Tag Archives: Notifications

Once GCA has processed the Advance Budget Number Request, SAGE will notify you by email. The emails are sent to the Principal Investigator (PI), the sub-budget PI, and the Advance Preparer.

Click the link in the Email Subject column to see an example of its content.

Email Subject Purpose Sent When Sent To
Advance Budget Request processed To notify the PI and preparer that an Advance has been processed by GCA. GCA completes the request PI, cc: Advance Preparer(s)
Advance Budget Request with sub-budgets processed To notify the sub-budget PI and preparer that an Advance has been processed by GCA. GCA completes the request Sub-budget PI, cc: Advance Preparer(s)
Extension of Existing Advance Processed To notify the PI and preparer that an Advance Budget Number end date has been extended. GCA approves the extension PI, cc: Advance Preparer(s)
Extension of Existing Advance Denied To notify the PI and preparer that a request to extend an Advance Budget Number end date has been denied. GCA denies the extension PI, cc: Advance Preparer(s)

This page describes the email notifications sent from GCA. The Advance SFI & FCOI Notifications article and the SAGE Suite Email Notifications article provide information about other system emails.

This page describes the email notifications sent during the approval process for advance budget requests.

The Advance SFI & FCOI Notifications article describes the email notifications initiated by the advance preparer from the advance’s SFI & FCOI page, and the automatically generated emails to the Office of Research SFI Compliance Officers.

The SAGE Suite Email Notifications article provides information about other system emails.

Who is Notified When and Why

SAGE sends a number of email notifications during the routing and approval process. The table below lists each notification type, the condition that generates the email, and the recipients. SAGE generally sends emails to the person’s UW NetID address.

Review example email content.

Email Purpose Sent When Sent To
Approval of Advance Request Required by PI To alert the PI that an Advance is waiting for approval PI Review node status updates to “In Progress” PI, cc: Advance Preparer
Approval of Advance Request Required by Dept. Reviewer To alert the dept reviewers that an Advance is waiting for approval Dept. Reviewer node status updates to “In Progress” Department Reviewers
Approval of Advance Request Required by Ad Hoc Reviewer To alert an ad hoc Approver that an Advance is waiting for approval Ad-Hoc Reviewer node updates to “in Progress” Department Reviewers
Advance Request for Renewal Award To notify Advance Reviewers that an advance request has been submitted for a renewal award. “Submit & Route” selected for an advance (type=renewal) Department Reviewers
Request to Extend an Advance Budget To notify Advance Reviewers that an extension request for an advance has been submitted. Select “Extend Advance” (<12 mos total duration) or select “Request to Extend Advance” (>12 mos total duration) Department Reviewers
Advance Request Returned by Reviewer or GCA To alert the Advance preparer of the need to modify Advance data “Return Request” selected Advance Preparer(s)
Re-approval Required by PI of Re-submitted Advance Request To notify the PI that the Advance is resubmitted and requires re-approval PI Review node status updates to “In Progress” and had a previous outcome of “Approved” PI, cc: Advance Preparer
Re-Approval Required by Dept. Reviewer of Re-submitted Advance Request To notify Dept Reviewers that the Advance is resubmitted and requires re-approval Dept Review node status updates to “In Progress” and had a previous outcome of “Approved” Department Reviewers

 

This article describes the email notifications initiated by the advance preparer from the advance’s SFI & FCOI page, and the automatically generated emails to the Office of Research SFI Compliance Officers.  The Notification of Processed Budget Requests article and the SAGE Suite Email Notifications article provide information about other system emails.

Advance Preparer to Investigators

As part of the Advance Budget Request process, an Advance Preparer can notify any investigators that are not up-to-date on either their SFI disclosures or PHS FCOI Training.

Click the link in the Email Subject column to see an example of its content.

