A notice of grant award (NGA, NoA or NOGA) is an award notification from a sponsor. Typically, it contains information about the amount of funds obligated, the time period for performance and the scope of work. In addition, the notice provides information about the terms and conditions associated with the award. If a principal investigator (PI) receives an NoA directly, they should forward it to their contact in Sponsored Projects for review, negotiation, acceptance and award setup.

Advance Accounts provide PIs and departments with an opportunity to initiate a project and begin accruing charges for that project prior to receipt of an award document. Advance Accounts allow you to charge expenses beginning on the project start date. Expenses prior to the project start date (“pre-award costs”) should not be allocated to an Advance Account. 

Though Advance Accounts allow most types of spending to commence, certain expense categories are restricted. Outgoing subcontracts to fund other institutions cannot be created using Advance Account funds.

In requesting and accepting an Advance Account on behalf of a PI, the department, school or center assumes the total financial risk in the event the award is not made or not accepted or if the terms of the award deem certain expenditures to be unallowable. The Sponsored Projects team will use its best efforts to finalize an award but cannot guarantee a successful outcome of any award negotiation.

Requesting an Advance Account

An Advance Account can be requested by routing a University Prior Approval System (UPAS) form via the Send Grants Status Update action. After the PI and department staff complete and execute the UPAS form, it is forwarded to Sponsored Projects or the BioMed Research Administration (BMRA) for internal review. Sponsored Projects will review the form for completeness and potentially request backup information if applicable.

University Prior Approval System Form [PDF]

Advance Accounts for an Incoming Subcontract

If you are requesting an Advance Account for an incoming subcontract, you must provide written confirmation from the pass-through entity that indicates a subaward is anticipated. This communication can be an email or memo and should include the anticipated start date of the subcontract.

Advance Accounts for a Federal Award

When requesting an Advance Account for a federal award (e.g., from the National Institutes of Health, National Science Foundation, Department of Defense) you must include substantiating information, such as an email from a program officer indicating an award is forthcoming, as part of the request. If the incoming award is being transferred from another institution, please include a copy of the Relinquishing Statement from the prior institution.

Internal Review of Advance Accounts

As with the setup of all awards, prior to creating an Advance Account, the Sponsored Projects team reviews internal documentation to ensure all pre‐award requirements are met. This may include any of the following:

• Evidence of a complete, approved funding proposal record in Brown’s grants management system (required for all Advance Accounts)
• Documentation of Institutional Animal Care and Use Committee or Institutional Review Board approval, as appropriate
• Completion of all required trainings, particularly financial conflict of interest training (FCOI), as required by the sponsor
• Assurance from Research Integrity that the award is cleared for setup from a FCOI standpoint

With a complex proposal (i.e., one that combines multiple budgets into one submission), additional steps may be needed to assess the structure of potential Advance Accounts.

The Sponsored Projects team also evaluates the circumstances of the Advance Account request. Based on the award type and potential award terms, the team may need to contact the department for additional discussions regarding institutional or departmental risks associated with the Advance Account. The Sponsored Project team also makes determinations regarding flexibility of applicable compliance steps, such as FCOI clearance, in some circumstances.

Possible Negotiation Issues and Risk of Advance Accounts

In the majority of cases, the Sponsored Projects team establishes an Advance Account upon request without any further discussion needed. However, there are some cases that require significant negotiation of areas of concerns to the PI, the department and the University. In these instances, prior to establishing the Advance Account, the Pre‐Award representative will identify areas of concern and the associated financial and nonfinancial risks, to the extent these risks can be identified, to ensure the PI and their department are aware of the potential research policy matters that must be addressed before an award can be accepted on behalf of the University. 

Negotiation issues may include the following:

• Control of scope of work and key personnel
• Publication restrictions and confidentiality requirements
• Lack of criteria for acceptable performance
• Intellectual property terms
• Termination and default clauses
• Indemnification

In some cases the very act of creating an Advance Account could create negotiation difficulties because some sponsors deem the award agreement accepted when work commences on a project. The Sponsored Projects team will make the department aware of these potential impediments to award acceptance, and will create the Advance Account upon written confirmation that the dean, department chair or center/institute director is aware of these risks.

Advance Accounts may not be possible in cases in which agreement terms can have a substantial impact on the University as a whole, such as awards that may put Brown’s Fundamental Research Exclusion at risk.

Anticipated Timeline of Advance Accounts

Advance Accounts are created for short‐term purposes; therefore, all Advance Accounts are converted to active awards within a reasonable timeframe. As such, after six months, the Sponsored Projects team will need to re-approve accounts that remain in Advance status for an extended period of time. A rationale for extending the Advance Account will be requested as part of this evaluation, and the Sponsored Projects team will then determine whether it is reasonable to extend the period of the Advance Account and communicate its decision to the department. If the extension is not approved, the Advance Account must be closed and all charges must be transferred to departmental accounts.

Closing an Account in Advance Status

The Sponsored Projects team is responsible for removing expenditures from the Advance Account if the award is not made, not accepted or if the terms of the award deem expenditures to be unallowable. Expenditures will be transferred to the designated cost center, after which the cost center may make additional transfers to non-sponsored project accounts, as needed.

Visit the Fabricated Equipment Definition and Criteria page for guidance on Fabricated Equipment.