 |
 |
If you don't find the information you are looking for, contact a SAGE Peer Mentor or see the ORIS website.
Send e-mail to sagehelp@u.washington.edu.
Send email to sagehelp@u.washington.edu.
Please consult your OSP administrator.
General Information
The online approval of grants and contracts at the UW. eApproval will replace the signature page of the eGC1, but paper copies of the research documents will still need to be circulated to all reviewers on campus. The same approval rules that drive the signature page now will generate the approval chart.
All approvals will be done online (replacing the signature page). Email notification messages will prompt PIs and unit reviewers to login the system and approve. Paper copies of the grant or contract applications will still need to be provided to each reviewing organization. OSP no longer requires a paper copy if the application is being electronically submitted to the sponsor. A new routing sheet will be used. Users will use the online workflow to track the approval process and view the comments.
Go to the ORIS website for a description of eApproval, timeline and links to additional information.
Streamlining the routing and approval process is the feature most requested by campus members. The Electronic GC1 will make electronic routing and approval available to all researchers, saving valuable time, effort, and paper for both researchers and approvers. Researchers at remote locations such as Harborview Medical Center and the VA will benefit from not needing to travel to the UW main campus to route their applications. All researchers will be able to benefit from the convenience and accuracy of the SAGE Database as well. The increase in accuracy afforded to researchers by using a web form with built-in business rules will speed the approval process and reduce the various phone calls and email to clarify application information.
Incremental deployment of eApproval to all campus units and OSP will begin Winter/Spring 2005.
Yes, modifications are necessary to support an incremental deployment to campus. First, all users will have access to the new My Approvals page. Second, the system determines whether an Approval Workflow or Signature page is rendered for an eGC1, based on the org code receiving funding. Deployed units will be able to view an Approval Workflow, while units that are not yet deployed will still have the Signature Page.
No, "Approve" / "Return" buttons will only be listed on the new:
- My Approvals page.
- Approval Workflow page.
The back-up reviewer will approve in their absence, same as the signature process now. All possible reviewers must be authorized in ASTRA by the unit administrator.
Yes, during the first release of eApproval, paper copies of the entire grant or contact packet must be provided to all appropriate campus units. The new Routing Sheet should accompany this packet. In the second release, documents will be uploaded electronically.
No, just the Routing Sheet and the grant or contract documents.
The Routing Sheet, all grant or contact documents (forms, science, etc.), and any school or college forms (e.g., SOM requires 2 extra forms). Instructions are listed on the Routing Sheet.
Correct, all UW approvals occur online.
Authorization & Access
0-45 minutes.
Delegation - Escalation
No, PI delegation is no longer accepted. In the case that the PI is absent, the new Escalation of PI Certification should be used. This better supports the policy of GIM 1 (http://www/washington.edu/research/ospgim/gim1.html)
eGC1 Preparers and Owners may Finalize the eGC1, add comments on behalf of the PI, track the routing progress of UW approvals online, modify the eGC1 as needed, and contact reviewers listed on the Approval Workflow. They can not approve on behalf of the PI.
TBD.is checked, then the following Workflow will take place:
In exigent circumstances, the PI may choose to escalate approval up the organizational hierarchy.
1. The preparer checks the box on the Certify-Finalize-Print page denoting the absence of the PI and need to escalate his or her approval.
2. Finalize the eGC1.
3. The PI and first level units will be sent an email notification.
4. The rule reason on the Approval Workflow page will display in red - "PI absent, responsibility for approval escalated"
5. If the PI logs in, the PI may approve (even though escalation was requested)
6. When the lowest level unit for the Org Code Receiving Funding or PI Selected unit approves the application, then both their box on the graph and the PI box on the chart changes to the 'approved' status (green color).
7. The name of the person who approved is displayed in both boxes (approving for the PI and approving for the unit).
My Approvals List
- List of applications requiring your approval or that you have access to
- Links to the Approval Workflow and eGC1.
- Sortable column headings (e.g., sort by PI last name).
- Approval Status Filters.
- eGC1 Number, Short Title, PI Name, GCS Need By Date, Approval Status.
- Search button
The My Approval status is related to your perspective of the approval process (e.g., When is your unit required to approve?), while the UW eGC1 Status is related to the application as a whole (e.g., Is the application in routing or has OSP approved it?).
- En Route The application is currently routing for approval on the UW campus and is waiting for approval by units listed BEFORE you in the Approval Workflow. This status allows reviewers to see eGC1s before they are required to approve. You may approve at this time.
- Waiting For My Approval The application is currently WAITING for your unit to approve.
- Approved The application was approved by you or someone else in your role (i.e., Dept Reviewer).
- Returned The application was returned by you or someone else in your
- role (i.e., Dept Reviewer).
- Watching Applications in which your unit does not need to approve, but can access the eGC1 to review online. These applications have not been viewed by anyone in your role.
- Watched Applications in which your unit does not need to approve, but can access the eGC1 to review online. These applications have already been viewed by you or someone else in your unit.
No. eGC1s can be reviewed in any status, and can be approved when they have the En Route or Waiting For My Approval status.
Approval Workflow
- Graphical representation of units and individuals who must review the eGC1.
- Approval History.
- Comments.
- Link to eGC1.
- Link back to the My Approvals page.