Email Subject Purpose Sent When Sent To
ACTION REQUIRED: Your completion of a Disclosure for eGC1 A99999 To notify an investigator they need to complete a primary disclosure for the eGC1 before the related Advance Request can be submitted. “Notify” selected under SFI Disclosure Investigator, cc: Advance Preparer
SFI Annual Update Disclosure Required for Advance Request ADV12345 To notify an investigator they need to complete an annual update disclosure so the Advance Request can be submitted. “Notify” selected under SFI Disclosure – Sends the SFI Annual Update Disclosure notification when last disclosure > 12 mos. from current date Investigator, cc: Advance Preparer
PHS Training Required to submit Advance Budget Request ADV12345 To notify an investigator they must complete the required training before an Advance Request can be submitted. “Notify” selected under PHS Training Investigator, cc: Advance Preparer

Automated Emails to SFI Compliance Officers

The system sends these emails automatically.

Email Subject Purpose Sent When
Advance Budget Number SFI Priority Review Request for eGC1 # – A99999 | PI name – Kris Diaz To notify the compliance officer to re-review the primary disclosure(s) with SFI for the advance’s associated eGC1 The preparer routes the advance AND at least one investigator’s primary disclosure has a status of “Waiting for JIT” or “Review Required” and has SFI
Advance Budget Request Management Plan in place notification for eGC1 # – A99999 | PI name – Kris Diaz To notify the compliance officer to re-review the primary or related disclosure(s) with management plans for the associated eGC1 of a renewal advance. The preparer routes the renewal advance AND at least one investigator’s primary disclosure has a management plan indicated

 

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.

Depending on your association with an eGC1 application as it is approved, and possibly awarded, you may receive a number of different email notifications.

If you are a subaward preparer, you may receive email about a request returned by OSP.

Email notifications are sent from various parts of the SAGE Suite.

  • SAGE – used by PIs, research administrators, advance preparer, approvers
  • FIDS – used by investigators
  • SPAERC – used by OSP
  • SERA – used by GCA

Those emails may be sent to:

  • the PI, application contacts and preparer on an application
  • the PI and investigators on an application
  • watchers and approvers of an application
  • the preparer of an advance budget request
  • the preparer of a subaward

Some notifications are entirely system-generated, while others have standard paragraphs that can be included and then customized. The customized emails don’t link to examples.

SAGE Approvals Notifications

The emails associated with the approval process are documented in the approvals guide.

FIDS Notifications

The FIDS system sends email notifications related to financial disclosures. Each one is listed below along with the conditions that generate the email being sent as well as who the email is sent to (we can never promise that messages are received). Emails sent to investigators use the email address in their FIDS Profile.

Email Purpose Sent When Sent To
Disclosure Notification To let the investigator know a disclosure needs to be completed for this eGC1. The email is only sent once to each investigator. At the same time the notification is sent, a pending disclosure is created.

Exception: if the investigator doesn’t yet have an email address in their FIDS Profile, the email is instead sent to the eGC1 Preparer to forward to the investigator.

Send Disclosure Notification button is clicked on the eGC1 PI & Personnel page -OR- the eGC1 is completed without the button having been clicked (a daily batch job sends the email at 7:00 AM).

If an investigator had already completed a disclosure before the notification was sent, then no notification would be sent.

Investigator; the eGC1 Preparer only if the Investigator’s email is not available.
FCOI Just-In-Time Notification To indicate that the eGC1 has reached JIT OSP creates a PAN and selects the Just-In-Time flag, or creates an FA, or changes the application’s status to Awarded directly. Email is sent once. Principal Investigator, Application PI, Administrative Contract, Pre-Award Budget Contact, eGC1 Preparer
FCOI Just-In-Time – Reminder of Required PHS Training To remind investigators that the required training must be completed before funding will be released. An investigator has not yet completed the required training -AND- the eGC1 has reached Just In Time. Investigator
Notification of an SFI Disclosure for CoMotion Agreement To alert CoMotion staff that a disclosure has been created for a CoMotion Agreement. An investigator completes a CoMotion disclosure. To CoMotion
Notification of Personnel Changes to eGC1 A99999 To inform the owners of an eGC1 that an investigator on the eGC1 has made a change to their role and/or investigator status –OR – added themselves to an existing eGC1. An investigator uses FIDS Add an eGC1 tool. Principal Investigator, Administrative Contact, Budget Contact, eGC1 Preparer; cc: Investigator making the change
Request to add additional personnel to eGC1 A99999 To inform the owners of an eGC1 that an investigator wishes to be added to the personnel list. An investigator uses FIDS to make the request. Principal Investigator, Administrative Contact, Budget Contact, eGC1 Preparer; cc: Investigator making the request
Disclosure Review Clearance Letter To inform the investigator that their disclosure has been reviewed and no Financial Conflict of Interest (FCOI) has been found. The clearance email should only be sent once. If the Institutional Official saves the disclosure again, even with a different status, the email is not resent. If the disclosure is for an eGC1, basic information about the eGC1 will be included, and any related eGC1s will be listed. The disclosure review status is set to “Review Complete” -AND- the SFI related status is No or the FCOI found status is set to No. Investigator
Annual Disclosure Reminder Letters To remind the investigator that an annual disclosure is required.

