Tag Archives: Approvals

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 their department. This requires an Escalation of PI Certification which is indicated on the Certify & Route page of the eGC1.

When the reviewer approves the application for their own node, the system will also approve the PI node. The reviewer will have to mark the checkbox for the PI Assurance statement on the PI’s behalf.

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

The text version of the page has an Approval Flow Details section instead of the graph. It consists of a table listing the units and individuals who need to approve or watch this application.

The table columns are:

  • Rule Type: The reviewer, and when applicable, their affiliated unit
  • Approval Status: Waiting Approval, En Route, etc. See the Approval Statuses article for more details
  • Acted On By: The name of the person who approved or watched the application
  • Date: The date and time the approval or watched status changed
  • View Reviewers: Click to display the Reviewer Details for this role, which includes the reasons for this reviewer

The following image shows an example of this section.

text approval flow details

This is the visual graph of approvers and watchers. The graph begins on the left with the PI and ends on the right with the Office of Sponsored Programs (OSP). Directly under the PI node, is a node for the Preparer/Owners.

If there is an Application PI, that node is immediately to the right of the PI. If there are one or more Multiple PIs, they will follow the PI or the Application PI, if there is one. The Multiple PIs are displayed one below the other. Note that if the Multiple PI is a non-UW person, they will not appear on the approval flow.

The top line of nodes on the graphical version generally are the reviewers associated with the organization receiving funding. The order of other nodes is not fixed.

There is a Legend on the page that defines what the colors of the nodes mean:

color legend for the approvals graph

  • You Are Here (thick dark border on a node) indicates your node on the graph
  • Watching (color white) indicates that none of the watchers for this  “node” has marked it as Watched
  • Watched (color light gray) indicates that one of the watchers for this node has marked it as Watched
  • En Route (color light purple) indicates that the associated reviewers have not yet been notified
  • Waiting Approval (color medium purple)indicates the associated reviewers have been notified
  • Approved (color light green) indicates an approver has approved the application
  • Returned (color light pink) indicates that a either a campus or OSP approver returned the application to the preparers for changes

Each node lists the person or unit reviewing, the role (for example: Div Reviewer), and the status.

In the example image below, the nodes in green have been approved, and they display the first initial and last name of the approver. The outlined node is the one for this approver and shows a status of “Waiting Approval”.  The node for OSP has a status of “En Route”.

  • Click on the name of the node’s unit to open the Reviewer Details page which lists persons authorized to review for this role. This data comes from ASTRA.
  • Click on the “Owner/Preparer” node to display a list of persons who are owners of the eGC1, or have been assigned access to it. Contact the appropriate owner with questions related to the eGC1.

example graph approval flow

Status Data

This initial section explains your relationship to this application.

approval status data section

Field Description
Current Status This approval status is based on you or your role and the current routing status of the eGC1.
Your action options Based on your status with this eGC1, this field displays what actions you may take.
Reason for your review This is the reason(s) you or your organization needs to approve this eGC1.

Approval Options

Approvers (other than the PI) can only approve an eGC1 which is in Routing status. If you do not see the Approve or Return buttons, check the eGC1s status on the My Approvals page. The PI can approve an eGC1 in Composing status by completing it, or in Routing status by using the Approve button.

  • Use the Approve button to indicate your approval of this application. You can optionally include a note which will display on the History & Comments page.
  • Use the Return button to return the application for modification; the PI and owners will be notified by email of the return, and the email will include your return comments. Comments are required and will display on the History & Comments page.

Approval Flow Options

Graph Options

Use the Add Comment link to include a note, independent of your approval, which will display on the History & Comments page.

Use the Add Approver or Add Watcher link to include an additional approver or watcher in the approval flow. See the Add An Ad Hoc Reviewer article for the steps to do this.

View eGC1 Options

The View eGC1 link opens the application in a new window, in a read-only mode. This allows you to review the details of the application.

The View Attachments link opens a new window and displays a list of all the attachments for this eGC1.

View Printable eGC1

The PDF link opens a new window that displays a printer-friendly copy of the entire application.

