Campus research teams and related central offices use the SAGE Suite electronic research administration system to manage application proposals and related items. The suite is comprised of three components that access the shared SAGE Suite database.
SAGE: System to Administer Grants Electronically – used by campus researchers and administrators
SPAERC: Sponsored Projects Administration & Electronic Research Compliance – used by the Office of Sponsored Programs (OSP)
SERA: System for Electronic Research Accounting – used by Grants and Contract Accounting (GCA)
FIDS: Financial Interest Disclosure System – used by researchers designated as investigators
The following set of tables gives a high-level overview of who uses each of the different components, and describes the possible actions and the why and/or when.
SAGE: System to Administer Grants Electronically
WHO: Campus research administrators, Principal Investigators, campus reviewers, compliance reviewers
WHY / WHEN
Create SAGE Budgets
Centralizes data gathering for salaries, benefits, F&A rates. It can be linked to an application, which automatically populates the eGC1 budget page. Any changes to the budget will update in real time when the eGC1 Budget page is viewed.
Create applications (standard or Grant Runner)
Required for all sponsored research. The Grant Runner version includes the sponsor forms for NIH, and is submitted system-to-system by OSP.
The application (eGC1 pages) is, in effect, an approvals routing cover letter for the proposal. It is used only by UW and does not go to the sponsor.
Approve routing applications
Used by the Principal Investigator, Multiple-PI, Application PI, academic reviewers (division, department, dean) and compliance reviewers (human subjects, animal use, EH&S, etc.) to view and approve the application. At each approval, a PDF snapshot of the application is captured and attached to the eGC1 on the Approvals History & Comments page.
Administrators and reviewers have the option to add other reviewers (as individuals or a group) to the approval flow. These are referred to as “ad hoc” reviewers (approvers or watchers).
Request an advance budget number for awards
Used when the research proposal is being awarded by the sponsor, but the actual award has not yet arrived. It requests GCA to set up a budget account in the financial system so the research team can start spending the award money. When the preparer completes it in SAGE, GCA will be able to view and process it in SERA.
Applications, by default, are not eligible for an advance. The eGC1 preparer must use the Advanced Budget Eligibility tool to request that OSP mark the application as eligible.
Create subaward requests for awarded applications
Used when a research proposal has been awarded, and part of the award needs to go to the subrecipients (subcontractors) that the research team will be collaborating with. For a new award, a “new” subaward request (SA) is created along with its parent subaward (SC). For an ongoing award, a “modification” request would be created within the existing subaward (SC).
SPAERC: Sponsored Projects Administration & Electronic Research Compliance
WHO: Office of Sponsored Programs (OSP)
WHY / WHEN
Review and approve applications
OSP reviews the information on the eGC1, such as the sponsor proposal information and compliance questions, after all campus reviewers have approved. When OSP approves the application, they place it into a new or existing Cycle.
Add Approved applications to a Cycle
A Cycle holds a “competing segment” for a research team/project/sponsor combination. It’s a container to keep applications, their related advances, funding actions, admin actions, and subawards together. One cycle can be “related” to another, so that more than one segment is associated.
A Cycle is automatically deleted when the last item in it is removed.
Create various types of Administrative Actions as needed
Administrative Actions document various related agreements, adjustments and/or changes, and the finalization of a research project. These actions all appear in the project’s cycle, associated to their appropriate parent item.
Note that all actions (including Funding Actions) start as “unidentified” ones, with a prefix of AA. They are then converted to the specific type needed.
Non-Award Agreement (NAA) records a generic agreement not pertaining to funding.
Pre-Award Notification (PAN) records a change to the proposed project before the sponsor awards funding.
Post-Award Change (PAC) records changes to the project after the sponsor awards the funding.
Close Out (CO) records the tracked activities to terminate a project upon completion of the research.
Create Funding Actions (FA) for awards
When an application is awarded by the sponsor, OSP creates a Funding Action as a child of the application. Depending on answers to certain compliance questions, there may be automatic “holds” applied.
