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Grant Information

Tools to Use – UW Systems
Proposal Timelines
New PI Orientation - basics
Sponsor Systems & Information
Frequently Requested Information
         Grad student costs
         M&E Statements
         Airfare on federal funds – Fly America / Open Skies


Tools for your use - UW Systems

  • SAGE (System to Administer Grants Electronically) – Proposal routing system at the UW.
  • FIDS (Financial Interest Disclosure System) – System for declaring financial interests that may conflict with grants.
  • FECs (electronic Faculty Effort Certification) – System for certifying faculty effort allocations – all other salary is certified on GCCRs, even for staff PIs.
  • MyFD (MyFinancial Desktop) – UW accounting system interface – see budget balance as of today, past transactions, list of budgets.  This system is an overlay on FIN.  It has both its own functionalities that uploads data changes to FIN and receives a new download of data from FIN nightly.
  • FIN – The legacy accounting system where data resides.  Access is limited and only via Secure CRT terminal software.
  • MyResearch – System for tracking internal actions on grants and status as well as Training records.
  • GrantTracker – System by which GCA communicates with campus about grant budgets; financial reports and sponsor invoicing are handled here.
  • Ariba/eProcurement – Primary system for buying goods & services for UW work.
  • PaymentNet – ProCard login for managing and reconciling ProCard charges on JP Morgan site.

Other Systems to be aware of:

  • UWFT (UW Finance Transformation) – The effort to replace our financial systems, including FIN & MyFD as well as Ariba and many other systems.  Scheduled to launch in July 2022.
  • OASIS – On Line Asset System – UW Fixed Asset (equipment) Management System.  This system tracks tagged equipment (costing $5,000 or more) as well as having information on previously tagged items (costing between $2,000 & $5,000).

Proposal Timelines

source: GIM 19, Physics policy

Proposal Schedule Calculator

  • At least 4 weeks before Sponsor Deadline: notify Grants Team that you may be/are submitting a proposal – preferably as soon as you start thinking about it
  • 15 business days before Sponsor Deadline – Submit:
    • grant opportunity announcement
    • PI and Co-PIs names
    • contact info for other departments if any are involved
    • full and short titles (22 char or less incl. space)
    • start and end dates of project
    • draft budget info (who, how long, trip lengths/destinations, amount for supplies/equip/machine shop/pubs/other services, amount for each subawardee by year, applicable indirect rate and why if not on-campus, differentiate fabrication/participant support details noted above) – we formulate budgets in an Access database with pdf reports, so we don’t generally have an excel spreadsheet to share with you.
  • 12 business days before Sponsor Deadline – Approve final budget (including subaward budgets)
  • 10 business days before Sponsor Deadline – Send all components to Grants Team.
    • Business components (final) are defined by OSP as:  Budget, Budget Justification, cost share commitments, facilities statement, biosketches, draft subaward proposal, current & pending support, and FIDS.
    • Send draft version of components listed in Final Science below.
  • 9 business days before Sponsor Deadline – draft due in Dean’s office by 5:00 pm (after PI and Dept approvals)
  • 3 business days prior to Sponsor Deadline - final science is due to Grants Team, typically by 1pm depending on the complexity and number of proposals being handled that day. Grants Team typically needs by 1:00 pm depending on our availability/workload.
    • Final Project Summary, Final Project Description, and Final References
    • Signed letters of support
    • Signed subaward proposals (recommend deadline to them of COB prior to this)
    • Postdoc Mentoring Plan
    • Data Management Plan
  • Note: you should be available to the grants team between your submission of final science documents and when it is due in OSP in case they have questions or find problems that need your correction.  If you will not be available, you should consider finalizing your science documents earlier so that you are available.
  • Sponsor Deadline - due to sponsor.  Note that for subcontracts, this deadline is likely earlier than the prime sponsor deadline based on their required routing timelines.  For subcontracts, this date is our first question since it determines all of our earlier deadlines.

