NIH Policy Statement: Completing the Pre-Award Process
Provisional Institutional Certification
HSD SOP Request for Genomic Data Sharing Certification – Investigators
UW Research
Post Submission
Contents
Policies, procedures and time frames vary regarding post submission materials and requirements that must be met before an award can be issued or accepted. Check sponsor guidelines for information specific to your proposal. Some University policies and procedures regarding activity after proposal submission but before an award is made are below.
Advance Budget Numbers
In many cases an Advance Budget Number (ADV) can be set up before an award is finalized.
Review:
- SAGE: Advance Budget Overview
- UW Policy GIM 09- Advance Budget Numbers
- Grant and Contract Accounting guidance on Advance Budget Set Up & Extension
Advance Budget Request FAQ
Why isn't my eGC1 eligible for an Advance Budget (ADV)?
- The sponsor has not granted pre-award spending authority (most contracts and non-federal awards) and the department has not provided an alternate budget number to charge should the sponsor not reimburse costs incurred outside pre-award spending authority.
- The anticipated award is a federal contract of $100,000 or more or has a subaward with federal contract funding of $3,000 or more and personnel to be charged have not been verified in the E-verify system.
- Human subjects research expenditures will be charged, and IRB approval or Exempt Status determination has not been obtained.
- Animal use research expenditures will be charged, and IACUC approval has not been obtained.
- OSP already prepared a funding action (FA) for the award and sent it to GCA for processing.
- SFI disclosure and review is not complete.
Required Training
Required training may need to be completed before the UW can accept an award.
Examples: Good Clinical Practice training, Human Subject Protections, Responsible Conduct of Research (RCR), Animal Use Medical Screening (AUMS), Biosafety, EH&S
MyResearch – Training Transcript displays records of completed training for UW’s research required training, as well as some NIH required training offered through CITI (such as Protection of Human Subject Research Participants).
MyResearch Training Transcript
Supplemental Proposal Materials
Some sponsors request additional information prior to proposal review (sometimes referred to as “Supplemental Proposal Material”). This information may include items such as updated publications. Pay close attention to requests for information regarding your proposal, including instructions for who must submit materials to the sponsor.
Send all documents that need OSP review and submission, to osp@uw.edu, including your eGC1 number and PI name in the subject line.
Just-in-Time
Some sponsors request more information after the proposal has received a fundable score or review of the proposal but before making an award (sometimes referred to as “Just In Time” information). Standard requests include F&A rate agreement letters, other support information for key personnel, IRB or IACUC approval dates, and certification of required training.
Sponsor requests for this information are usually sent to both the authorized official (e.g., OSP) and the Principal Investigator. The PI prepares the documentation and provides it to OSP for review and submission to the sponsor.
National Institutes of Health (NIH)
Unless the Grants Management Specialist requests that JIT materials be submitted to them directly via email by the authorized official, NIH requires applicants to submit all requested information in the eRA Commons JIT section.
Review UW guidance for NIH Other Support as it pertains to Foreign Interests.
Institutional Certification for Genomic Data Sharing
The NIH Policy on Genomic Data Sharing (GDS) applies to all NIH-funded research that generates large-scale human or non-human genomic data as well as the use of these data for subsequent research.
Learn more about when this is required in the Human Subjects Division SOP Request for Genomic Data Sharing Certification – Investigators.
Institutional Certification cannot be provided until HSD carries out its review!
Process to submit institutional certification at JIT:
- 6-8 weeks before the award start date, follow Human Subjects Division’s Genomic Data Sharing Certification procedures for requesting Institutional Certification.
- HSD sends its review summary to PI.
- PI signs the institutional certification and uploads with JIT materials.
- Notify OSP via osp@uw.edu. Include the eGC1 # in the subject line and indicate JIT Materials are waiting for submission.
- OSP reviews and submits JIT materials in eRA Commons to NIH.
- OSP’s submission of this documentation via eRA Commons to NIH signifies institutional certification.
While HSD approval is pending, use the NIH Provisional Institutional Certification and include with your JIT materials. OSP can then proceed with the review and submission of those materials, pending the final certification.
Process to submit institutional certification after award receipt:
- Follow HSD Genomic Data Sharing Certification procedures.
- HSD sends its review summary to PI.
- PI signs the institutional certification and sends it to osp@uw.edu, referencing the eGC1 number.
- OSP will sign and submit to NIH.
Related Resources:
Incoming Subawards
When the UW is a named subrecipient under another institution’s (pass-through entity) proposal to a prime sponsor, the pass-through entity may need additional information before issuing our incoming subaward, such as a project-specific certification form or the contact information for the subaward template.
UW campus administrators typically complete these forms, using UW institutional information or information found on the UW’s FDP Expanded Clearinghouse Profile (scroll to UW profile).
If an institutional signature is required, send it to osp@uw.edu for OSP signature.
Related Resources:
FDP Expanded Clearinghouse Profiles (scroll to UW profile)
