The “approval flow” includes all UW individuals, divisions, departments, deans, and/or compliance offices (including OSP), that must review and sign off on a proposal before its submission to the sponsor. Review: How the Flow is Generated.
SAGE automatically routes the proposal to the individuals and units included in the approval flow. The system also sends email notifications of pending approvals to Approvers on campus. OSP uses their SAGE Central tasklist to manage proposals waiting for approval. Review: Reviewer Email Notifications.
As a reviewer, you can access the approval flow for an application from the Approvals tab in SAGE. You have the option of viewing a graphical or a textual representation of the approval flow. If you are a preparer or owner of the eGC1, you can also access the approval flow from the Certify & Route page of the application.
Generally, anyone who appears on the SAGE approval flow is referred to as a reviewer. More specifically, reviewers are either Approvers or Watchers.
Cost Share is the portion of a project or program cost that the sponsor does not pay for. It is the University’s share in the cost of conducting the project/program. Cost sharing occurs either when a sponsor requires, or the University volunteers in a proposal, funds beyond those awarded by the sponsoring agency to support a particular grant or contract.
These costs are charged to an alternate source (UW or third party). You must identify all sources, and they must agree (via the eGC1 approval process) to commit the necessary funds. For more information, review the GCA Cost Sharing Page or the GIM 21 Cost Sharing Policy.
This page is used to indicate the types and amounts of any cost sharing for this proposal.
Note: When the Fiscal Compliance question F-3 is answered Yes, then cost sharing information is required and the fields will become editable.
Cost sharing occurs when the research grant does not pay for all allowable expenses (personnel, tuition, equipment or services). For detailed information on cost sharing, see the GCA Cost Sharing Page or GIM 21 Cost Share on Sponsored Programs.
When applicable, the PI or department must complete and submit the eGC1 Cost Sharing Addendum to OSP at the time of award. If OSP has not received this form before they send the Funding Action to GCA, then GCA will set up the account with restricted 02 status. GCA will block any related advance budget requests.
Cost Sharing Types
Cost sharing occurs when the research grant does not pay for all allowable expenses (personnel, tuition, equipment or services). For detailed information on cost sharing, review the GCA Cost Sharing Page or the UW Cost Sharing Policy.
See the sponsor’s guidelines for this information. The University discourages cost sharing commitments when not required by the sponsor.
Field
Description
Mandatory
Check this box if mandatory cost sharing is required by the sponsor as a condition of the award.
Amount or percentage pledged
Enter the dollar amount or percentage of the direct cost required for cost sharing by the funding sponsor.
If sponsor has a web page…
Enter the web address (URL) for the sponsor’s page that provides specific information about their requirements, if available. Otherwise, attach appropriate sponsor cost sharing documentation.
Voluntary
Check this to indicate voluntary cost sharing, which is a voluntary contribution of effort or other costs offered by the Principal Investigator (PI) but not required by the sponsor as condition of the award.
Amount or percentage pledged
Enter the dollar amount or percentage of the direct cost voluntarily contributed toward this project. Because the sponsor does not require this as a condition of the award, the University discourages this type of cost sharing.
Explain and justify
Enter an explanation for this cost sharing.
Personnel Cost Sharing
Personnel cost sharing refers to amounts committed by any UW unit for personnel salaries (plus benefits and Facilities & Administrative costs). This table reflects personnel entered on the Personnel screen.
By default, personnel cost sharing is assigned to the individual’s home or primary department. If the cost sharing source is not the home department, click the Change the Cost Center? link to identify the correct unit, and provide an explanation in the Additional Information box on the Certify & Route page.
The information displayed is the person’s name and the Cost Sharing Cost Center ID and Name for the person’s primary department.
Use the Amount field to enter the dollar amount of the cost sharing for this person, for all budget periods combined. If there is no amount, leave the field blank.
