Tag Archives: FA

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 and integrates with SAGE

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

Create SAGE Budgets Centralizes data gathering for salaries, benefits, F&A rates. It can be connected to an application, which automatically populates the eGC1 budget data on the Budget & Fiscal Compliance page. Any changes to the budget will update in real time when the eGC1 Budget & Fiscal Compliance page is viewed.

In addition, if your eGC1 is a Grant Runner application using the RR Detailed Budget form, your budget data will be mapped into the form.

Create applications (standard or Grant Runner) Required for all sponsored research. The standard eGC1 pages of the application are, in effect, an approvals routing cover letter for the proposal. It is used only by the UW and does not go to the sponsor.

A Grant Runner application includes, in addition to the standard eGC1 pages, the sponsor forms for NIH. It is submitted system-to-system by OSP.

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. Copies of the attachments are also captured.

Administrators and reviewers have the option to return the application to the research team for changes. They can also 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 anticipated award money. The preparer completes the request in SAGE, then GCA processes it in SERA.
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 are the UW research team’s collaborators. 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)

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 for GCA to establish a budget in the financial system (if not already done via Advance Request).

Process subawards 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)

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.

Create a Financial Interest Disclosure for an eGC1


A disclosure for a CoMotion tech transfer agreement or IRB approval


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 the central Office of Research, 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.

Note: only a UW NetID is needed to access FIDS.

The value of the Facilities and Administrative (F&A) line for a period or the summary column is equal to the Amount Subject to Facilities and Administrative times the F&A rate.

The global F&A rate is determined in step 3 of the budget setup. You can edit it on the F&A tab.

You can change the F&A rate for a single period by clicking the value in that period’s column. Note: The new F&A rate will only apply to that specific period.

The field values displayed at the top of the modal are the ones chosen in step 3 of the budget setup, or as modified on the Properties or F&A tab pages.

  • Sponsor Name
  • Flow Through Sponsor
  • Institutional Activity Category
  • Location
  • Specific Funding Mechanism
  • Base Type

Click on the expansion triangle to open the F&A section at the bottom of the modal to see the following fields:

  • Period Rate is Custom: When you enter a rate in the F&A Rate field that is different from the global rate, this box will display as checked to indicate that a custom rate applies to this specific period.
  • Justification for Custom Rate: This field is required when you specify a rate other than the global rate.

The F&A tab is where you determine the Facilities and Administrative rate for your budget.

This section is part of Step 3 of the budget creation wizard, and displays after you select Get Rate. After the setup for a budget is complete, this page can be accessed from the budget worksheet by clicking on the F&A tab. If you wish to change the F&A rate, you will need to re-select the criteria.

F&A tab rates and base

If you don’t need to change the rate or base type, select Next to move to Step 4: Access.

This section displays the following values and links:

Standard First Period F&A Rate

The rate is calculated based on the start date for your first budget period and the information in the Funding Details section (sponsor/flow-through sponsor, institutional activity category, location, and specific funding mechanism).

To see the rate applied to each period of your budget, click on the View F&A Rate for each period link.

standard F&A rate

For more information on F&A rates, see GIM 13 Facilities and Administrative (F&A) Rates  and the Institutional Facts and Rates page.

Base Type

The Base Type is based on the information you provide in the Funding Details section. Possible Base Types include:

  • Salary and Wages (S&W)
  • Total Direct Cost (TDC)
  • Modified Total Direct Cost (MTDC)
  • Total Direct Cost less Equipment & Tuition (TDC less E&T)
  • Custom: This is a preparer-defined budget category

When you select a custom base type then you must provide a justification and identify the object codes to which the custom F&A rate should be applied. The F&A rate will be applied to these budget categories only.

Change the F&A Rate or Base Type?

Click this link when you want to create a custom F&A rate or modify the object codes included in the base type.

To use a custom F&A rate or base for your budget, you must submit a justification. Acceptance of non-standard rates is at the discretion of the Executive Director, Office of Sponsored Programs.

To learn about using custom F&A rates and base types, see F&A Tab: Custom F&A Rates and Base Types.

Refresh Rate

Click this link to update the F&A rate for all your budget periods. The start date of each budget period and the Funding Details are used to determine the F&A rate that applies to that period. Refresh Rate will overwrite any custom F&A rate information you have entered.

Display Object Codes

Click the Show F&A object codes link to view the object codes included in your F&A Base.

Note: if you are creating a custom base, see F&A Tab: Custom F&A Rates and Base Types.

F&A tab show objects codes

This section lists the Object Codes, and indicates which ones are included in the Facilities & Administrative Base by a green checkmark. Click on any object code description to display its sub-object codes.  Use the large, green plus (+) and minus (-) buttons to expand and contract all of the object codes.

Click on the Hide F&A object codes link at the bottom of the section to close it.

For more information, see GIM 23 Sponsored Program Costing Policy.

The F&A page is where you determine the Facilities and Administrative rate for your budget.

This is part of Step 3 in the budget creation wizard. After the setup for a budget is complete, this page can be accessed from the budget worksheet by clicking on the F&A tab. If you wish to change the F&A rate, you will need to re-select the criteria.

The F&A rate, also referred to as “indirect cost,” is based on four criteria: sponsor, institutional activity category, location, and, if relevant, a specific funding mechanism.


Field Description
Sponsor Name Since the sponsor, and the optional flow-through sponsor, is one of the criteria for calculating the F&A Rate, they are displayed here for reference.

The Flow Through Sponsor, if there is one, is identified in the first step of the budget creation wizard, which corresponds to the Properties tab.

Institutional Activity Category You must choose one of the following funding types. See GIM 13: Activity Types for definitions.

  • Organized Research
  • Instruction
  • Other Sponsored Activities
Location Select one of the following options from the drop-down menu:

  • APL
  • Harborview Medical Center
  • Lake Union Campus
  • Off Campus
  • On Campus
Specific Funding Mechanism If appropriate, select one of the following options from the drop-down menu:

  • Industry Sponsored Clinical Trial
  • K and T Awards
  • Regional Primate Ctr – Core Grant
  • Regional Primate Ctr – Non-Core Grant
  • Regional Primate Ctr – Non-Federal Other
  • Research Vessels
Get Rate button After you have entered the required values for funding details, click this button to establish the F&A rate for each period of your project and the base type.

If a custom rate is necessary, you will be able to specify this later. You can also use sub-budgets to set up multiples rates.

Once you select Get Rate, the Funding Details will display read-only values , with a link to Change the Funding Details?.

In addition, the Facility & Administrative Rates and Base section will display.