Tag Archives: Subaward

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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

ACTION WHY / WHEN
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.
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.

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 anticipated 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)

ACTION 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).

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)

ACTION 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.

ACTION WHY / WHEN
Create a Financial Interest Disclosure for an eGC1

or

A disclosure for a CoMotion tech transfer agreement or IRB approval

or

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 main 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.

December 2017 SAGE Grant Runner Release

FORMS-E Changes to Existing Forms

NIH will require the use of FORMS-E application packages for due dates on or after January 25, 2018.  Grant Runner now includes the FORMS-E version for the following agency specific forms.  

  • PHS 398 Cover Page Supplement
  • PHS 398 Research Plan
  • PHS 398 Career Development Award Supplemental
  • PHS 398 Modular Budget (expire date change only)
  • PHS Assignment Request
  • PHS Human Subjects and Clinical Trials Information (New!!)

Federal-wide form updates that will also be incorporated into FORMS-E packages, and which are supported by Grant Runner, include:

  • RR Budget and Subaward Budget
  • RR Other Project information

NIH Form Change Resources

Review more information on:

High level FORMS-E summary of changes across all impacted forms

NIH: New Human Subjects Clinical Trial Form

NIH: FAQS for Application Forms, Form Updates, and Choosing the Correct Forms

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.

SAGE Subawards

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.

SAGE eGC1

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:

  • Confidentiality Agreement
  • Data Use Agreement
  • Memorandum of Understanding
  • Unfunded Collaborative Agreement
  • Unfunded Research Agreement
  • Affiliation Agreement
  • Material 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.

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Use the View Attachments button on the Subaward Overview page to display the Subaward Attachments page.

This page lists all of the attachments associated with the subaward, grouped into Department Request Documents and OSP Documents. You can use the Filter function to display attachments for just a single request.

In addition to the standard information about an attachment, the list includes the Subaward Request Number.

To return to the Subaward Overview page, select the Close button below the list or use the breadcrumb.

view attachments page

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The Manage Access page allows anyone with read/write access to a subaward to assign additional editors and readers, beyond the primary contacts/owners, to cover absences and collaborate in a more intuitive and consistent way across SAGE.

When you assign access to someone, you indicate either read/write or read-only access to your subaward.

You can navigate to the Manage Access page from either a request in Composing status or from the subaward overview page for all other statuses. Select the Manage Access button in the upper left area.

manage access button

This page has two sections: Subaward Managed Access and Related eGC1 Access.

Subaward Managed Access

This section lists the individuals that currently have access to the subaward and allows you to grant access to others. The list includes each person’s name, permission type and reason.

subaward managed access section

The first individuals listed have a permission type of Owner. They are the UW PI, Subaward Preparer, and Financial Contact, as indicated in the Reason column. Each of these owners is always listed, even if one person has more than one role.

As you assign access to additional users, they will be listed below the owners. Their permission type will be either Read Only or Read/Write depending on what you choose. The reason will be Assigned Access.

Permission Types

  • Read Only access allows the person to view the subaward, but not edit it.
  • Read/Write access allows the person to edit the subaward.

Note: Only subawards for which you have read/write access will appear on your tasklist. You can search for and then view any subaward for which you have read-only access.

Add a User

To add a person, start by selecting the Add Another User link. The Personnel Chooser dialog will display. Use it to search for and select the desired person. The Manage Access page will refresh and display the added person.

Note: the default access permission type is Read Only.  You can use the drop-down menu to change the permission to Read/Write.

Remove a User

To remove a person with assigned access, click on the trash can icon to the far right of that row. The system will not prompt you to confirm the deletion.

Related eGC1 Access

manage access related e g c 1 list

Anyone who has access to an eGC1 (PI, contacts, or assigned read/write or read-only access) can view a subaward which has that eGC1 as the parent of any of the subaward’s funding actions.

Permission types for these individuals are either their eGC1 owner role or the type of assigned access on the eGC1. The reason column will list the number of the associated eGC1. The possible owner roles are:

  • Principal Investigator
  • Administrative Contact
  • Budget Contact
  • eGC1 Preparer
  • Budget Preparer (if the eGC1 has a linked SAGE Budget)

If your access to the subaward is through an eGC1, the subaward will not appear on your tasklist. However, you can search for it and then open it to view.

February 2017 SAGE Subawards Release 3

This final release for the SAGE Subawards Project includes priority items requested by preparers as well as some updates that will allow OSP to manage subrecipient profile data more effectively.

Managed Access

To make it easier for subaward preparers to cover absences and to allow for broader department review and access to subawards, you can now add additional users (beyond the three UW contacts) with either read/write or read-only access.

Expanded Subrecipient Profile

To improve OSP’s ability to report subaward information to sponsors and auditors, we have added the following attributes to the subrecipient profile in SAGE:

  • Employer Identification Number (Federal Tax ID)
  • DUNS and DUNS +4
  • Country

Subrecipient Types have also been revamped to better align with reporting requirements.

Attachments Display Changes

  • From a link on the Subaward Overview page, you can now view a consolidated list of attachments for the entire subaward.
  • On the subaward request details page, the Attachments section now visually separates attachments that departmental subaward preparers uploaded from those that OSP did.

Performance Improvements

Using the Subawards section of SAGE and SPAERC will now be faster and more responsive, allowing you to accomplish what you need to get done with less waiting.

