When OSP creates a child Funding Action (FA) for an awarded eGC1, the system will automatically create compliance holds, if appropriate.
The system applies automatic holds to the FA based on the conditions in the following chart.
||Budget & Fiscal Compliance page question F2 = Yes
||Budget & Fiscal Compliance page question F1 = Yes
||Compliance Q&E page question HS-1 = Yes
||Budget & Fiscal Compliance page question F3 = Yes
||Details page has an Originating Sponsor listed with a Sponsor Type of Federal Government
||One or more investigators on the PI, Personnel, & Organizations page has an SFI value of Yes or Unknown
||Compliance Q&E page question SEC-1 and/or SEC-2 = Yes
||Compliance Q&E page question AC-1 = Yes
||One or more investigators on the PI, Personnel, & Organizations of a PHS-sponsored eGC1 has either not done the FCOI training or the training has expired.
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.
Note: only a UW NetID is needed to access FIDS.
New Features, Changes and Bug Fixes
- A new multi-select Country field has been added to the eGC1, to track where international work will be performed. This field will be visible to users only when they answer “YES” to the question of whether work will be performed internationally. This country-level data will be used in reporting and analytics.
- The Sponsored Program Activity Type field on the eGC1 and FA was amended to allow users without a mouse to utilize the drop down control with keyboard alone. This change supports making the SAGE application more accessible. The expand/collapse capability in the drop down is also removed, since this was causing some confusion with users. The list of selectable options will be fully expanded, within their respective categories, making for a more intuitive user experience.
- Bug Fix: An issue that was causing eGC1 approval snapshots to not display attachments that had newer versions uploaded after the snapshot was taken has been fixed so that all point-in-time versions of attachments display in approval snapshots.
SAGE Reporting Update
The Subaward Status Report will be located in the BI Portal and will replace the existing static report found on the OSP website. This version will be near real-time (data refreshed nightly), giving campus more timely information on the status of their pending subawards, and will alleviate the time consuming preparation done by OSP in posting the current static report.
Note: This report will be available in the days following the SAGE release.