Once the FA is completed (and all holds are cleared), it is trasmitted to SERA to establish a budget in the financial system (if not already done via Advance Request).
OSP reviews the subaward requests, and negotiates the contract with the subrecipient. The request moves through several statuses until, when the agreement is “fully executed” the request becomes Active. It is automatically “Expired” once the End Date is passed.
SCs and FAs can have a many-to-many relationship. The system enforces that all related FAs and SCs must be within the same cycle.
SERA: System for Electronic Research Accounting
WHO: Grant & Contract Accounting (GCA)
WHY / WHEN
Process Advance Budget Number Requests
Received from the research team, this allows the team to spend award money before the actual award arrives. GCA adds a budget number to the ADV and sets up that budget in the financial system. As part of completing the ADV, the system sends a notification to the requesters.
Process Funding Actions
Received from OSP. GCA adds a budget number, if needed, and sets up the budget in UW financial system. As part of completing the FA, the system sends a notification to the requesters, and the first-level reviewers for the organization code receiving funding.
Process Post-Award Changes
Received from OSP. Not all types of PACs are sent on to GCA. As part of completing the PAC, the system sends a notification to the requesters.
Create “Other” items
Created as needed for various budgetary processes. These items only appear in SERA.
FIDS: Financial Interest Disclosure System
WHO: Any research personnel designated as an “Investigator” on the PI, Personnel, & Organizations page of the eGC1.
WHY / WHEN
Create a Financial Interest Disclosure for an eGC1
Complete an Annual Update disclosure
Investigators are required to disclose any significant financial interests (SFI) such as salary, equity, sponsored travel, etc., that might, or might appear to, bias their research.
An investigator must complete a disclosure for each eGC1, whether or not there are SFI that apply, before the proposal can be marked as Ready-to-Submit = Yes.
The disclosures are reviewed by the SFI Reviewer, in OR Central, who determines if there is a potential for a Financial Conflict of Interest (FCOI). The review occurs at the time of award (just-in-time).
Annual Updates: All investigators are required to review and update their SFI at least once a year. The “year” is calculated from the date of the last disclosure created. Investigators are notified by email 45 days prior, and again at 15 days prior, to the end of that year’s time.
Full details on using FIDS can be found in its User Guide.
Occasionally, there could be a difference in the eGC1 PI and the PI on the Application, for example, in the case of career development applications.
To designate an Application PI, select that role for the person after adding them to the PI, Personnel, & Organizations page.
If the Application PI is a UW person, SAGE will add the Application PI to the Approval Flow and send an approval required email notification at the appropriate time. As part of the approval process, the UW Application PIs are required to certify the PI Assurance Statement. The following image shows the assurance statement in the approval dialog.
For Grant Runner applications, the person designated as the Application PI will appear as the PD/PI on the SF 424 and Key Person Expanded forms.
If the Application PI is a non-UW person (an affiliate), SAGE will not add them to the approval graph. The eGC1 PI is responsible for securing assurance statements for those non-UW Application PIs.
New Human Subjects and Clinical Trials Information Form
Grant Runner now includes the new PHS Human Subjects and Clinical Trials Information Form. You will have the option of completing the form in its entirety directly in Grant Runner, or importing a completed PDF version of the form into Grant Runner. Due to the length of this form, it is recommended that you preview the form in Grant Runner or in PDF format, early in the proposal development process to plan appropriately for the information collection involved.
Subrecipient Re-Certification Status and Form
When completing the subaward request in SAGE, a prompt will display below the subrecipient’s name if their certification status is in an expired state and needs re-certification. This prompt will have a link to the Subrecipient Certification PDF form that can be uploaded in the Attachments section of the Subaward Request once completed. Attachment of the Subrecipient Certification form is not required prior to submission of the subaward request. This status prompt and link will also display in the Subaward Overview Summary section.