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 remove an ad hoc reviewer, 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. The following image show this section.

remove ad hoc reviewer dialog

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

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.

The Add Comment link allows you to add an independent comment to the application at any time in the process. Clicking it opens a pop-up window containing two sections: Application Details and Comment, as shown in the following image.

approvals add comment dialog

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

  • Application Number
  • Short Title
  • PI Name
  • Org Code Receiving Funding
  • Sponsor Name

The Comments section includes a text box for entering your comment and an Add Comment button to complete the process. There is also a Cancel link that will return you to the Approval Flow page without saving a comment.

Any comments you enter and save will display on the History & Comments page, and therefore will be visible to all persons with access to the eGC1. The system displays the name of the person who added the comment and lists their role and unit, such as, Department Reviewer CHEMISTRY.

The History & Comments page provides an overview of all actions related to approvals, from when the application is first routed for approval to when it is approved by OSP, including withdrawals, returns and re-completions.

Note: For Grant Runner and Adobe package applications, submission status information is also displayed here.

You can access this page from the Approval Flow (Graphical) page using the left navigation menu. From your eGC1 tasklist, you can select the eGC1 status to open the Approval Flow. From within an eGC1, go to on the Certify & Route page to open the Approval Flow.

In addition to approvals, this page will also show status changes:

  • From Withdraw or Returned to Permanently Withdrawn
  • From Approved to Denied by Sponsor
  • When OSP resets the status

This page also displays any comments entered by campus reviewers or OSP when processing the application.

  • Comments are optional when:
    • A reviewer approves an application
    • A preparer re-routes an application
  • Comments are required when:
    • A reviewer returns an application
    • You add or remove an ad hoc approver or watcher
    • You change a Returned or Withdrawn application to Permanently Withdrawn status
    • You change an Approved application Denied by Sponsor status
    • OSP resets the status from Approved to In OSP or from Denied to Approved or to In OSP

For each action taken, the data fields include:

Field Description
Name The person who executed the action
Rule Type The person’s role or relationship to the application
Budget Edit Number The version of the connected budget (if any) at the time of the action

For an application with a connected SAGE Budget, the Budget Edit Numbers enable you to track when someone revised a budget and to open versions of the budget at specific points in time. To view a budget as it was when an action was taken, click the Budget Edit Number. This will open SAGE Budget in a separate window or tab where you may view all of the budget details.

Action Taken The type of action, such as Completed, Withdrawn, Approved, Returned, Added Ad Hoc Approver, etc. If the action is an Approval, there will also be some additional links. Clicking any of the links will open a new window or tab.

  • Approved Attachments links to the version of the attachments at the time of approval. To open a specific document, click the link. The budget attachments in the Connected Budget Data section of the eGC1 Attachment page will always have the most up-to-date budget information, so you should review those attachments, if available.
  • eGC1 Snapshot links to the version (snapshot) of the eGC1 at the time of approval.
  • Approved Sponsor Forms links to the version of the Grant Runner forms at the time of approval. Only Grant Runner eGC1s will display this link.
Date When the action occurred.
Comments Any user-entered or system-generated comments.

To sort the entries by Rule Type, Action Taken, or Date, click on the column heading (for example: Date). Click again to reverse the sort.

The following images show an example of the History & Comments section, including the Approved Sponsor Forms link for the Grant Runner forms.

example history and comments section

Upcoming Approvals

The Upcoming Approvals section lists the units or reviewers who have not yet approved (or watched), their approval status, and a link to view the list of authorized reviewers for that unit. Approval statuses are:

  • Waiting Approval indicates the eGC1 is ready for this Reviewer to approve.
  • En Route indicates a prior Reviewer on the graph (to the left) has yet to approve.
  • Watching indicates a reviewer who needs to be aware of the application, but is not an approver.

The following image shows an example of this section.

upcoming approvals

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.

The following image shows an example of this section.

example reviewer details section

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 page 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.
  • View: this link opens the attachment for review.

If the application is connected to a budget, the Connected Budget Data section displays a link to the budget data.