The same information that generated the eGC1 Signature Page will generate the Approval Workflow. This includes content from the eGC1 (org code receiving funding, department and deans approvers for personnel, units paying for cost sharing, some compliance offices) and the approval rules from each school/college involved.
Click on an Approval Workflow (graphical version) box and all persons in an approving "role" for the unit will be listed (pulling information from ASTRA). For each person, a phone number and email address or a link to directory information is provided.
TBD.
The Approval Workflow (graphical or text format) provides a list of all units that must approve a specific eGC1. As each unit approves an eGC1, the name of the person who approved is added to the system along with the date, time and any comments they chose to include. If you want to contact a unit that has not yet approved, just click on the name of the organization in the box (graphical version), or the ____ button (text version) to see the Reviewer Details. This provides the current status, a list of reviewers for this role, and directory information.
The box for that unit will turn green and the name of the person who approved will be listed in the box.
PIs will be notified by email when an application is waiting for their approval. The email will contain a link (URL) directly to the Approval Workflow of the given eGC1. From this page the PI can approve or view additional online data.
Yes, click on the approval box (graphical version) for a list of persons who can approve for this unit and directory information.
Yes, the progress is displayed on the Approval Workflow (both graphical and textual versions).
Yes, once a unit approves an eGC1, the name of the person who approved for that unit will be listed on the Approval Workflow and in the Approval History.
The Approval History records all actions taken on this application (approve, return, withdrawn). The name, date, time, and comments of each reviewer are displayed here.
Yes, ad hoc reviewers (approvers or watchers) can be added by anyone with access to the Approval Workflow. Click on the "Add Approver" or "Add Watcher" button and follow the step-by-step instructions.
Yes, comments can be entered when approving or returning an application. General comments also can be added.
Yes, they will be able to view the workflow (graphical or text version), add approvers or watchers at their discretion, and add comments.
Yes, they will be able to view the Approval Workflow. They will not be able to add reviewers.
Watch the Approval Workflow online (graphical or text format) to see when all units have approved. Unless the Dean's office signature is needed on sponsor documents, the grant can be delivered to OSP in advance of all campus approvers approving. They will not begin their review until all campus units have approved and the paper documents are received in their office.
History & Comments
Yes.
Modifications
This is actually a question for you and your PI to determine. The PI will not automatically be added to the Approval Workflow to re-approve.
Yes, Preparers will receive email notification along with the PI, Admin Contact and Budget Contact.
Once an eGC1 is in routing, the Division Reviewers, Department Reviewers and Dean's Reviewers for the Org Code Receiving funding unit, the PI's selected unit, or the PI's academic home unit may modify it.
The system does not track changes to individual data fields, so if you have completed your review of an eGC1 and want to modify two data fields, you can withdraw the eGC1, make the two changes, and then re-finalize. If you return the eGC1 for modification by the PI & research group, they could possibly modify additional data fields without your knowledge. This is one reason it is important for anyone who makes modifications to an eGC1 to list the changes in the Comments field upon re-finalization.
Re-approval depends on the type of changes and the business process of a given unit. Contact your department and Dean's office directly to answer this on a case-by-case basis. The system will not automatically add any units to the Approval Workflow to re-approve. If modifications to the eGC1 results in additional units needing to approve (e.g., a new co-investigator is added from a different unit), these units will be added to the workflow.
The data on a finalized eGC1 can be modified in one of three ways, each involving different roles:
- An Owner* withdraws the eGC1, modifies the data, and then re-finalizes the eGC1.
- The Dept Reviewer withdraws the application, modifies the data, and then re-finalizes the eGC1.
- The Dept Reviewer returns the eGC1, and the research group modifies the data and then re-finalizes the eGC1.
Email Notification
A variety of events will trigger email notification messages to be sent to eGC1 Owners (eGC1 creator, PI, Admin Contact, Budget Contact), approvers and watchers.
You will receive an email message if a Reviewer "returns" an eGC1 for modification by the PI and research group. You also will receive an email when the application arrives in OSP and they begin their review.
When the eGC1 is finalized, the application is moved to Routing status and the PI is sent an email notification that it is "Waiting" for their approval. The PI can also log onto My Approvals and find the eGC1.
A variety of events will trigger email notification messages to be sent:
- When each approver or watcher can review the eGC1.
- When an approver returns the application.
- When an owner of the application withdraws the application.
- When OSP receives the eGC1 for processing.
- When OSP approves the eGC1.
See Who will receive email notifications during the eApproval process? or When will email notifications be sent from the eApproval system?.
You will receive an email notification, and this application will display in My Approvals in the "waiting" status.
If one of its authorized approvers modifies an eGC1, no email notification is sent. The events of "Withdrawing" the application and then "Re-Finalizing" it are both recorded in the History & Comments section.
Yes. You can use the UW Email Delivery Manager in MyUW to create custom email filters according to your preferences. Instructions will be widely dispersed prior to eApproval deployment.
Looking for more information? Refer to the Researcher's Guide, or to SAGE Frequently Asked Questions for eGC1 or for eApproval.
If you have business questions regarding the grant and contract process at the University of Washington, please contact the Office of Sponsored Programs (OSP).
If you have technical questions regarding the eGC1, please email the sagehelp@u.washington.edu.