Non-Award Agreement Application Types
SAGE now provides a dedicated, streamlined eGC1 format for submitting Non-Award Agreements to OSP by requiring only the set of fields necessary for these application types. You will now select Application Types “Non-Award Agreement (new)” or “Non-Award Agreement (continuation)” for the following types of agreement:
Data Use Agreement
Memorandum of Understanding
Unfunded Collaborative Agreement
Unfunded Research Agreement
Master Transfer Agreement
Note that you should select “Non-Award Agreement (continuation)” to extend an existing agreement beyond the initial term.
Activity Locations Survey
We want your feedback on the new look and feel of the Activity Locations page. Click the “Give Feedback” link at the top of that page and let us know what you do/don’t like about the design as we evaluate updates to other parts of SAGE.
This form is required for all NIH applications using Grant Runner.
Select PHS Human Subjects & Clinical Trials from the left navigation menu to open the form.
The Human Subjects Section, at the top of the form, displays the responses to the Human Subjects question from the R&R Other Project Info form. Depending on how you answered that question, you will see different sections on the Human Subjects & Clinical Trials (HSCT) form.
If you answered “No” on the Other Project Info form, then you’ll see just two items to complete:
The Human Specimens question
The Other Requested Info attachment
If you answered “Yes” on the Other Project Info form, then you’ll see
If you answer Yes to the “Does the proposed research involve human specimens and/or data?” question, you will see an additional item. Attach a PDF formatted file providing an explanation of why the application does not involve human subjects research. See your funding opportunity announcement and agency-specific instructions for additional guidance.
Other Requested Info
Attach a PDF formatted file. See your funding opportunity announcement and agency-specific instructions for additional guidance.
Select an answer for the question “Will this project involve any new construction or renovation of existing facilities?”
If you select “Yes” additional fields display. You must complete the “Who provided approval?” field.
The additional, optional fields are:
Where is the space
The following image shows the question answered Yes and the fields displayed.
Use the “Back to Activity Locations Summary” link at the bottom of the page to return to the main Activity Locations page. The section will now show the data you entered, and will have a link to “Edit Section” if needed, as shown in the following image.
Item F1a will display: Attach GIM 13 waiver in attachments section, or provide documentation of sponsor F&A policy (e.g. RFP, application documents, or website URL)
Use the text box to enter your documentation, or upload an attachment on the Attached Documents page.
Note: for RRF applications, the answer to this question must be No.
Question F2: Will administrative or clerical support be included in the budget as direct costs? (see GIM 23)
NIH grants do not allow administrative or clerical personnel costs unless they meet the criteria in GIM 23.
If you answer Yes:
Explain how administrative or clerical personnel will be used in the proposed project, following the criteria in GIM 23 Appendix A (Examples of Direct Costs). This must be appropriately justified in the sponsor application, following sponsor guidelines.
Question F3: Does this application commit funds for cost sharing or matching?
Cost Sharing, Matching or Continuation occurs when an application promises to deliver a support or service for which the research grant does not pay.
Cost Sharing may be mandatory (required by sponsor) or committed (a contribution of effort or other costs offered by the Principal Investigator which the sponsor does not require as condition of the award). Cost sharing occurs when an application commits allowable expenses (i.e., personnel, tuition, equipment or services) for which the research grant will not pay. You must charge these costs to an alternate source (UW or third party). You need to identify all sources and they must agree (via the eGC1 approval process) to commit the necessary funds. For more information, see the GCA Cost Sharing Overview page or GIM 21: Cost Share on Sponsored Programs.
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.
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) continuation funding also occurs when a portion of the original funding commitment is continued and the remaining budget must be found in grant money.
If you answer Yes:
Identify whether you are including cost sharing, matching or program continuation.
Provide a brief explanation in the text box and attach the completed Addendum form on the Attached Documents page. (On the Addendum, complete all fields including faculty effort, budget number and third party contribution.)
