Tag Archives: Review

The Approval Flow doesn’t include an expected department that should review my eGC1. How do I add that department?

If the approval flow is not displaying a department or unit that you expect, first review the values on your eGC1 in these areas:

  • Org Code Receiving Funding
  • PI & Personnel selected units and corresponding Dean’s office
  • Your response to select compliance questions
  • Organizations paying for cost sharing.

If the unit still does not appear, contact sagehelp@uw.edu to review that unit’s routing rules.

0

Only the person who has added an ad hoc reviewer node can remove it from the approval flow. However, if the ad-hoc reviewer has already provided approval, the node cannot be removed from the approval graph, as it is part of the approval history.

To start the process, click the Delete link in the graph node, or next to the approver on the text flow page. This opens the Remove Reviewer page in a pop-up window. The pop-up contains two sections: Application Details and Reviewer Details.

The Application Details section lists selected fields from the eGC1 to help you confirm you are viewing the correct item. The data fields include:

  • eGC1Number
  • Full Application Title
  • PI Name
  • Org Code Receiving Funding
  • OSP Due Date
  • Ready To Submit value

The Reviewer Details section lists the Role, Reason, and Status for this reviewer and includes a comments field.

Use the Comments required when deleting an ad hoc reviewer field to enter the reason for removal. Select the Remove button to complete the process or the Cancel link to return to the flow page.

Details about the removal of an ad hoc reviewer will display on the History & Comments page.

remove ad hoc reviewer dialog

0

Definition of ad hoc: Formed, arranged, or done for a particular purpose only; from Latin, meaning “for this.”

An owner (PI, preparer, contacts), a person with assigned read/write access, or an approver, can add an ad hoc reviewer to the approval flow. These manually added reviewers can be for a particular role, such as a department reviewer, or can be a specific person.

Note: there is a known issue when the person with read/write access also has a Global Edit role for the corresponding organization code. The links to add an ad hoc reviewer will not appear. Contact the ORIS Help Desk for assistance.

The process to add an ad hoc approver or watcher is the same. The only difference is that the approver needs to take action and approve the eGC1, while the watcher is not required to act. For this section we’ll use the term “reviewer” to refer to either an approver or watcher.

The Add Approver or Add Watcher link allows you to add a person or role (for example: Dept Reviewer) to the Approval Flow. This function may be used when

  • an additional person or role needs to approve
  • an existing approver needs to re-approve
  • a person or role needs access to view (watch) the eGC1

Note: If a division, department or dean’s reviewer needs to re-approve an application, add the appropriate ROLE (not person) to the graph. The approval history will show the unit name and the name of the person who approved, providing a more complete audit trail.

The eGC1 must be in either Routing or In OSP status for you to add an ad hoc reviewer.

To begin the process, click on either the Add Approver or Add Watcher link to open the corresponding window. The following steps are the same for both.

Add ad hoc reviewer dialog

Adding a Person

  • The first question asks whether you are adding a person or role. Select Person.

add person

  • Select Look Up Person to open the Personnel Chooser.
  • Search by Name or UW NetID for the person you want to add.
  • Click the name of the person you want, which returns you to the Add Approver or Add Watcher window.

Adding a Role

  • The first question asks whether you are adding a person or role. Select Role.
  • Use the Role to add drop-down menu to select the role you want to add.

add role

  • For roles that require the specification of an Organization Code:
    1. Click Look Up Organization Code to open the Org Code Chooser.
    2. Search for and select the appropriate code, which returns you to the Add Approver or Add Watcher window. Plus sign (+) and Change buttons will appear after the chosen code. Click the Change button to select a different Organizational Code. Use the plus (+) button to see the parent units.

select org code for role

Placing the Reviewer in the Flow

The next step is select a location on the graph for the added reviewer based on an existing reviewer

  • Location on graph where new Approver/Watcher should be added: Use this drop-down list to select the existing reviewer. The drop-down list is unique to each eGC1 approval flow.
  • Add before, in parallel with, or after the selected location? Choose one from before, parallel or after.
    choose location for ad hoc reviewer
  • A new node will be added to the approval chart in this location.
  • An email notification will be sent to the reviewers for the role, or the specific person added, at the appropriate time in the approval flow process.

Provide a Reason

Enter a comment to describe why this role or person needs to review this eGC1. This comment will display on the History & Comments page.

The Updated Graph

As an example, we chose Human Center Design Engineeing as the ad hoc role to add to the flow. The new reviewer was located in parallel with the existing Dept Reviewer for Bioengineering node. The image shows the new node directly above that of Bioengineering on the same thread of the graph.

On the node, the role description is Ad Hoc Reviewer.  When the person who added the node views it, she will see a Delete link. Only the person who added the ad hoc reviewer node can remove it. For more details, see Delete an Ad Hoc Reviewer.

approval flow with new ad hoc reviewer node

When other reviewers see the ad hoc node, they will see the name of the person who added it instead of the Delete link.

view of ad hoc node by others

3

Definition of ad hoc: Formed, arranged, or done for a particular purpose only. From Latin, meaning “for this.”

An owner (PI, preparer, contacts), a person with assigned read/write access, or an approver, can add an ad hoc reviewer to the approval flow. These manually-added reviewers can be for a particular role, such as a department reviewer, or can be a specific person.

Be sure, when you add a role, to check that ASTRA has at least one person designated as a reviewer for that node. Otherwise, your application could experience delays in routing.

See Add an Ad Hoc Reviewer and Delete an Ad Hoc Reviewer for more details.

0

This page displays when you click on an Approval Flow (Graphical) node, or select View Reviewers on the Approval Flow (Text).