Two versions of emails may be sent: one at 45 days before the deadline, and one at 15 days before. Each reminder is sent just once. The number of days in the subject line is calculated.

The latest disclosure completion date is 45 days or fewer from being a year old. A second notice is sent at 15 days (or fewer). Investigator

SPAERC Notifications

Here is the list of the notifications, along with the condition that generates the email being sent, as well as who the email is sent to (we can never promise that messages are received). Emails are always sent to the UW NetID at u.washington.edu (not the email address from the directory). The links

Email Purpose Sent When Sent To
Application Returned To inform owners that their eGC1 application they submitted has been returned by OSP. An eGC1 application is returned by OSP PI, Administrative Contact, Pre-Award Budget Contact, and eGC1 Preparer
Application Review Notice To send review comments Email sent manually by OSP (auto-generated document) Principal Investigator, Administrative Contact, Pre-Award Budget Contact, and eGC1 Preparer
Ready for Pickup To inform owners that all signed and scanned documents are uploaded to an application and are ready for pickup for review. OSP can send the notification by clicking the Ready for Pickup button once they know all signed and scanned documents are uploaded to the application. PI, Application PI, Administrative Contact, and Pre-Award Budget Contact
Sponsor Deadline Reminder email sent if the application’s value for the Ready to Submit question is “No.” If the value changes to “Yes” within the six-to-three day timeline, the email is no longer sent.

NOTE: This email is not sent if the application is after-the-fact or a clinical trial.

Each day (at 6:00 AM), the system checks for any applications that are between six and three business days prior to their sponsor deadline with the application’s value for Ready to Submit as “No.” PI, Administrative Contact, Pre-Award Budget Contact, and eGC1 Preparer
Advance Budget Request Eligibility This email is sent to let the research team know that an advance budget number request can be made for the application. OSP marks the application as eligible for an advance. PI, Administrative Contact, Pre-Award Budget Contact, and eGC1 Preparer
Subaward Request Returned To inform the Subaward Preparer that a request they submitted has been returned by OSP. A subaward request is returned by OSP Subaward Preparer
Notice of Award (Funding Action) To send information about the award received Email sent manually by OSP (auto-generated document) Principal Investigator, Administrative Contact, Pre-Award Budget Contact, and eGC1 Preparer
Request for Activation Notice – fellowships (Funding Action) To notify the PI of a fellowship award and request the PI to complete the Activation Notice Email sent manually by OSP (auto-generated document) Principal Investigator (cc’d)
SFI Compliance Notification (Admin Action) To the PI concerning SFI disclosure for a budget extension Email sent manually by OSP (auto-generated document) Principal Investigator, Administrative Contact, Office of Research SFI Reviewers
Email Notification (Subaward) To the PI with subaward attachments to be reviewed and/or acted on Email sent manually by OSP (auto-generated document) Principal Investigator

SERA Notifications

Here is the list of the notifications, along with the condition that generates the email being sent, as well as who the email is sent to (we can never promise that messages are received).