UW Cost Sharing (Other)
UW cost sharing refers to non-personnel (non-salary) and “TBA” (to be assigned) Personnel items only. You enter Personnel (salary) cost sharing in the Personnel section.
Add a Cost Center
Click the Look Up Cost Center button to open the Cost Center Chooser and search for and select a department or unit. The selected Cost Center ID and Name will display.
Enter a Description and Amount for this item (direct costs plus the third party’s F&A costs) for all budget periods combined.
To add another department or unit, click the Add another Cost Center link.
Delete a Cost Center
Remove an existing entry by clicking the Delete link to its right.
Addendum Form
In addition to entering cost sharing data on the eGC1, you must complete the Cost Sharing Addendum form and submit it to OSP at the time they are reviewing the application.
Third Party Cost Sharing
Third party cost sharing is an amount that a non-UW source has committed. For each contribution, enter appropriate information and attach a letter of commitment from the third party source on the Attached Documents page.
To add rows, click the Add another Contributor/Subaward Recipient link. Add a Description of the item, and the total dollar Amount (direct costs plus the third party’s F&A costs) for all budget periods combined.
To delete an existing entry, click the Delete link to right of that entry.
Unrecovered F&A Costs
Sometimes the University’s Facilities & Administration (F&A or indirect cost) rate is higher than the rate agreed to on an award. As a result, the University is awarded F&A Costs at lower than the negotiated rate. In this situation, the University ends up with a shortfall called “unrecovered F&A costs.” Some sponsors allow this shortfall to be applied as a cost share contribution.
If you are entering unrecovered F&A costs as cost sharing, you must complete the eGC1 Cost Sharing Addendum form. On the addendum, be sure to indicate the source of cost sharing as “unrecovered F&A costs.”
You may use Unrecovered F&A costs as a source of cost sharing if the sponsor guidelines indicate that “unrecovered F&A costs” are a valid cost sharing contribution or if prior sponsor approval is obtained. See the GCA Unrecovered Indirect Cost Page for more information.
Enter the unrecovered F&A cost amount.
UW Summary by Unit
This section displays the grand total of all UW personnel and non-personnel cost sharing amounts for each UW unit (by Cost Center). The total does not include Third Party amounts.
For each unit, the system displays the Cost Center ID, Cost Center Name, and Amount.
Total Cost Sharing
This section displays the total cost sharing from all UW sources (personnel and non-personnel), third party sources and Unrecovered Facilities & Administration (F&A) costs. This amount is automatically calculated by SAGE.
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. For more information review the FAQ: When should a PI be designated as an Application PI?
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.
Note: If the Application PI only needs access to SAGE to approve applications, there are two ASTRA roles, Non-PI Eligible Researcher, and Researcher Requiring Faculty Sponsor 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 Assurance Statement reads:
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 Principal Investigator/Program Director Assurance 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.
This article covers both UW and non-UW Multiple PIs.
UW Multiple PI
You may only use the Multiple PI role when specifically allowed or required by the sponsor instructions. For additional information on research team roles, review the UW Research Personnel page.
When including one or more Multiple PIs:
Identify the UW Contact PI as the “Principal Investigator” on the eGC1
List all multiple PIs on the Personnel page of the eGC1 and choose “Multiple PI” from the drop-down list
SAGE will add the Multiple 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 Multiple PI role. You will need to give them access so that they can approve the application.
Note: If the Multiple PI only needs access to SAGE to approve applications, there are two ASTRA roles, Non-PI Eligible Researcher, and Researcher Requiring Faculty Sponsor that could be used.
As part of the approval process, the UW Multiple PIs are required to certify the PI Assurance Statement. The image below shows the assurance statement in the approval dialog.
The Assurance Statement reads:
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 Principal Investigator/Program Director Assurance statement 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.
Non-UW Multiple PI
If the Multiple PI is a non-UW person (an affiliate), SAGE will not add them to the approval graph. If they have a NetID, they could be given access to SAGE and added as an ad hoc approver to the graph.
