Use this section to provide information about tangible items involved in a project, such as equipment and biological materials. This information helps reviewers understand export control and budgetary implications as well as informing protections that need to be in place for any sharing of tangible items outside UW. Contact Equipment Inventory Office with specific questions about fabricating equipment, or email exports@uw.edu for guidance on export controls.
As with other eGC1 pages, you can partially complete your entries and save the eGC1. You must complete the required fields before you route your eGC1 for approval.
Select Start Section to open the section initially, and then Edit Section to add or update existing data.
E-1. Will equipment be fabricated by the UW on this project?
Answer: Yes or No
Note: if the fabrication is being performed entirely by a non-UW entity (that is, a subcontractor), answer “No”.
E-2. Will the project involve the export of hardware, equipment, specimens, goods, software or monies? (excludes personal-use laptops)
Answer: Yes, No, or Unknown
Note: Answer “No” for personal-use laptops unless the laptop contains any military or space technical data, or if the only international transactions are for travel expenses.
E-2A displays if E-2 = Yes
E-2A. Describe the items/materials
Answer: enter a description
E-2B displays if E-2 = Yes
E-2B. Add one or more destination countries
Answer: search for by name, and select the appropriate countries
M-1. Will University-owned biological materials be provided to non-UW parties, including sponsor?
Answer: Yes or No
Note: Materials include (but are not limited to) cell lines, cultures, bacteria, nucleotides, proteins, transgenic animals, pharmaceuticals, or chemicals.
To assist researchers in filling out the Human Subjects & Clinical Trials (HSCT) form, NIH required fields are now indicated with an asterisk and red highlighting. These same fields will have validation messages when the user clicks “Show Form Errors” at the top of the form. All NIH errors and validations will continue to show when the full application is checked by clicking “Check for Errors” in the left navigation of SAGE.
eGC1 Data Sync Improvements with Grant Runner Forms
To help prevent data inconsistencies when multiple browser sessions are open, the data sync between the eGC1 and Grant Runner forms has been improved. When you make updates to information in the eGC1 that flows through to Grant Runner forms, those updates will now automatically sync with each save/refresh of the eGC1.
Improved Accessibility for Keyboard and Tab Order Functionality
To meet accessibility standards, all Grant Runner forms are now accessible using keyboard only functionality. In addition, tab order has been improved to be more logical and intuitive, reducing the number of times the user has to press the tab key.
Error Messages Enhanced
Question numbers have been added to error messages on all Grant Runner forms. This update will help users quickly identify the specific error within a form. This will be especially helpful for longer forms such as the new Human Subjects & Clinical Trials form.
On the Non-Fiscal Compliance page, in the Data & Technology section, if you answer Yes to questions D-2 and/or D-4, the system will automatically add a hold for Export Control. The hold will be added when the eGC1 reaches In OSP status.
Funding Actions
When OSP creates a child Funding Action (FA) for an awarded eGC1, the system will automatically create compliance holds, if appropriate.
The system applies automatic holds to the FA based on the conditions in the following chart.
Details page has an Originating Sponsor listed with a Sponsor Type of Federal Government
SFI/FCOI
One or more investigators on the PI, Personnel, & Organizations page has an SFI value of Yes or Unknown
Export Control
Non-Fiscal Compliance page: if Yes for any one of questions E-2, D-1, D-2, D-3, D-4.
IACUC
Non-Fiscal Compliance page: question AU-1 = Yes
FCOI Training
One or more investigators on the PI, Personnel, & Organizations page has either not done the sponsor-required FCOI training or the training has expired.
Use this section to indicate if and how specific types of information and technologies will be involved in the project so that reviewers can determine if special guidelines or restrictions apply. Contact exports@uw.edu for guidance on export control limitations related to sharing of data and technology. For information about the Washington Innovation Advantage Program (WIAP), visit the CoMotion site or contact osp@uw.edu with further questions.