Indicate the cost sharing amounts and sources in the Personnel section of the eGC1’s Cost Sharing page.
Use this section to identify each location where UW research activities are taking place. You must enter at least one location. As with other eGC1 pages, you can partially complete your entries and save the eGC1. You must complete the required fields before you route your eGC1 for approval.
List performance sites where UW personnel will work on the project. Do not list:
Authorized official (OSP)/institutional mailing address
Other locations where UW personnel will not be working
Field work occurring away from the UW for less than 30 consecutive days (unless required by your Dean’s Office)
See GIM 13 Facilities and Administrative (F&A) Rates for additional information on determining Activity Locations.
If some UW activity locations are “to be determined” at proposal time (for example, a Training Grant for which trainees and their projects are “to be named”), please enter all known UW Activity Locations (Harborview Medical Center, UW Health Sciences Building, and so forth).
SAGE integrates with UW’s space tracking system GeoSIMS, allowing you to search for a location by facility name, address or facility code. You can also manually enter locations not found in GeoSIMS by selecting Create a New Location.
The image below shows the search box for finding GeoSIMS locations, followed by the Create a New Location link.
Search for a Location
Once you enter at least three characters, you will see results from your search. Click on the desired location, or tab down the list and press enter, to make your selection.
If there is no match, use the Create a New Location feature to enter your location.
Clicking on your selection from the results list will display a modal window with the question: How will the location be made available to the program? The choices are:
Leased by the UW
Owned by the UW
In a facility offered at no cost to the UW
Field work away from the UW for more than 30 consecutive days
The system will prepopulate the value for this location from GeoSIMS. The image below shows the modal with the “Owned by the UW” choice selected.
Use the small, black X in the upper right corner to cancel and return to the section page. Select the blue “Next” button in the lower right corner to continue to the next step. In this step you can optionally enter any additional comments or descriptions about the location.
If your location is leased, there will be an additional question in this second step: Will rent be charged to sponsor as a direct cost? If you answer “No” you will need to provide an explanation. This question, answered No, with example comments appears in the image below.
Select the blue “Save” button in the lower right corner to complete the process.
Create a New Location
When you select the Create a New Location link, you will see a modal window where you can add the Location Name (required) and address information (optional). The address fields are:
The following image shows the input fields with all but country completed.
Use the small, black X in the upper right corner to cancel and return to the section page. Select the blue “Next” button in the lower right corner to continue to the next step.
You will need to answer the question “How will this location be made available to the program?” The choices are:
Leased by the UW
Owned by the UW
In a facility offered at no cost to the UW
Field work away from the UW for more than 30 consecutive days
If you select the no-cost choice or other, the Explanation text box appears. You will need to provide additional details.
Note: If your department/school/college requires you to list locations for field work of less than 30 days, select “Other” and put a description in the explanation box.
Select Next to continue to the last step. You must provide a short description of the location and any justifications for its use when entering a new location.
Added Locations Table
The Activity Locations section will display your added locations in a table below the Create a New Location link. To expand or contract a table entry, click on the “chevron” icon on the far left, or anywhere on the entry fields. An additional row of information will display.
The table includes the following columns:
Name – location name from GeoSIMS or a newly added location
Source – GeoSIMS if searched for or Manual for a new location
Location Type – Owned or Leased
Rent Charged to Sponsor – N/A for owned; either Yes or No. If No, the Rent Explanation displays below.
Actions – displays two icons: a pencil for editing the entry and a trash can for deleting the entry
Address information appears below Name when the entry is expanded
Description comments appear below Source when the entry is expanded
Rent Explanation appears below Rent Charged to Sponsor when the entry is expanded
When you return to the Activity Locations main page, this same table will appear, along with an Edit Section link.
The image below shows the addition of two locations from GeoSIMS. Padelford Hall is a building on the Seattle campus, so there is no specific address listed. Both entries are expanded to display all of the information.