Tag Archives: PI Escalation

What should I do if the PI is not available to approve the eGC1?

Some sponsors allow a Department chair to sign an eGC1 and proposal on behalf of a PI in his or her department. This requires an Escalation of PI Certification which is indicated on the Certify & Route page of the eGC1.

Be sure to notify the appropriate reviewer to approve the application for him or herself, as well as for the PI.

For information on the approval of applications in the PI’s absence, contact your department administrator/chair.

0

Escalation Allowed

Under the standard approval process, the Principal Investigator is the first approver notified for the application. In circumstances when the PI is in the field and unavailable to approve via the internet, the first reviewer for the Org Code Receiving Funding can approve on behalf of the PI. Usually, this is a Department Reviewer. This means that an ad hoc approver cannot approve for the PI.

A person (other than the PI) with read/write access to the eGC1 would check the PI Escalation box on the Certify & Route page to request that another reviewer approve on behalf of the PI.

Escalation section when allowed

Checking the box will escalate the approval for the PI to the first reviewer for the Org Code Receiving Funding. The system will send email notifications to both the PI and the first-level reviewers. Depending on the department’s local policy, you may need to add the chairperson to the chart using the Add Approver function. You may need to submit a written request to the Chair (check with your administrator).

When the Org Code Receiving Funding unit reviewer, or the PI’s selected unit reviewer, approves the Application online, their approval will also mark the PI box as approved. Therefore, when “Jayne the Reviewer” approves for “Dept X”, the PI box on the approval flow will show that “Jayne the Reviewer” also approved for the PI. This approval by the department constitutes an endorsement of all aspects of the application. It should not be used as a routine convenience.

Note: Any Application PI or Multiple PIs added to the approval flow cannot approve for the eGC1 PI.

Escalation Not Allowed

Depending on the sponsor, this feature may not be available. For example, it is not available for NIH applications.

In that case the following version of the section would appear.

Escalation section when not allowed

0

The Principal Investigator is the first approver on the Approval Flow. There are four ways that PI approval and certification can occur:

  1. The Principal Investigator opens the eGC1, navigates to the Certify & Route page, checks the PI Assurance Statement and completes the eGC1.
  2. The PI receives an email notification request to approve, clicks the link which goes directly to the Approval Graph (after logging in), and clicks the Approve button, checking the PI Assurance Statement as part of the approval process.
  3. The PI logs into SAGE, goes to the Approvals tab, accesses the eGC1 and clicks the Approve button, checking the PI Assurance Statement as part of the approval process.
  4. A non-PI person checks the PI Escalation box on the Certify & Route page to request that the next reviewer for the Organization Receiving Funding approve on behalf of the PI who is absent, and unable to approve via the internet. This is generally the Department Reviewer.

For the fourth case where the is PI absent, checking the box will escalate the approval for the PI to the next reviewer for the Organization Receiving Funding. The system will send the PI and first-level reviewers their email notifications at the same time.

When the reviewer for the Organization Code Receiving Funding approves the Application online, their approval will also mark the PI node as approved. Therefore, when “Pat” approves for “Dept X”, the PI node on the approval chart will show that “Pat” also approved for the PI. The Approver must check the PI Assurance Statement on behalf of the PI. This approval by the department constitutes an endorsement of all aspects of the application. You should not use PI escalation as a routine convenience.

An Application PI or any Multiple PI cannot approve for the eGC1 PI when escalation is in effect.

Note: This functionality is not available for NIH applications or when NIH is the originating sponsor.