Tag Archives: Advance Budget Request

Advance Header

All advances display a header section across the top of the page. This header remains visible regardless of what part of the advance you are viewing.

The following image show an example advance header for a New advance in Composing status.

advance request header

The header contains the following items, reading from left to right.

  • A blue arrow, pointing to the left, which is a link back to your Advances list.
  • The title “Advance Budget Request” followed by the request’s unique reference number, in parentheses, with the prefix ADV. For example: ADV25111.
  • The eGC1 number for the Associated Application. Clicking on the application number will open a new tab displaying the eGC1.
  • The Advance Budget number assigned displays for an item with In GCA or Processed status.
  • Request Status, the current status of this item
  • At the far right, a “more options” menu icon appears. The icon is three, blue vertical dots. The menu choices are

Navigation Menu

The Navigation Menu lists the sections of your advance. When you select a section, its name will change to bold font and be highlighted with a light blue shading. The following image shows an example of an advance’s left navigation menu, with the General Information section highlighted.

advance budget left navigation menu
To the left of each section name is a circle. Initially, it will be empty. As you add and review the data in a section, the circle will include a checkmark to indicate when you have completed the section.

advance request left navigation menu with checked section

In the list of menu links below, click on any section name to view its related article.

Use this section of your advance to review the Significant Financial Interest (SFI) and Financial Conflict of Interest (FCOI) Training status of the investigators on the associated application. The table lists each investigator, their role, SFI disclosure submission status, and for Public Health Services (PHS) sponsored applications, their PHS FCOI training status. When any investigators are not up-to-date, an alert appears above the table.

SFI Disclosure Requirement

Each investigator must have completed an SFI disclosure in FIDS for the associated application whether or not they have any financial interests to disclose. If the investigator submitted that disclosure more than 12 months ago from the current date, and has not created another disclosure of any kind within the past 12 months, the investigator would need to submit an annual update disclosure.

An investigator’s disclosure status is either “Up-to-date” or “Disclosure Required” with a Notify link.  Select the Notify link to send a notification that either the primary disclosure or an annual update disclosure is needed. The system determines which disclosure is required and sends the corresponding notification. The advance preparer is copied on the notification. You can select the Notify link more than once. The date will refresh automatically. Review the Advance SFI & FCOI Notifications for details.

PHS FCOI Training Requirement

If the application’s sponsor is a Public Health Services (PHS) sponsor, the investigator’s FCOI training must also be “up-to-date”. The training expires after four years. If the investigator’s training is not current, their status is “Training Required” with a Notify link. Use the link to send a notification about the training requirement, with instructions. The advance preparer is copied on the notification.

The following image shows this section for a PHS-funded grant with some of the personnel needing to complete a disclosure or the training.

S F I and F C O I section with notify links

Below the table is a link to the parent application’s PI, Personnel, & Organizations page where you can update the list of investigators. If you make changes, the advance request will automatically update.

When you are logged in to SAGE, but have not been actively using the system for 40 minutes, you will see a dialog message indicating that your session will expire in 5:00 minutes. The dialog will continue to count down the time. You have the option to click “Keep Working” to re-activate your session.

If you do not click “Keep Working”, then when the time count reaches zero (0) minutes, your session will expire. Your browser will be redirected to a “session expired” page from which you can log back in to the system you were using. Any unsaved data at the time your session expires will be cleared.

The SAGE system has always timed out after 45 minutes of inactivity. We have now made the timeout more visible so you know that your session has expired, instead of sending you to the tasklist with no explanation.

The following image shows the session timeout dialog, with the time remaining until expiration and the instruction to click “Keep Working” if you want to continue to stay logged in.

sage session timeout dialog

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 and integrates with SAGE

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.

In addition, if your eGC1 is a Grant Runner application using the RR Detailed Budget form, your budget data will be mapped into the form.

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. Copies of the attachments are also captured.

Administrators and reviewers have the option to return the application to the research team for changes. They can also 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. The preparer completes the request in SAGE, then GCA processes it in SERA.
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 are the UW research team’s collaborators. 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 for GCA 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 central 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.

This component of SAGE (System to Administer Grants Electronically) allows you to complete an online request for an advance budget number.