In most cases a non-UW multiple PI will not have a UW NetID. Therefore, the certification will be handled manually following the Non-UW Multiple PI Assurance Statement Instructions described below.
The eGC1 PI is responsible for securing assurance statements for non-UW Multiple PIs.
Non-UW Multiple PI Assurance Statement Instructions
This is used by the system and OSP to classify and organize eGC1 materials. It helps to link related applications to one another (for example, a new application with all its revisions, continuations, and renewals) for improved tracking and reporting.
Select the appropriate type from the drop-down menu. This is a required field.
Application Types
Description
Pre-Application
An application where the sponsor has an evaluation process to screen and determine those applications worthy of an invitation for a full (new) proposal.
New
An application for funding for a project that has never been submitted previously. Also known as a “competing application”.
Transfer from Another Institution
An existing application or award being transferred from another institution or entity to the UW. Equivalent to “new” at the UW, but distinguished separately for reporting and statistical purposes.
Competing Revision
An application for a change to the scope of work an existing project with no further funding obligated by the sponsor.
Non-competing Revision
An application for a change to the scope of work for funds previously obligated by the sponsor.
Resubmission (Previously Denied)
A revision of an application previously submitted and not funded. Similar to other types of revisions, but distinguished separately for reporting and statistical purposes. This is a competing application.
Competing Renewal
An application for the continuation of an existing project with no further funding obligated by the sponsor.
Non-Competing Renewal
An application for funds previously obligated by the sponsor. Usually a progress report to-date on the project.
Supplemental Extension
An application for additional funding for an existing project and for an extension of the current ending date.
Competing Supplement
An application for additional funding for an existing project for funds not already obligated by the sponsor.
Non-Competing Supplement
An application for additional funding for an existing project for funds already obligated by the sponsor and for an extension of the current ending date.
Non-Award Agreement (new)
Non-Award Agreement (continuation)
An application for the following types of non-award agreement:
Confidentiality Agreement
Data Use Agreement
Memorandum of Understanding
Unfunded Collaborative Agreement
Unfunded Research Agreement
Affiliation Agreement
Material Transfer Agreement
Note: select Non-Award Agreement (continuation) to extend an existing agreement beyond the initial term.
When you select an NAA type, you will see a prompt that reads “Budget & Fiscal Compliance entries will be cleared. Do you wish to Continue?” This is to remind you that nothing should be entered on the Budget & Fiscal Compliance page. The system will delete any data that was there.
The system will automatically check the After-the-Fact box for an NAA application type.
For guidance on completing an NAA type application, see OSP’s NAA eGC1 Instructions FAQ.
Note: regardless of application type, if the Sponsored Program Activity Type is “IPA/JPA/Staff Assignment” then the application is non-competing.
Grant RunnerApplication Type Mapping
The eGC1 applications types map to SF424 types as follows:
eGC1 Type
SF 424 Type
Pre-Application, New
New
Transfer, Resubmission
Resubmission
Competing and Non-Competing Revision
Revision
Competing and Non-Competing Renewal
Renewal
Supplemental Extension, Competing and Non-Competing Supplement
The Additional Organizational Unit Reviewers section allows you to add reviewers for joint academic appointments, TBA personnel units, space and/or resources, and any other reason.
The Common Interdisciplinary Organizational Unit Reviewers section allows you to quickly select a unit and add their reviewers.
Note: You should keep the PI and Personnel list up-to-date throughout the life of the research project.
Every eCG1 must have a Principal Investigator (PI) listed on the PI, Personnel, & Organizations page. For additional information on who can be a PI, review the UW Research Personnel page.
Note: The person you select to be the PI must have the SAGE ASTRA role of PI. If the person does not, you will see a dialog warning message. The PI must have this role before you can route the application for approval. Each department manages who may be a PI.
In the case of career development applications there could be a difference in the eGC1 PI and the PI on the sponsor’s application. See the article on the Application PI for more details.