Email Purpose Sent When Sent To/th>
Funding Action (FA) To notify owners that a funding action has been processed by GCA. The email includes a PDF of the completed form as an attachment. GCA completes the Campus Notify step while processing a funding action. PI, Application PI, Administrative Contact, Pre-Award Budget Contact, eGC1 Preparer, and first-level reviewers for the org code receiving funding.
Application Has Been Awarded To notify EH&S that an awarded application has an EH&S compliance approver or watcher. GCA completes the Campus Notify step while processing a funding action, and EH&S appears on the approval graph as a compliance reviewer. Appropriate reviewers for the node on the graph.
Post Award Change (PAC) To notify owners of a post award change processed by GCA. The email includes a PDF of the completed form as an attachment. GCA completes the Campus Notify step while processing a post award change. PI, Application PI, Administrative Contact, Pre-Award Budget Contact, eGC1 Preparer and first-level reviewers for the org code receiving funding.
Advance Budget Number Request Notice To notify owners that an advance, extension, advance renewal or a supplement to an advance budget has been processed by GCA. GCA completes the Campus Notify step while processing a budget advance, extension, renewal or supplement request. PI, the Advance Administrative Contact and the eGC1 Administrative and Budget Contacts.

May 2015 SAGE Maintenance Release

New Features

Grant Runner: Update Detailed Budget Roles to Free Text

On the Grant Runner detailed budget forms (project and subaward budgets) the key persons role type has been converted from a drop-down list to an open text box, to allow users to enter a wider range of other roles not previously listed. For example, users can now enter “Consortium PI” on the subaward budgets, or any other role type necessary.

Grant Runner: Round budget indirect totals to whole number

NIH Guidelines ask for detailed budget figures to be entered as whole dollars. In the indirect cost section of the detailed budget, where the total was automatically calculated based on rates and base amounts, cents were included without allowing users the ability to change the figure to a whole number. With this update, the indirect cost totals on the project and subaward detailed budgets and the modular budget forms will be rounded to the nearest whole dollar.

Provide visibility to missing investigator emails (201633)

In order to ensure attention is drawn to situations where an investigator may not receive a disclosure notification email, due to a missing email address, the PI & Personnel page of the eGC1 is being updated to display available email addresses.  The available email address will display for everyone listed on the PI & Personnel page, and when one isn’t available a message of “Email Address Unlisted” will display in its place.

In addition, if a disclosure notification fails to send to an investigator due to no email address being available, then the eGC1 Preparer will be sent an email they can forward to the investigator.

Require Email and Phone Number for eGC1 Preparer (206089)

In order to ensure that eGC1 preparers receive key email notifications generated from SAGE and SPAERC, including the newly added email above which forwards disclosure notifications when investigators cannot be reached by email, the Preparer’s phone number and email address are now required on the eGC1.

Fixes

PI entry erroneously cleared

Under certain circumstances during the updating of a PI on the eGC1, the entry was not saving correctly, resulting in the PI entry being blanked out and at times causing an error that the user could not resolve. This fix corrects the issue, allowing PI changes to be saved appropriately.

FCOI JIT Email Update

The primary contacts on the eGC1 will now only receive the FCOI JIT email once, rather than anytime the contacts listed on the eGC1 change.

October 2014 SAGE Maintenance Release

Fixes

  • An issue in FIDS that caused disclosure notifications to be sent to investigators who had already completed a primary eGC1 disclosure has been fixed. Investigators will only receive notifications if they have not already been sent one and if they have not already completed a primary disclosure for that eGC1.

When a preparer completes an eGC1 and submits it into routing, SAGE automatically sends an email notification to the Principal Investigator (PI). The notification email specifies the action required of the reviewer and includes a direct link to the approval graph.

Note: If the person initially routing the eGC1 for approval is the PI, then the system assumes PI approval of the eGC1 at that time.

Once the PI has approved, SAGE automatically notifies the next set of reviewers on the approval flow. Each authorized reviewer for a unit receives a notification, but only one reviewer is required to review and approve the eGC1. Once a reviewer approves the eGC1, the status of the node on the approval graph changes to “Approved by” followed by that reviewer’s name. The node also changes color from Waiting Approval (purple) to Approved (light green).