SAGE – the System to Administer Grants Electronically – is the web-based system used by faculty, researchers, administrators and staff.

You can stay up-to-date on changes in SAGE (and FIDS) by subscribing to our Office of Research Information Services (ORIS) News.

The core SAGE system allows you to carry out several tasks.

  • SAGE Budget helps you create an accurate budget for your grant proposal. It auto-populates data from the payroll and financial systems, helps you select proper rates, and calculate totals automatically.  You can connected a budget to a standard or Grant Runner eGC1 to populate budget data.
  • eGC1 Forms are the electronic Grants and Contracts forms you use to route your grant proposal through the University’s internal compliance process.
  • Grant Runner applications combine the eGC1 and sponsor forms for some NIH funding opportunities requiring SF424 R&R forms, including Modular, Detailed and Subaward Budgets. With the click of a button, OSP can electronically submit your application via Grants.gov to the sponsor.
  • Approvals is the electronic routing engine that stages eGC1s for approval by associated departments, colleges, compliance offices, and the Office of Sponsored Programs.
  • Advances creates an online request form for an advance budget number.
  • Subawards submits a request for a new subaward or a modification of an existing one.

 

An Advance Budget Number Request is made for a specific eGC1. You must be an owner of the eGC1, or have either Read/Write or Read-Only access, to create an advance. The owners of an eGC1 are the PI, Administrative Contact, Pre-Award Budget Contact, eGC1 Preparer, and Budget Preparer (if the eGC1 has a linked budget).

Global Editors

If your only access to an eGC1 is through the Global Edit ASTRA role, then you need to add yourself to the eGC1 first. Open the eGC1 (from the Approvals tab) and use the Contacts & Access page to assign yourself direct access (or change the preparer or a contact, if appropriate). You can then create an advance.

The steps to do this are:

  1. Find and open the eGC1 on the Approvals tab
  2. Go to the Contacts & Assign Access page
  3. Click the Add Another User link in the Access section
  4. Add yourself to the eGC1 with Read Write access
  5. Save & Close the eGC1

Review: Who Can Create an Advance Budget Request.

To create a new Advance Budget Request, start at the My Advance Requests page.

The following image shows the Request Advance button, located at the right of the status check boxes.

my advance requests page

Create Advance Request Page

When you select Request Advance, the Create Advance Request page will display. The page has a search section, described below, followed by a list of eligible eGC1s.

An eligible eGC1 is one that:

  • is in Approved or Awarded status
  • you have permission to edit
  • does not have an Application Type of Non-Award Agreement (NAA) or Pre-Application
  • does not have a child Funding Action with a status of “In GCA” or “Re-sent by OSP”

The eGC1 list table includes these columns:

  • eGC1 Number
  • Select button
  • PI Name
  • Full Application Title
  • MyResearch Details Link
  • Sponsor Name
  • eGC1 Status
  • Date Created

If there are more than ten eGC1s, the list will include page numbers at the lower, right of the table.

The following image shows a partial example list of eligible eGC1s.

create advance request list of eligible e g c ones

Search for an eGC1

You can use the search section to limit the list of eGC1s to ones that match the criteria you entered. You can search by

  • eGC1 Number
  • Short Title
  • Full Application Title
  • PI Name
  • Sponsor Name
  • Org Code Receiving Funds
  • eGC1 Status, selected from the drop-down menu

Click the Search button to see the results list. The total results number displays at the far right of the list. The Reset link clears all of the criteria values.

The following image shows the eGC1 search page.

advance search for eligible e g c 1

If you cannot find the eGC1 you’re looking for:

  • Confirm you have the correct eGC1 number.
  • Review the eGC1 to be sure you have edit access; it will not display with only read access.
  • Review My Research to see if the Funding Action is In GCA.  Contact gcahelp@uw.edu for more information.

Select the eGC1

To create the advance click on the Select button for the desired eGC1. The advance form will display and will include information copied from the selected eGC1. Each section of the advance has its own user guide help article.

The system will determine if the advance type will be New or Renewal based on the status of any Funding Actions in the selected eGC1’s cycle.

  • New Advance: Selected eGC1’s cycle has no processed Funding Actions.
  • Renewal Advance: Selected eGC1’s cycle has at least one processed Funding Actions.