As with other eGC1 pages, you can partially complete your entries and save the eGC1. You must complete the required fields before you route your eGC1 for approval.
Select Start Section to open the section initially, and then Edit Section to add or update existing data.
D-1. Does this project involve any of the following?
Answer: Check all that apply:
Proprietary Information
Export Controlled/Controlled Unclassified Information
Classified Information
Other Sensitive Information (Excludes personal or patient information)
None of the above
You must make at least one selection. If “None of the above” is selected, the system will clear any other boxes that were checked.
D1-A displays if for D-1 you select any value other than “None of the above”
D-1A. Will this information be shared with foreign nationals in the United States or abroad (including UW faculty, staff, or students)?
Answer: Yes or No
Note: U.S. Permanent Residents are not considered foreign nationals. The actual country of citizenship/residency of foreign nationals is not required at this time.
D1-B displays if for D-1 you select “Other Sensitive Information (Excludes personal or patient information)”
D1-B. Please describe the other sensitive information
D-2. Is this project intended to assist any foreign country’s military or space activities?
Answer: Yes or No
D-2A displays if D-2 = Yes
D-2A. Please describe.
D-3. As far as you know, will the sponsor require approval prior to foreign national participation or prior to publication of the research results of this project?
Answer: Yes or No
D-4. Will the project involve travel to or collaboration with a person or entity in a sanctioned country (e.g., Cuba, Iran, North Korea, Sudan, Syria)?
Answer: Yes or No
Question T-1 displays if the Sponsor Type and/or Originating Sponsor Type (as indicated on the Details page) is one of the following:
Use this section to provide information about human subject involvement and approvals for the project to help reviewers determine compliance with UW and sponsor requirements. Contact the Human Subjects Division with questions.
Note: Zipline data will be refreshed each time you view this page.
As with other eGC1 pages, you can partially complete your entries and save the eGC1. You must complete the required fields before you route your eGC1 for approval.
Select Start Section to open the section initially, and then Edit Section to add or update existing data.
Human Subjects Questions:
HS-1. Will the project involve interaction with Human Subjects, or identifiable data or specimens from human subjects? Answer: Yes or No. An answer is required.
HS-1A displays if HS-1 = Yes
HS-1A. Delayed Onset: Will IRB application submission be delayed until after award because you will (1) identify and develop new protocols that will be supported by the award or (2) complete other research described in the proposal that is necessary before the human subjects research can be fully planned.
Answer: Yes or No
HS-1B displays if HS-1 = Yes
HS-1B. IRB Approval Pending: Will you need to submit a new IRB application, modify an existing IRB application, or are awaiting approval of a current IRB application for the human subject research in this project?
Answer: Yes or No
A table for IRB Application Details displays if HS-1 = Yes
Note: If HS-1 = Yes, and HS-1A = No (Delayed Onset), and HS-1B = No (IRB Approval Pending), then you must include at least one IRB application. See details below on how to add an IRB Application.
HS-1C displays if HS-1 = Yes AND Sponsored Program Activity Type (Details page) is “Clinical Trial – Federal Sponsors” or “Clinical Trial – Non-Federal Sponsors”
HS-1C. CRBB Involvement. Will the project involve use of UW Medicine clinical services or clinical space as a site of patient care, or include medical treatment of a patient by a UW Physicians provider?
Answer: Yes or No
CRBB (Clinical Research Budget & Billing) Note: If any of the following statements apply to this proposed work, mark Yes, even if the research involves only usual patient care items or the study budget will not be charged.
Some of the proposed work will be conducted in a UW Medicine clinical setting. See CRBB Coverage Analysis Checklist, Section II, Sites of Practice, for a complete list of sites. Studies using Seattle Cancer Care Alliance locations should use the SRAMP access point when submitting to CRBB.
The study involves one or more clinical procedures at one of these sites, such as use of a patient examination room, blood draws, imaging, clinical lab tests, administration of a research medication, or procedures.