The Application Details section lists selected fields from the eGC1. The data fields include:

  • Application Number
  • Full Application Title
  • PI Name
  • Org Code Receiving Funding
  • Sponsor Deadline
  • OSP Due Date
  • Ready To Submit value

The Reviewer Details section includes the following fields:

  • Role: The role for this person or unit on the approval flow, for example, “Department Reviewer, Radiology”.
  • Reason: The reason(s) that the person or role appears on the approval flow. Reasons include personnel, org code receiving funding, an answer to a compliance question, and other factors.
  • Status: The status for this person or role if it has not yet approved, or the name of the person who has approved.

The Authorized Reviewers for the Application section lists each person who is an approver or watcher for this unit. The information listed includes:

  • UW NetID
  • Name
  • Email address
  • Telephone number

A link to Directory Info also displays.

Note: If the details you displayed are for the Preparer/Owner watcher role, this section is titled Owners/Preparers for this Application.

After a person or role approves the application, you will see links to the approved version of the eGC1, its attachments, and its connected budget (if there is one). SAGE captures the state of the eGC1 at the time each approval occurs. You can then compare this information to determine if any changes happened during routing.

Click the View Approved eGC1 link to see the approved version of the eGC1 for this Approver.

 

Reviewer Details page

To see the contents of the Grant Runner forms on the eGC1 for a specific approval, click the View Approved Sponsor Forms link. Note: this link appears even if the eGC1 is not a Grant Runner one.

For each Approved Attachment, the following fields display:

  • File Type: The Attached Documents section that contains the file.
  • Description: The description entered for the attachment.
  • File Name: The name of the file on the originating computer or server.
  • Version: The version number of the document. SAGE automatically assigns “1” to the initial document. When you update the document, the system increments the version number.
  • Date Attached: The date and time the document was attached.

The View link opens the attachment for review.

0

Data from the eGC1 plus each UW organization’s defined approval routing process determines which reviewer roles appear on the approval flow.  SAGE uses the information in ASTRA (Access to Systems, Tools, Resources and Applications) to determine the individual reviewers for each role in the approval flow.

This is based on the combination of the persons authorized for the role plus the matching organization code. The match to the organization code must be exact.

  • For a Dean’s Reviewer, the org code must be ###-00-00-000
  • For a Dept Reviewer, the org code must be ###-##-##-000
  • For a Division Reviewer, the org code must be ###-##-##-##-0

When there is no matching ASTRA data for a role on the approval graph, system forwards the reviewer email notification to the Help Desk (sagehelp@uw.edu) so that we can help to resolve the issue.

0

The system adds reviewers to the approval flow when a preparer answers “Yes” to select compliance questions or to a compliance question in combination with other data.

The following table describes when a Compliance Reviewer is added, which individual or unit is added, and whether the Reviewer is an Approver or a Watcher.

Condition Reviewer Added Approver or Watcher
EHS-1 – Biohazards selected EHS BioSafety Watcher
EHS-1 – Select Agents and Toxins selected EHS Select Agents Approver
EHS-1 – Radioactive Materials selected EHS Radiation Watcher
EHS-1 -SCUBA Diving EHS Diving Watcher
EHS-1 – Chemical Tresholds EHS Fire Code Compliance Watcher
AU-1 = Yes AND The application is After-the-Fact (ATF)

OR

The application type is:

  • Transfer from Another Institution
  • Supplement and Extension
Animal Subjects Approver; see additional notes below
SEC-4 = Yes (potentially involves access to classified national security information) Appears on older eGC1s Security Reviewer Approver

Additional Animal Use Notes

  • For an application with AU-1 = Yes, and an application type other than those listed above, the review is done just-in-time, when the sponsor notifies the PI that the proposal has a fundable score. Upon notification, the PI or other application owner adds Animal Subjects to the Approval Graph as an ad hoc watcher. The system then sends an email notification to the Animal Subjects reviewers and gives them access to the application.
  • On the Non-Fiscal Compliance page, if a user chooses an existing Hoverboard protocol or enters a new protocol, and the protocol indicates that the Primate Center will be used, then the Department/Center Reviewer for the Primate Center (org code 3010221000) is automatically added to the Approval Graph as an Approver.
1

SAGE creates an approval flow based on a combination of the data in the eGC1 and the routing rules for each school/college. Factors include:

  • The organization receiving funding
  • The principal investigator’s primary position unit or possibly the selected unit when the PI has a joint academic appointment
  • The primary position unit or possibly the selected unit of any additional research personnel
  • Any UW unit with a cost sharing commitment
  • The academic units or central offices connected to certain compliance question explanations (See Compliance Reviewers for more details.)
  • The additional organizational unit reviewers added on the PI, Personnel & Organizations page

Each unit at the UW determines its own routing rules for each of the factors. For example, one organizational unit may require approval from the division, department, and Dean while another unit may require approval only from the Dean.

The local ASTRA administrator for a business unit assigns specific reviewer roles to individuals in ASTRA. The current academic unit roles are

  • Division Reviewer (limited by organization code)
  • Department or Center Reviewer (limited by organization code)
  • Dean’s Reviewer (limited by organization code)
  • Vice Chancellor Academic Affairs (Bothell, Tacoma)
  • Vice Chancellor Admin Services (Bothell, Tacoma)

To have a backup, most units designate more than one reviewer. Only one reviewer for each unit needs to approve the eGC1.

Note: Any eGC1 owner (PI, eGC1 Preparer, Admin Contact, Budget Contact, Budget Preparer) or any reviewer can add an additional reviewer (called an ad hoc reviewer) for an individual or a role (for example, Dean’s Reviewer) to the approval flow once the eGC1 is routing.