Exception: When the selected eGC1 is a Competing Renewal, the advance type will be Renewal, even if the eGC1 is in a new cycle without a processed Funding Action.

Automatic Carryover on Award

If the award has an automatic carryover, a warning message will display, as shown below.

create advance automatic carryover warning

The message reads:

Are you sure this award needs an advance instead of a temporary budget extension?

Typically, a temporary budget extension is appropriate for awards with automatic carryover. Please contact GCA at gcahelp@uw.edu if you need help deciding which option is best.

Following the text are two buttons:

  • Request Temporary Budget Extension
  • Request Advance
    • selecting this opens the Advance Budget request page

You can use any combination of the search criteria to locate advance requests to which you have authorized access. More specific searches will return fewer results. The criteria are described below.

The Reset link clears any values in the critera fields.

The following image shows the advanced search page.

advanced search for budget advances

Search Criteria

Field Description
Advance Number Enter the entire advance number with or without the preceding “ADV”.
PI Last Name Enter all or the beginning of the last name or the last name plus first initial or the last name plus the first name. For example:

  • Smith
  • Smit
  • Smith, J
  • Smith, John

You must enter at least 2 letters.

Short Title Enter any of the words or string of letters contained in the Short Title. You must enter at least 3 characters.
Budget Number Enter all 6 digits with hyphen (##-####) of the budget number.
Sponsor Name Enter any of the words or string of letters contained in the sponsor name. You must enter at least 2 characters.
eGC1 Number Enter the entire eGC1 number, with or without the preceding “A”.
Org Receiving Funds Enter the beginning portion or the entire organizational code as listed in the FIN Index. You must enter at least the first 3 numbers.

Results List

Once you have entered the search values, click the Search button to display all the matching advance requests. The number of results displays on the far right above the list.

The list contains the same columns as the My Advances page. To open an advance request, click on its number. The following image shows a partial results list.

advance budget request advanced search results

The My Advance Requests page displays your existing advance requests, allows you to search for an existing advance or start a new request for an advance.

By default, the list displays advances in Composing, Returned, Withdrawn, and Denied statuses. You can use the status check boxes or the “select” links to filter which item statuses you want to display. The links are: Select Routing, Select Returned, Select All, and Default View.

The following image shows the My Advance Requests page header with the default statuses selected.

my advance requests page

You can use the Advanced Search link to find advance requests that match specific criteria.  The How to extend an Advance provides help on creating an extension. The Request Advance button starts the process of creating a new advance request.

The statuses for an advance request are:

Status Description
Composing Newly created, but not yet submitted for approval
Routing Submitted and routing for approval
In GCA Being reviewed and processed by GCA
Processed Processing finished by GCA and a budget number assigned
Returned Returned from routing by an approver
Withdrawn Withdrawn from routing by an advance owner/editor
Denied Denied by GCA; only applies to extension requests

The advance requests display in descending order by Date Created, so the newest one is at the top of the list.  The data columns, left to right, are:

  • Advance # – unique identifier, select this to open the advance
  • Type – values are: New, Renewal, Extension
  • eCG1 # – the associated eGC1
  • PI Name – the principal investigator’s name
  • Sponsor Name – the sponsor from the eGC1
  • Status –  the current status
  • Date Created – the date this advance was created
  • Budget # – the budget number assigned by GCA
  • Options – when applicable, an Extend link displays which opens an extension request for the advance. This applies to processed advances that have a start date within the past 18 months.

Clicking on a column header will sort the list by that value in descending order. Clicking a second time will reverse the sort. Note that the Type and Options columns cannot be sorted.

Your list will only include advances that you have direct access to as an owner or collaborator. Access to an advanced budget request initially originates from the parent eGC1.

  • If you are an owner of the parent eGC1 or you have assigned access, you can open an advance budget request for that eGC1.
  • If you are a Global Editor, you first need to have direct access to the eGC1 in order to create an advance budget request. To update your access, start on the Approval Flow page of the eGC1. Click on the View eGC1 link to open the eGC1. On the Contacts & Assign Access page, use the Add Another User link in the Access section to assign yourself Read Write access.
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