New Budget Set-Up for Grants and Contracts


The Office of Sponsored Programs (OSP) negotiates specifics of grant/contract awards with sponsors on behalf of the University.

  • When the agreement is finalized, OSP prepares a Funding Action (FA) and sends it to Grant and Contract Accounting (GCA).
  • GCA assigns a new budget number to the grant/contract award upon receipt of the FA. GCA enters all information pertinent to the award into the University Financial Accounting System (FAS).
  • This allows the Principal Investigator (PI) or authorized staff to buy goods and services to accomplish the project specified in the award.
  • See also GIM 34 - Guidelines for Classification of Gifts, Grants, and Contracts for assistance in determining whether an award is a grant, contract or gift.

Separate instructions exist to:

Process Overview

  1. Principal Investigator (PI) submits a proposal package to Office of Sponsored Programs (OSP). See GIM 1: A Guide for the Preparation of Grant and Contract Proposals
  2. Sponsor notifies University of the award. (If award is received in the department, the award plus all attachments must be forwarded to OSP).
  3. University accepts the award by returning an appropriately signed form to the sponsor.
  4. OSP issues a FA and sends award package to GCA. The award package includes the FA, the award documents eGC1, eGC1 addendum, and the budget portion of the proposal relevant to post award accounting.
  5. Upon receipt of the FA and award package from OSP, the appropriate team in GCA assigns a budget number and enters the following information into the Financial Accounting System (FAS).
  • FIN Screen 4 (02 Index) information.
  • FIN Screen 4 information for sub-accounts if specified on the FA.
  • FIN Screen 5 permanent budget information.
  • The Facilities & Administrative (F&A) costs encumbrance is created in the Purchasing/Accounts Payable System (PAS).
  • Revenue Journal Voucher (JV) is prepared for the funding.
  • Cost Sharing pledges into the electronic Faculty Effort Certification System (eFECS) .
  • Invoicing or Automatic Payment schedule.
  • Financial reporting schedule

Department can now find the budget number online. Also, goods and services can now be charged to this project.

Once the account is online, GCA sends an email with the new budget number to the:

  • Principal Investigator
  • Current reviewers in ASTRA for the org code receiving funding
  • eGC1 Admin Contact
  • eGC1 Budget Contact
  • eGC1 Creator

A copy of the FA is attached to the notification email.

PI/Staff Procedure
PRE AWARD: The following activities performed by departmental staff are essential to the setup of a new account:

  1. Proposal preparation. See GIM 1 -- A Guide for the preparation of Grant and Contract Proposals
  2. eGC-1 and eGC-1 Addendum preparation. Especially critical to the new account setup are:
  • PI Name, PI EID, Organization Code

  • Budget (including Facilities & Administrative (F&A) cost rate and exempt items)
  • Type of award (grant, contract, training grant, fellowship)

3. Award documents from Sponsor and all attachments must be sent to OSP.

The following situations and omissions are the most frequent causes of delay in the process of setting up a new account:

  • Incomplete / inaccurate eGC-1 and/or eGC-1 Addendum forms
  • Missing personnel information in HEPPS for PI (when PI is transferring institutions to UW, but hasn’t arrived on campus yet).
  • Award Amount is not identical on all three: award document, FA, eGC1 Proposed Budget section.
  • Begin Date and/or End Date of the project is not identical on all three: award document, FA, eGC1.

POST AWARD: PI / Staff should review the FIN Screen 4 (02 Index) entries.
If any of the following contain errors, please contact

  • Name of the Principal Investigator.
  • Organization Code or Campus Box Number
  • Facilities & Administrative (F&A) Cost Rate (may require an FA from Office of Sponsored Programs).
  • Begin Date or End Date

    If FIN Screen 4 and the FA agree, then a date change requires a Post-Award Change (PAC), a form that OSP uses to communicate changes to the terms or conditions of an award after it has been accepted by the University. Contact Office of Sponsored Programs If FIN screen 4 is different from the FA, please contact

Review the FIN Screen 5 entries for accuracy

• To have corrections made, see instructions for re-budgeting.


Supporting Documents
eGC-1 – Request for Approval of Application for Grant or Contract

TRANSPASU – Transactions/Parent/Sub Form for setting up a sub-account.

Rules and Regulations:
GIM 1--A Guide for the Preparation of Grant and Contract Proposals
GIM 34--Guidelines for Classification of Gifts, Grants, Contracts


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