New PI Orientation - Brief basics of grant fiscal responsibilities

Training - records on Training Transcript
  • Grants Management for Investigators (formerly Faculty Grants Management)

    • training required for new PIs within 12 months of submission of first proposal
    • refresher required every 4 years – online training
  • FCOI training required for PHS-funded investigators (prior to proposal) and recommended for all investigator-level personnel.
    • FCOI policy can be found under GIM10.
  • Responsible Conduct of Research is required for various employees on NSF, NIH and NIFA grants.
    • NSF requires that all postdocs, grads and undergrads paid on NSF grants take RCR training – this is offered via the Collaborative Institutional Training Initiative (CITI).
      Instructions for registering can be found on this UW page.  In Step 7 of registering, undergrads, grads & postdocs alike should choose: "Graduate study and receiving funding from the National Science Foundation (NSF)".  On the page following this, they should select the Physical Sciences.  This will get them into the Physical Sciences version of the RCR course.
    • NIH requires that all pre- and post-doctoral researchers on certain award types (or as required in the FOA) take this training.  This is met through the Biomedical Research Integrity Program.
    • National Institute of Food and Agriculture (NIFA) requires that all Investigators take the RCR training – UW uses the CITI training for this requirement  - see instructions in the NSF bullet above.
  • Various lab safety and university safety trainings are also recorded on Training Transcript
Grants – Resources & Offices
Grants - Proposals
  • Timelines – Departmental, Dean’s office and OSP requirements on timeline as given in this spreadsheet.
  • OSP has sole authority to submit proposals;  awards are made to UW
    • PI is key but is not the recipient and can’t submit without approval of OSP
    • budget is subject to OSP approval and if the PI locks in a total budget amount via early draft budget negotiations with the sponsor, the PI needs to determine what adjustments to make to balance the proper calculations to the total agreed upon by the sponsor.
  • Internal approvals and communication on SAGE (each proposal reported on an eGC1 coversheet)
  • Proposal either developed in parallel on sponsor system or attached to eGC1 in SAGE if self-contained such as pdf files to be submitted by email
    • Dept and College reviewers have no access to sponsor system typically, so a full print of the proposal to be submitted is attached to the eGC1
    • For PI-submitted proposals (no routing through OSP), a full representation of the proposal to be submitted must be approved by OSP prior to submission.
    • “Paper” proposal essential components – (a) cover page, (b) Scope of Work, (c) Budget, & (d) Budget Justification as well as any other components required by the sponsor or needed by the prime proposer (where we are a subaward) to submit their proposal to a prime sponsor.
  • Pre-Proposals may require an eGC1 if OSP is involved in submission or if more than a lump annual estimate of grant costs are included (i.e. details on budget are required)
    • NSF may
    • DOE usually does not
  • FIDS disclosure is required at each proposal (request generated automatically) and occasionally manually if no other disclosure has been done in 1 year but an action such as a No-Cost Extension requires it.
Grants – Responsibilities/Approvals

Routine certifications/approvals - PI is made responsible by UW for all spending on grant budget – the Grants team is here to assist you in fulfilling these duties and meeting the sponsor and University requirements.  If you have questions, please email us or request a meeting.

  • Delegations – some things can be delegated but only by clear and specific delegations put on record with the Grants Manager (so that they are available in an audit).  Can be simply an email.
  • All purchases/travel/payments/salaries must be approved by PI or delegate prior to incurring expense – where this happens depends on the system
    • Ariba – requisition/travel Expense Report/BPO receiving is routed to PI/delegate
    • ProCard – email should be included in purchase paperwork where PI is not the cardholder
    • Payroll – approval emails are kept on file
    • Transfer of expenditures – approval emails are kept on file
  • Proposals – approved in SAGE