Payment of physician professional fees for clinical services from a UW-affiliated or Northwest Hospital physician is required, separate from the salaried research personnel effort reflected in the budget.
Contact CRBB at crbb@uw.edu or 206-543-7774 for assistance.
HS-2. Stem Cells. Will this research involve the use and/or creation of human embryonic stem cells? Answer: Yes or No An answer is required.
Add IRB Application
Start by selecting Add IRB Application. A dialog box will open where you can choose how you enter your data.
You can use the blue “X” in the upper, right-hand corner to close the dialog and return to the Human Subjects section without saving any data.
The following image shows the initial dialog box.
Enter all or part of the Zipline Application Number in the search box. The system will search for all applications that contain the entered numbers in the application number field. The results list will display below the search box, as shown in the following image.
Click on the appropriate study in the results list to select it. The study data will display in the dialog window, as shown in the following image.
Use the Save button in the lower, right-hand corner to add the study data, and return to the Human Subjects section.
Enter Manually
You have the option to add IRB Application information manually. Select Enter Manually in the dialog, then add the requested information.
Reviewing IRB Name
IRB Application PI
Reviewing IRB Application Number
Approval Date
Expire Date
IRB Application Title
Select Save to return to the Human Subjects section.
Note: All of the fields are required prior to eGC1 completion.
The following image shows the manual entry screen.
IRB Application Details section
Your data will appear as an expandable row of a table in the IRB Application Details section of the page.
The table row shows the follow data fields:
IRB Application Number
Reviewing IRB Name
IRB Application PI
Approval Date
Expiration Date
You can edit or delete it using the icons (pencil, trash can) in the Actions column at the far right of the table row.
Use the chevron to the left of the row to expand the data shown. The additional data displayed includes:
IRB Application Title
Zipline Application Number
Zipline Status
Approved Funding Sources
The following image shows an expanded table entry.
Use this section to provide information about the use of vertebrate animals in the project to allow reviewers to determine compliance with UW and sponsor requirements. If you have questions regarding the use of Vertebrate Animals, please contact the Office of Animal Welfare.
Note: Hoverboard data will be refreshed each time you view this page.
As with other eGC1 pages, you can partially complete your entries and save the eGC1. You must complete the required fields before you route your eGC1 for approval.
Select Start Section to open the section initially, and then Edit Section to add or update existing data.
AU-1. Will the project involve the use of vertebrate animals?
Answer: Yes or No
A table for Animal Use Protocols and an Add Protocol button display if AU-1 = Yes
Note: If AU-1 = Yes, then you must include at least one protocol.
Add Protocol
You can add a protocol in three ways. Start by selecting Add Protocol. By default, the UW Protocol choice displays. Select the appropriate protocol type link from there.
Use this to search Hoverboard and import your data. Start by entering at least 3 digits of your protocol number. The search will return any items that contain the digits you enter. Click in the results list to select the appropriate item. The following image shows a results list after search for “234”.
When you select a protocol from the results list, the following data displays in the dialog window:
Protocol Title
Protocol PI
Primate Center Involved – Yes or No
Expiration Date
Select Next to continue the process. The dialog will display the question “Does the protocol require an amendment?” Answer Yes or No.
Select Save to return to the Animal Use section.
Note: If the value for Primate Center Involved is Yes, the Primate Center will be added to the approval flow as an Approver.
The following image show the amendment question in the dialog window, with Yes selected.
External Protocol
Select this choice in the Add Protocol dialog to enter an External Protocol. Select the appropriate institution from the drop-down menu.
The choices are:
Fred Hutchinson Cancer Research Center (FHCRC)
VA Puget Sound Health Care System (VAPSHCS)
Seattle Children’s Research Institute (SCRI)
Benaroya Research Institute of Virginia Mason (BRI)
Center for Infectious Disease Research (CIDR)
Allen Institute
Add a New Institute
The following image shows the initial screen with the drop-down menu expanded.