Improved Validations

The Start and End Dates on subaward requests are now checked by the system to ensure they make sense within the context of the broader award and subaward. This will help alert you to any easy mistakes made when preparing a request.

Other Enhancements

SAGE Tasklist

  • The SAGE tasklist now displays the most recent BPO number, rather than the one listed on the first request. Searching the tasklist will also now only return subawards where the most recent BPO matches your search criteria.

Subaward Overview Page

  • A visual cue has been added to the Request in Process section on the Subaward Overview page to make it easier for users to identify how to open the details of request.
  • A new Modification Number field has been added, which will be populated by OSP in SPAERC but will be visible on the Subaward Overview page in SAGE as well. The Modification Number will confirm the sequence of changes to the subaward agreement.
  • You’ll now see the BPO number associated with each request, within both the Requests In Process and Processed Requests section of the Subaward Overview, for easy reference.
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When OSP returns a subaward request, the system sends the following email to the Subaward Preparer:

Email Subject Line (sample values filled in)

Subaward Request SC99999 Returned by OSP

Email Body (sample values filled in)

The above referenced subaward request has been returned because it is incorrect or incomplete.  Please review the SAGE OSP comments for an explanation of the error(s).  You can follow this link SC99999 to review and revise your request.  Once corrected, please resubmit your request for further action.

OSP Subawards

ospsubs@uw.edu

September 2016 SAGE Subawards Release 2

This SAGE update introduces to you easier collaboration with the Office of Sponsored Programs (OSP), more subaward status transparency and a refreshed user interface.

Collaboration

If you are a Subaward Preparer, you are able to:

  • Withdraw a subaward request with “In OSP” status
  • Cancel a subaward request either “In OSP” or “Withdrawn” status.

OSP can return subaward requests that are “In OSP” or “OSP Assigned” status  and will include an return comment so you can revise and resubmit.

Transparency

For better transparency, a history of changes and comments now displays on your subaward.

You can track the following types of events and comments from the Subaward Overview and within each Subaward Request:

  • Status Changes (includes returns with explanations and related comments)
  • Ad hoc OSP comments to you about a subaward
  • OSP Assignment changes
  • Changes to attachments
  • Changes to OSP Assignment Date, Issue Date, and Fully Executed Date

The Subaward Overview page allows you to either view a comprehensive list of events for all related subaward requests, or filter to see only those for a particular request.

Ease of Use

Subawards refreshed design makes it easier for you to find the information that matters most.

Two new sections on the Subaward Overview Page:

  • Request In Process – This section helps you quickly identify the current request being worked on. This section includes requests that have not reached Active status (i.e. Composing, In OSP, OSP Assigned, Withdrawn, Returned, or Issued).
  • Processed Requests – This section includes any requests your items that have been processed for this subaward (i.e. Active, Expired, or Canceled).

You and OSP now share the same interface, which makes it easier for collaboration on subaward development.

My Subawards Task List

The “Latest Request Status” column helps you easily identify the status of requests that are still in process.

Your subaward requests in either “Returned” or “Withdrawn” status also have an arrow icon next to the status to help you identify those requiring action.

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You must upload at least one attachment before submitting your new subaward request. OSP requires specific documents for new requests and modifications. See the Setup page for Subawards for a description of the required documents.

To upload and attach a document, select Add Attachment.

attachments link

When you upload the first attachment, the page will refresh. You will see two attachment subsections: Department Request Documents and OSP Documents. All of the documents you upload will display in the Department section. Any documents that OSP uploads will display in the OSP section.

attachments section showing department request documents and O S P documents subsections

Once you have uploaded an attachment, you can view it by selecting its Description. Use the Update link to upload a new version of an existing attachment. The Delete link will remove the attachment. Note that if there is more than one version of an attachment, you can only update or delete the most recent version.

example of versioned attachment

Once you have submitted your subaward request, you will see a View Attachments button on the upper right of the Subaward Overview page. The View Attachments page displays all of the attachments associated with your subaward’s requests in one list.

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You can view changes to the subaward and its subaward requests in this section.

On the Subaward Overview page, the Event History & Comments section shows “All” changes for the subaward and related requests.

Initially, the accordioned section displays in collapsed mode. You can expand it by selecting the V-shaped “chevron” at the far right of the section title. Clicking the rotated chevron will collapse the section.

On a Request Details page, the Event History & Comments section shows events related to that specific request only. The section displays in expanded mode.

subaward event history and comments filter check boxes

When you expand the section, you can select Filter to display the filtering options. For the Event Type filter, all of the check boxes are unselected by default, so all types display. To limit the list to just one or more types, select those check boxes.

Status Change All status changes with their associated comments
Comments Just the comments from OSP, when a request is returned, and from campus, when the returned request is resubmitted
Assignment Change Changes to the OSP Assigned To value
Contact Change Changes to the UW or Subrecipient contacts; only appears in the “All” events section on the Overview page
Attachment Change Added, updated and deleted files

When on the Overview page, you can also select a specific request from the Request ID drop-down menu to limit the events list to changes for just that item.

For each event or comment, the information shown includes

  • Event Type, such as Status Change
  • Subaward number (SC) or Subaward Request number (SA)
  • Person who made the change
  • Date and time when the change occurred
  • System generated description of the change
  • Comments from OSP and campus about a returned and resubmitted request

subaward event history and comments section