To add the PI, select Look Up Principal Investigator and use the Personnel Chooser to search for the PI. You can enter all or part of the person’s name, or search by their UW NetID or Employee ID (EID). Some individuals have more than one appointment. Use the Academic Appointment Type and Unit information to pick the appropriate one for the project.
Once you add a PI, the Change the Principal Investigator? link displays.
Data for the PI comes from the UW Directory and Workday academic appointment or position information.
Name and Employee ID Number
Selected Unit: The unit associated with the academic appointment or position selected when choosing the PI
Title: Based on the academic appointment or position selected
Primary Position Unit: The unit associated with the PI’s primary position
UW box number: The UW box number for the PI’s primary position
Phone, Fax: The PI’s office phone and fax numbers, if available from the directory
Cell Phone, Pager: This information is optional
Email: The PI’s full campus email address from the directory
Note: If the selected PI has opted out from the UW Directory, SAGE will not pull in email address data. In this case, the email address field will be blank and the preparer will need to manually enter the PI’s email address.
If your project has one or more multiple PIs, see the Multiple PIs article on how to designate them.
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.
Animal Use Question
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 searching for “123”.
When you select a protocol from the results list, the following data displays in the dialog window:
Protocol Number
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:
Allen Institute
Center for Infectious Disease Research (CIDR)
Fred Hutchinson Cancer Research Center (FHCRC)
Seattle Children’s Research Institute (SCRI)
VA Puget Sound Health Care System (VAPSHCS)
Benaroya Research Institute of Virginia Mason (BRI)
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
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.
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.
Copy this URL and share it with others who have direct access to this eGC1.
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.
The sponsor is the entity or agency to which you are applying for funding.
Note: To reduce returns, sponsor information should be checked for accuracy prior to routing an eGC1.
Select the Look Up Sponsor button to open the Sponsor Chooser.
Note: For a Grant Runner application, you will have selected the sponsor in the wizard.
Enter text in the search box. SAGE will look for a match within the following fields:
Sponsor or Agency Name
Acronym
Previous Names
Related Names
Parent Name
The results list will display the following data for each match, if available:
Sponsor or Agency Name
Acronym
Previous/Related Names
Parent Name
Sponsor Type
Select the desired Sponsor from the results list. The modal will close and the data for your sponsor will display in your eGC1.
Note: Sponsors populated in SAGE are also required to be maintained in the Funding Entity Core Data Management (FECDM) database. If the sponsor does not exist in the FECDM database with a Funding Entity ID, an alert will appear in the Funding Entity ID field notifying you that an update is required.
If you cannot find your sponsor or the alert “Update Required” displays in the field, select “Request sponsor setup in Funding Entity System” to request that your sponsor be added to the FECDM database. The following is an image of the form that will open:
Fill out the required fields of Entity Name (sponsor name), Your Name, and Your Email. Also provide the sponsor’s website address, as well as any additional information about the sponsor to be included in the database. Select Submit to send this request to a FECDM administrator; the sponsor will be created in the FECDM database and selected in SAGE within 24 hours.
Once you’ve selected the sponsor, the Sponsor name, Funding Entity ID, Sponsor type, and Parent sponsor name (if there is one) display.
The Sponsor address and contact fields are not required, but we strongly recommend that you fill them in, as the values are used in the sponsor cover letter sent by OSP.
For the Address, City, State, Zip, and Country fields, enter the application mailing address of the sponsor as it appears in the sponsor’s application instructions or enter the name and web address (URL) of the sponsor’s electronic proposal submission system (for example, Grants.gov, Research.gov) in the Address field.
For the Contact Name, Contact Phone, and Contact Email fields, enter the information of the person to be contacted with questions or issues (optional).
The following image shows the Originating Sponsor information:
Note: NAA eGC1s should select No to answer “Does the funding originate from a different entity than the sponsor listed above (flow-through)?”