When you select one of the existing institutions from the menu, its details will display. These fields are
Institution Assurance Number
Institution Country
Institution City
You can find more information about assurance numbers on these NIH web pages:
The following image shows the details for Fred Hutchinson Cancer Center (FHCC).
Select Next to enter your Protocol Number and the Expiration Date.
The following image shows this step, with some example data entered.
Select Save to complete your entry. You can save a partial entry. It must be complete prior to routing your application.
The following image shows the expanded table row from this entry on the compliance summary page.
Add a New Institution
If you select “Add a New Institution” from the External Protocol list, the dialog will display the following fields:
Institution
Assurance Number (optional)
Institution Country
Add the appropriate information for these fields. Note that if you select any country other than the United States of America, you must also enter an Institution City.
The following image shows the first page of the dialog.
Select Next to display the section page of the dialog. Enter the Protocol Number and its Expiration Date.
Select Save to complete your entry. You can save a partial entry. It must be complete prior to routing your application. The added information will display similarly to the existing external institution entries.
New Protocol
If you will be establishing a new protocol, select that option from the initial Add Protocol dialog box. You just need to answer yes or no to the question “Will the Primate Center be involved in the research?”
If you select Yes, the Primate Center will be added to the approval flow as an Approver.
The following image shows the New Protocol dialog with the Primate Center question.
Use this section to indicate whether EH&S agents or activities are going to be used during the project. Responses to the EH&S section provide additional guidance on regulations and approvals needed to perform the work. Contact Environmental Health & Safety with questions.
As with other eGC1 pages, you can partially complete your entries and save the eGC1. You must complete the required fields before you route your eGC1 for approval.
Select Start Section to open the section initially, and then Edit Section to add or update existing data.
EHS-1. Will this project involve any of the following?
Answer: Check all that apply:
Biohazards
Select Agents and Toxins
Radioactive Materials
SCUBA Diving
Chemical Thresholds (toxic, unstable, explosive)
None of the Above
You must make at least one selection. If “None of the Above” is selected, the system will clear any other boxes that were checked.
Additional information will display when a box is selected.
Biohazards: Biological Use Authorization from the UW Institutional Biosafety Committee is required as defined on the EH&S webpage. Please note that some categories of research require BUA prior to initiation. The BUA application submission deadlines are also posted on this website.
Select Agents and Toxins: EH&S will work with the PI to obtain necessary federal clearances, approvals, and training. Documentation of due diligence is required for any transfer of Select Toxins in any amount. Some Select Agent and Select Toxin research is subject to review by the Dual Use Research of Concern (DURC) Institutional Review Entity (IRE). See the EH&S website for information about Select Agents and Select Toxins, Select Toxin Due Diligence, and DURC.
Radioactive Materials: Approval of this application will be contingent on whether or not a Radiation Use Authorization (RUA), issued to the Principal Investigator (PI), sufficiently covers the proposed radioactive material work.
SCUBA Diving: Anyone diving under the University of Washington’s auspices must have current certification as a University of Washington Scientific Diver and adhere to the standards set forth in the UW’s Diving Safety Manual. EH&S will contact you to assist in meeting Diving Safety Program requirements prior to diving. For more information, please see: https://www.ehs.washington.edu/research-lab/diving-safety-program
Chemical Thresholds (toxic, unstable, explosive): EH&S will contact you for planning assistance as fire department requirements may not allow these quantities in your space or may require building modifications.
Campus research teams and related central offices use the SAGE Suite electronic research administration system to manage application proposals and related items. The suite consists 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)
In addition, FIDS: Financial Interest Disclosure System is used by researchers designated as investigators; it 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 appear in 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. Only the UW uses the eGC1. It does not go to the sponsor.
A Grant Runner application includes, in addition to the standard eGC1 pages, the sponsor forms for NIH. OSP submits the application “system-to-system”.
