligibility is subject to review by OSP.

When performing a review of the eligibility, OSP will receive and confirm the information provided by the requestor on the Advance Budget Number Eligibility Tool and any supporting documentation. In addition, OSP reviews eGC1 information, the sponsor type, sponsor policies, University policies, and any protocol approval information provided by the department.

If OSP removes the eligibility block on the eGC1, the PI or his/her delegee must enter SAGE to obtain the Advance Budget Number Request Form, gather required signatures and submit directly to Grant and Contract Accounting (gcahelp@uw.edu).

Setting Up the Advance Budget Number with GCA

Once an eGC1 is eligible for an advance budget number, the PI or his/her delegee must complete the following:

  • Log into SAGE
  • Click Advances Tab
  • Click Create New Advance
  • Enter the eGC1 number for which you want to create the Advance Budget Number
  • From a list of eGC1s, click Select next to the eGC1 for which you want to create the advance budget number
  • Complete the Advance Budget Number Request Form
  • Capture all required signatures
  • Send to GCA: gcahelp@uw.edu

The following information is needed on the Advance Budget Number Request Form:

  • The Form is for an eligible eGC1 and the eGC1 # listed is for the anticipated funding
  • An agreed amount of money to request as advance funding
  • A time period for which the advance budget number is needed (up to 6 months)
  • A designated contact person and box number for queries and correspondence from GCA
  • The signature of the Chair or Dean of the department, guaranteeing all advance funding

The PI or his/her designee is responsible for monitoring advance budget number expenditures and notifying GCA within 10 working days prior to the expiration of the advance budget if an award has not been received by that time. In this situation, the PI may request:

  • A supplement to increase the amount of funding available on the existing Advance Budget number
  • An extension to extend the availability of an existing advance budget number for an additional three months. Note: An advance budget cannot exceed 12 months.

The process for requesting a renewal, supplement, or extension to an advance budget number is through GCA and similar to setting up the advance. In addition to the standard information, however, you will also need to specify the advance budget number for which you are requesting the renewal, extension, or supplement.

Review more information about completing the Advance Budget Number Requests.

Monitoring Advance Budget Numbers

Expenditures that are charged to an advance budget number must be monitored for allowability and amount by the unit requesting the advance budget number.

The Business Intelligence (BI) Portal  maintains an advance budget number report system. This system allows users to view a list of grant and contract budgets in advance funding status for a selected organizational code structure. No historical information is reported.

You can use the Advance Budget Number Report on the BI portal.

Responsibilities

Principal Investigator

  • Completes the Advance Budget Number Eligibility Tool to assess advance budget number eligibility
  • Provides supporting documentation to OSP, when required
  • Obtains Chair and/or Dean approval on Advance Budget Number Request Form and submits to Grant and Contract Accounting
  • Responsible for monitoring all costs charged to the advance budget number

Office of Sponsored Programs

  • Confirms information provided in Advance Budget Number Eligibility Tool is consistent with eGC1 information, federal requirements, sponsor requirements, and any relevant university policies
  • Requests further information from PI and department, when needed to make a determination on eligibility
  • Authorizes or denies advance budget number eligibility
  • Maintains record of Advance Budget Number Eligibility Tool in the main grant and contract file

Chair and/or Dean

  • Signs Advance Budget Number Request Form
  • Incurs responsibility for all pre-award costs incurred 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.

Grant and Contract Accounting

  • Reviews Advance Budget Number Form for completeness
  • Sets up Advance Budget Number according to request in Advance Budget Number Form
  • Authorizes or denies Advance Budget Number extensions or supplements

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

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

Content Creator

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