SAGE Help : Compliance Questions : Financial and General

Compliance Questions : Financial and General

General Information

Compliance questions are asked to:

Identify special considerations in this application and bring them to the attention of reviewers

Provide information necessary for the UW approval process

Provide information that may help campus unit and central office approvers to review your application quickly

Each yes/no question must be answered, and each question answered "yes" will require additional information or explanation. Some answers will also cause an approver or watcher to be added to the Signature Page or Approval Graph.

Fields

This table lists all the fields on the Financial and General section of the Compliance Questions screen of the eGC1.

Field Name	Description	More Info
FG-1 Cost Sharing	Matching, Cost Sharing or Continuation occurs when an application promises to deliver a support or service for which the research grant is not being charged. Matching funds occur when proposal funding is contingent on a unit's agreement to commit a matching amount of funding ($) to a project. Matching funds may come in the form of a gift or a grant. Cost sharing may be mandatory (required by sponsor), committed (a contribution of effort or other costs offered by the Principal Investigator but not required by the sponsor as condition of the award) or aggregate. Cost sharing occurs when an applicatin commits allowable expenses (i.e., personnel, tuition, euqipment or services) for which the research grant will not be changed. These costs must be changed to an alternate source (UW or third party); all sources must be indentified and must agree (via the eGC1 approval process) to commit the necessary funds. For more information, see the GCA Cost Sharing Page or the Cost Sharing Policy. Continuation funding takes three forms: (a) it provides funding from a secondary source for ongoing support of a project after the original funding is depleted; (b) continuation funds may also be granted if the project is unable to be completed by the original time line and the sponsor has agreed to provide supplemental funding to see the project through to completion; (c) the third type of continuation funding occurs when a portion of the original funding commitment is continued and the remaining budget must be found in grant money.	GCA Cost Sharing Cost Sharing Policy
FG-2 Off Campus	Research performed on the UW campus or in Univeristy owed buildings inlcuding: Research that is performed off the UW campus (and University-owned buildings) is considered off-campus. The following locations use the on-campus Indirect Cost Rate and therefore should not answer "yes" to this question: Harborview Medical Center and Research/Development Building Friday Harbor Labs Roosevelt I, 4225 Roosevelt Way NE Seattle Cancer Care Alliance University Building In general, locations requiring payment of rent are considered off-campus for Indirect Cost Rate purposes.	Indirect Cost Rates (GIM 13a) GIM 13b
FG-3 IDC Rate	The Indirect Cost Rate is determined by the location(s) where the research is performed and is charged as a percentage of total Direct Costs. Rates can be found in GIM 13a. A Primer on Indirect Costs, GIM 22, can provide further detail. Guidelines for determining split rates when projects are conducted at two or more locations are found in GIM 13b.	GIM 13 Glossary GCA Info
FG-4 Space	Answer "yes" if the project will be using space not currently designated for use by the department of the PI or co-investigators.	GIM 14 Leasing for UW Departments CASPO
FG-5 Overtime Pay	Answer "yes" if this application includes overtime work for employees while in the field, at sea or in the Arctic.
FG-6	Answer "yes" only if the criteria in GIM 23 is met.	Checklist
FG-7 Admin Personnel	Administrative personnel (e.g., secretary) and office supplies are not allowed on NIH grants unless they meet the criteria in GIM 23. Office supplies are allowed when the research is performed off campus.	GIM 23
FG-8 Centers	Answer "yes" when all or part of a project will be conducted at a UW interdisciplinary facility, service center or institute that must approve the application before submission to the sponsor, unless this unit is already designated as the Organization Receiving Funding (in which case it is not necessary to include it here again). Usually, there is a written agreement (memo) between all units involved.	CHDD Primate Center ADAI
FG-9 Other Approvers	The Signature Page (Phase I) and the Approval Graph (Phase II) are created based on: The department and dean's levels of the Org Code Receiving Funding The primary department and dean for all Personnel Some compliance questions (e.g., Animal Care) Answer "yes" if this application requires the approval of additional organizations not identified by the above (e.g., lab space, equipment, TBA personnel, joint appointments).

Field Name

Description

More Info

FG-1

Cost Sharing

Matching, Cost Sharing or Continuation occurs when an application promises to deliver a support or service for which the research grant is not being charged.

Matching funds occur when proposal funding is contingent on a unit's agreement to commit a matching amount of funding ($) to a project. Matching funds may come in the form of a gift or a grant.
Cost sharing may be mandatory (required by sponsor), committed (a contribution of effort or other costs offered by the Principal Investigator but not required by the sponsor as condition of the award) or aggregate. Cost sharing occurs when an applicatin commits allowable expenses (i.e., personnel, tuition, euqipment or services) for which the research grant will not be changed. These costs must be changed to an alternate source (UW or third party); all sources must be indentified and must agree (via the eGC1 approval process) to commit the necessary funds. For more information, see the GCA Cost Sharing Page or the Cost Sharing Policy.
Continuation funding takes three forms: (a) it provides funding from a secondary source for ongoing support of a project after the original funding is depleted; (b) continuation funds may also be granted if the project is unable to be completed by the original time line and the sponsor has agreed to provide supplemental funding to see the project through to completion; (c) the third type of continuation funding occurs when a portion of the original funding commitment is continued and the remaining budget must be found in grant money.

FG-2

Off Campus

Research performed on the UW campus or in Univeristy owed buildings inlcuding:

Research that is performed off the UW campus (and University-owned buildings) is considered off-campus. The following locations use the on-campus Indirect Cost Rate and therefore should not answer "yes" to this question:

Harborview Medical Center and Research/Development Building
Friday Harbor Labs
Roosevelt I, 4225 Roosevelt Way NE
Seattle Cancer Care Alliance
University Building

In general, locations requiring payment of rent are considered off-campus for Indirect Cost Rate purposes.

Indirect Cost Rates (GIM 13a)
GIM 13b

FG-3

IDC Rate

The Indirect Cost Rate is determined by the location(s) where the research is performed and is charged as a percentage of total Direct Costs. Rates can be found in GIM 13a. A Primer on Indirect Costs, GIM 22, can provide further detail. Guidelines for determining split rates when projects are conducted at two or more locations are found in GIM 13b.

FG-4

Space

Answer "yes" if the project will be using space not currently designated for use by the department of the PI or co-investigators.

FG-5

Overtime Pay

Answer "yes" if this application includes overtime work for employees while in the field, at sea or in the Arctic.

FG-6

Answer "yes" only if the criteria in GIM 23 is met.

Checklist

FG-7

Admin Personnel

Administrative personnel (e.g., secretary) and office supplies are not allowed on NIH grants unless they meet the criteria in GIM 23. Office supplies are allowed when the research is performed off campus.

GIM 23

FG-8

Centers

Answer "yes" when all or part of a project will be conducted at a UW interdisciplinary facility, service center or institute that must approve the application before submission to the sponsor, unless this unit is already designated as the Organization Receiving Funding (in which case it is not necessary to include it here again). Usually, there is a written agreement (memo) between all units involved.

FG-9

Other Approvers

The Signature Page (Phase I) and the Approval Graph (Phase II) are created based on:

The department and dean's levels of the Org Code Receiving Funding
The primary department and dean for all Personnel
Some compliance questions (e.g., Animal Care)

Answer "yes" if this application requires the approval of additional organizations not identified by the above (e.g., lab space, equipment, TBA personnel, joint appointments).

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.