Financials

PI/Campus Steps to Create an Award Setup Request

Award Setup Requests that are incomplete or incorrect will be returned to the campus eGC1 contact. You may need to follow up on outstanding compliance approvals after OSP has completed their review.

1. Confirm there is an approved eGC1 in SAGE for the award

Do you have a new award with an approved eGC1 in SAGE? If there is an approved eGC1 for the award, Create an Award Setup Request in SAGE -step 2.

If you received an award and do not have an approved eGC1 in SAGE, you will need to submit an After-the-Fact eGC1. Once the ATF eGC1 is approved, OSP will create the initial ASR and route it back to you for completion.

2. Create or Complete the Award Setup Request in SAGE

Review Award Setup and Tracking in SAGE

3. Link the eGC1

Confirm you are linking the appropriate proposal eGC1 to the Award Setup Request.

4. Copy and modify an existing SAGE Budget or create a new SAGE Budget

• Review:
  • SAGE Budget User Guide
  • SAGE Budget Job Aid
  • SAGE Budget eLearning resource
• Link a complete and accurate SAGE Budget that matches the sponsor awarded amount to the request.
• Have a Clinical Trial where the billing will be through CTMS? Review the Minimum Information Required for Clinical Trial SAGE Budgets

5. Confirm compliance reviews or approvals are underway or in place

These may include: Human Subjects (IRB), Animal Use (IACUC), Significant Financial Interest (SFI), Cost Share Addendum, and more.

Review more guidance on communicating compliance information related to your ASR.

Depending on the activity on the award you may need to follow other compliance guidance as well.

6. Complete all required fields and submit the award setup request for review and processing

Make sure to attach any related agreements, sponsor correspondence, and provide details in the comments that will facilitate review and approval of your request.

OSP Receives or Retrieves an Award

When OSP receives or retrieves an award and the PI is not included on the notification, OSP will create an Award Setup Request and send it to campus for completion.

1. Confirm there is an approved eGC1 in SAGE for the award

If there is an approved eGC1, OSP will proceed with step 2.

If there is not an approved eGC1 in SAGE, OSP will forward the award email to the PI & unit contact and request they submit an eGC1 After-the-Fact eGC1.

Once the ATF eGC1 is approved, OSP will create the initial ASR and route it back to you for completion.

2. OSP creates  the ASR in SAGE

3. OSP Links the eGC1 to the ASR

4. Send ASR to campus for completion

Human Subjects

Federal and federal flow-through awards, and clinical trials: Study number and approval date, exempt status confirmation, or delayed onset confirmation
All other: The above or pending study number is acceptable.

If the study number and approval date information is not available in the original eGC1 Non-fiscal compliance section (Questions HS-1, HS-1A, and HS-B, and IRB Application Details), and was not provided at a Just-In-Time stage, add a comment in the ASR Comments section, providing the study number(s) and approval dates, for OSP reference.

When it is a non-UW IRB upon which we rely, please attach the external IRB approval letter, reflecting approval dates, to the ASR.

It is the PI’s responsibility to notify HSD when there is a significant change, or addition of human subjects research that was not earlier described and approved. If there is an updated study number for work described that is not available on the eGC1, please include the updated study number and dates in the ASR Comments.

For large center, program or training grants, it is the PI’s responsibility to ensure all trainees or center activities involving human subjects are carried out under an approved IRB study number. Most sponsors will not require this be listed out, and therefore OSP does not require all be listed out in the eGC1 or ASR for verification.

Animal Use

• UW Office of Animal Welfare (OAW) approval of the eGC1 on After-the-Fact or Transfer eGC1, or
• OAW congruence letter reflecting review of proposed scope of work with protocol

If the eGC1 does not have OAW approval, or OAW congruence letter was not provided at an earlier Just-In-Time stage, please provide as an attachment to the ASR, with current approval dates.