Approve routing applications
The Principal Investigator, Multiple-PI, Application PI, academic reviewers (division, department, dean) and compliance reviewers (human subjects, animal use, EH&S, etc.) view and approve the application. At each approval, SAGE captures a PDF snapshot of the application and attaches it to the eGC1’s 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 as needed. 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 the sponsor awards an application, OSP creates a Funding Action as a child of the application. Depending on answers to certain compliance questions, the system may apply one or more automatic “holds”.
Once OSP completes the FA (and all holds are cleared), they transmit it 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, an advance 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 in FIDS. 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: To enable improved collaboration, you can send a direct link to the PI and Reviewers
From any standard eGC1 page (excluding Grant Runner forms), the URL is now a direct link that you can copy and share with others who have access to that eGC1. This will be particularly useful when collaborating with the PI on completing the Non-Fiscal Compliance page.
Non-Fiscal Compliance Overview
Use this page to provide details related to non-fiscal compliance information. These details will:
Identify special considerations in this application and bring them to the attention of reviewers.
Provide information necessary for the UW approval process.
Provide information that may help campus unit and central office approvers review your application quickly.
Facilitate proposal review and central office review at time of award.
There are five sections on this summary page and each is covered in more detail in its own article.
Human Subjects (questions HS-1 and HS-2, and conditionally HS-1A and HS-1B)
Data & Technology (question D-1, D-2, D-3, D-4, and conditionally D-1A, D-2A, and T-1)
NOTE: If you are viewing an older application, you will see the questions you answered at that time, displayed in read-only mode and organized into the sections listed above.
On this summary page, select “Start Section” to open a section for data entry.
Once you have started a section, when you return to the summary page, you will see a link to Edit Section. In addition, an Expand + link will display on the right of the section. Select it to open the section and view the data in read-only mode. The link will change to Collapse – when the section is expanded.
This page also has Expand All and Collapse All links above the first section, on the right side of the page. Use the Expand All link to open all of the sections in read-only mode. Collapse All will close all of the sections.
In the following image, the second section, Animal Use, shows the Edit Section link. The third section, Environmental Health & Safety, shows a section in the expanded, read-only view.
Occasionally, there could be a difference in the eGC1 PI and the PI on the sponsor’s application, for example, in the case of career development applications.
To designate an Application PI, select that role for the person after adding them to the PI, Personnel, & Organizations page. For additional information on research team roles, review the UW Research Personnel page.
If the Application PI is a UW person, SAGE will add the Application PI to the Approval Flow and send an approval required email notification at the appropriate time. If the person selected does not already have an ASTRA role for SAGE, a warning message of “no access: ASTRA permissions required” will display in red once you select the Application PI role. You will need to give them access, so that they can approve the application. There are two non-PI researcher ASTRA roles that could be used.
As part of the approval process, the UW Application PIs are required to certify the PI Assurance Statement which appears in the approval dialog.
The statement reads:
Principal Investigator/Program Director Assurance: I certify that the statements in this eGC1 and the related sponsor application are true, complete and accurate to the best of my knowledge. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. I agree to accept responsibility for the scientific conduct of the project and to provide the required progress reports if a grant is awarded as a result of this application.
The approval/agreement reads:
I am the PI and I have read and agree with the PI Assurance Statement. I understand that approving this eGC1 electronically is equivalent to my signature.
The following image shows the assurance statement in the approval dialog.
For Grant Runner applications, the person designated as the Application PI will appear as the PD/PI on the SF 424 and Key Person Expanded forms.
Non-UW Application PI Assurance Statement Instructions
If the Application PI is a non-UW person (an affiliate), SAGE will not add them to the approval graph. Since they have a NetID, they could be given access to SAGE and added as an ad hoc approver to the graph. The eGC1 PI is responsible for securing assurance statements for those non-UW Application PIs. The following steps describe the paper process.