The following image shows an example graph. After the PI approved the eGC1, SAGE would have notified the Department Reviewers for Bioengineering and the Dean Reviewers for the College of Engineering. One of the reviewers for Bioengineering has approved, while the eGC1 is still “Waiting Approval” for the College of Engineering. The eGC1 is “En Route” to the remaining reviewers.

example graph approval flow

As the preceding nodes in the graph move to “approved” statue, the system notifies the next node(s) and they change status (and color) from En Route to Waiting Approval. For the example in the image above, when a College of Engineering Dean Reviewer approves, the School of Medicine Dean Reviewers receive notifications, since by following the thread (connecting lines), you can see that the college node is earlier in the flow.

Note: Any campus reviewer may approve the application prior to receiving their notification. The system does not impose any specific order on the approvals.

Once all of the campus reviewers have approved the eGC1, it moves to In OSP status, and the system sends an email to the eGC1 Preparer, PI, Application PI (if any), Administrative Contact, and Pre-Award Budget Contact notifying them of the status change.

You can view the list of email notifications sent to reviewers, and preparers and contacts for a specific application by clicking Email Notifications from the left-navigation menu.

The information displayed includes:

Field Description
Name: The person receiving the notification.
Rule Type (and Organization) The reason for the email notification. This is based on the role listed on the approval graph.
Action Taken The action that caused the email notification to be sent.
Date The date and time the notification was sent.
Email Address The email address where the notification was sent. SAGE generally sends email to the “UW NetID” email address.

The Email Notifications Details article describes when, why, and to whom the system sends notifications.

This page describes the email notifications sent during the approval process. The SAGE Suite Email Notifications article provides information about other system emails.

Who is Notified When and Why

SAGE sends a number of email notifications during the routing and approval process. The table below lists each notification type, the condition that generates the email, and the recipients. SAGE generally sends emails to the person’s UW NetID address.

Note: If a reviewer approves an eGC1 before the email notification would have been sent, the system does not send it.

Click the link in the Email column to see an example of its content.

Email Purpose Sent When Sent To
Approval Required by PI or Unit Reviewer To alert  the PI or the unit reviewers that an eGC1 is waiting for approval For the PI, if the eGC1 is “Completed” by someone other than the PI, or when a node on the approval graph changes from En Route to Waiting status Principal Investigator named on the eGC1 or to the ASTRA authorized persons for this role and organizational code
eGC1 Available for Review by Watcher To alert unit reviewers that an eGC1 is available for review (no approval requested) The node on the approval graph changes to Watching ASTRA authorized persons for this role and organizational code
PI Responsibility Escalated  Notifies the PI that an eGC1 is being submitted in his/her name and that the PI Approval is being “escalated” due to his/her absence PI Escalation is selected on the Certify & Route page of the eGC1 Principal Investigator named on the eGC1
Approval Required of Re-Completed eGC1 To notify units that the eGC1 is back in routing and is waiting for approval (again)  An eGC1 gets pushed back into routing after it was Withdrawn or Returned (the review process continues from where it left off)  ASTRA designated unit reviewers who were in Waiting status when the eGC1 was either Withdrawn or Returned – their nodes will go back to Waiting status
eGC1 Returned by Reviewer To alert the owners of the need to modify eGC1 data Any approver clicking the RETURN button on the approvals flow eGC1 Preparer, PI, Application PI, Budget Contact, Admin Contact – the reason the application is being returned will be contained in the email notification
eGC1 Received at OSP To alert the owners that the eGC1 has reached OSP and will begin the central review process – this email provides the name of the person in OSP assigned to review the application All campus units and any individuals listed on the graph have approved the eGC1 eGC1 Preparer, PI, Application PI, Admin Contact, Budget Contact
Approval Required of Ad Hoc Reviewer To alert an ad hoc Approver that an eGC1 waiting for approval When you use the Add Approver function and the node changes to Waiting status; this may be for a role or a person If you add a role, then SAGE notifies the ASTRA designated unit reviewers. If you add a specific person, then SAGE only notifies that person.
eGC1 Available for Review by Ad Hoc Watcher To alert an ad hoc Watcher that an application is available for review When you use the Add Watcher function and the node changes to Waiting status; this may be for a role or a person  If you add a role, then SAGE notifies the ASTRA designated unit reviewers. If you add a specific person, then SAGE only notifies that person.
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