Significant Financial Interest / Financial Conflict of Interest

Significant Financial Interest – SFI:

Every Investigator listed on the eGC1 has made a Primary disclosure and the Primary disclosure status indicates one of the following:

• SFI is not related
• No Review Required
• Review Complete; FCOI not found – OR –
• FCOI management plan is in place

If SFI disclosure is not in one of these statuses for each Investigator, OSP is unable to fully process the ASR. The ASR is subject to return until the compliance requirement is met.

Financial Conflict of Interest – FCOI:

The Compliance Details column of the eGC1 PI, Personnel, & Organizations page must reflect one of the following:

• FCOI Training not required, -OR-
• FCOI Training complete; expiration date is current

Any FCOI Training status indicating “FCOI training required” will prevent full processing of the ASR. The ASR is subject to return until the compliance requirement is met.

The eGC1 PI, Personnel, & Organizations page can be updated throughout the project if a UW Investigator needs to be listed so their FIDS status information integrates with the eGC1. Do not send OSP separate documentation via ASR, unless requested.

Review more information about SFI and FCOI.

Cost Share

If your award has cost share commitments, attach a copy of the Cost Share Addendum to the ASR.

Export Controls

An export control review is required:

• If eGC1 Non-fiscal compliance questions E2 and D1 – YES to Export Controlled Information, or D2-D4 are answered YES
• Or if OSP’s review at time of award raises security concerns that were not evident at time of proposal review

OSP will alert exports@uw.edu and the ASR is subject to return until the compliance review is complete.

F&A Waivers

A waiver request, if made, should be carried out at the proposal stage. If there is a need to request an F&A waiver at time of Award, please attach a completed F&A waiver to the ASR, signed by the PI, department and school representative to the ASR, for handling. Do not route an F&A Waiver Request to the OSP Director via Docusign or send via email.

Funding Restrictions

Award terms and conditions may place restrictions on some or all of the funding before it can be spent. Some restrictions require prior sponsor approval before the restriction can be lifted. All restricted funding must be managed with internal controls at the UW.

When a sponsor restricts funds, OSP will include reference to the restriction in a comment on the Award Setup Request or the Modification Request.

Sample Funding Restrictions:

• Human subjects research cannot happen until a copy of the IRB approval is provided to the sponsor
• Research involving animal use cannot happen until a copy of the IACUC approval is provided to the sponsor
• Sponsor requires additional documentation before they will issue a revised award to lift the funding restriction
• Funds can only be used for specific named personnel in the award
• Funds are designated for a particular purpose (e.g. travel) and cannot be rebudgeted for something else without prior approval
• Renovations must have prior sponsor approval on the designs before funds can be used

When you need to request removal of funding restrictions after an award is made, you must submit a Modification Request (OSP/GCA) in SAGE.

Awards Made in Foreign Currency

Foreign currency exchange rates fluctuate on a daily basis, and it is typically many months between when a proposal budget is prepared and the time of award. As a result, the exchange rates used to calculate a proposal budget are probably not an accurate reflection of the awarded funds in U.S. dollars (USD).

When awards are made and will be paid in foreign currency there are a few extra steps that must be taken at the Time of Award and to Monitor the Award.

• Review awarded budget with an online currency converter
• Update SAGE budget in US Dollars using current conversion rate
• Attach a screenshot of the currency converter to the ASR

Note: Currencies will continue to fluctuate throughout the life of an award. PIs and their units are responsible for monitoring and managing the impacts that these fluctuations may have on the award.

The PI and department are responsible for resolving deficits, including those that may arise from currency fluctuation.

Review more information and examples from Grant & Contract Accounting on Awards Paid in Foreign Currency.

Requesting Additional Award Lines at Time of Award

There are a variety of reasons to request separate award lines under a new award. Some of the primary reasons include:

• Multiple F&A Rates
• Outgoing Subawards award line
  • Create a separate SAGE Budget worksheet for each outgoing subaward. Review more guidance for requesting subawards.
• Participant Support Costs
• Equipment Fabrication

Individual award lines for specific areas need their own SAGE Budget worksheets linked with an ASR to be set up on an Award in Workday Finance. You may add some award lines after award setup via Award Modifications.

Review SAGE Budget guidance.