  • FEC – Faculty Effort Certification – made each 6 months (Autumn-Winter and Spring-Summer) – faculty certify their own grant/contract effort, regardless of budget PI
  • All other salary (including PI salary by ProStaff) is certified quarterly on GCCR (Grant and Contract Certification Report - currently paper).  Calendar quarters (Jan-Mar, Apr-Jun, Jul-Sep, Oct-Dec).
  • Monthly expense reviews on all grant budgets in MyFD should be completed within 60 days of the end of the month.
  • Certification of fabrication costs for Fab JV annually and at end of project.
Projections & Planning
  • Our aim is do projections every 3 months for each PI (on a rolling basis).
  • If you have an imminent need to know about a particular budget, please let us know the budget, your deadline, and the event driving your time frame.
Grants – Pre-Award Spending
  • A number of federal sponsors (not National Labs) allow pre-award spending at the UW’s risk up to 90 days prior to the start of an award.
  • We can sometimes set up Advance budget numbers prior to the receipt of an award or book to a temporary budget.
Grants – Fabrication
  • If we build a piece of equipment (costing >$,5000 and having a useful life > 1 year), the entire thing is exempt from overhead.  However, only specific costs go into the cost of the equipment.  Tools, consumables, and R&D to figure out how to build it are not part of the piece of equipment.  Costs are tracked item by item for each piece of equipment, so if you have more than one item on a fabrication budget, it is good to start differentiating costs from the beginning.
Grants – Expenditures – Personnel
  • Costing allocations (what percentages of salary to charge and on what budget for a given time frame) for personnel is due prior to the start of the earliest pay period concerned.  Changes can be made until payroll cutoff.  After cutoff, explanations for the error will be needed as these are subject to extra scrutiny in an audit.

    • Costing allocation (original or updates/extension) may be solicited by the Payroll Coordinator, the Grants Manager, the Assistant to the Chair, the Administrator, the Graduate Advisor, or others
  • The time frame for new hires depends on the type of appointment and possibly the candidate we hire if a visa will be involved.  See Faculty Appointments (faculty & postdocs), Graduate Advisor (all grad RA/TA/GRSA summer hourly appointments), or Staff Appointments (all else) on Administrative Contacts page for who to contact.
  • Faculty appointments and Postdocs must by intitiated by contacting the Assistant to the Chair.
  • Grad offers are made for either a single quarter or for an entire academic year.  Graduate Advisor solicits appointment offers prior to each quarter
  • Staff Appointments (hourly, project appointments, permanent staff ) must be initiated by contacting the Administrator.
  • Stipend offers for research participants (benefiting the student’s development more than pushing the research along) also go through the Administrator.
Grants – Expenditures – Purchasing/Travel
  • Avenues

    • Ariba / eProcurement – anyone can create a requisition which will route for approvals
    • ProCard (apply on Ariba – “Create” a “Card Application”)
    • eReimbursement (after paying personally for small, uncomplicated items) – submit to Alexis Hall or student workers
    • Travel – CTA (Central Travel Account – contact Huimei Wu
    • Travel – use Personal card or UW Travel card and submit Expense Report details and receipts – use Travel form on Physics page
  • Policies
  • Provide the correct budget number (always) and Project Code (if applicable) to be charged.
  • Documentation is nearly always required for purchases – includes PI approval, itemized invoice, payment receipt, and someone with first-hand knowledge vouching in writing that the items/services were received.
  • Travel policy @ UW
    • Federal funding includes requirements about using U.S. carriers on foreign travel as well as unrestricted fares (if travel is cancelled/changed).
    • UW policy is very specific about car rentals and insurance that can be reimbursed
    • Send new travelers to see Huimei Wu prior to their first trip for an orientation on basics about UW travel costs and booking.
Grants – Management & Compliance
  • Rules that apply – PAFC Hierarchy of regulations
  • Prior Sponsor Approvals – various sponsors have different requirements, but the following often require sponsor approval as given in Uniform Guidance:
    • Change in the Scope of Work or objective
    • Change of a key person in the proposal
    • Absence of the PI for more than 3 months or a reduction of time committed by 25% or more by the PI (includes Co-PIs for NSF). This is measured by salary time requested vs. effort performed as evidenced by the FEC (either by salary on the budget or cost-shared to the budget after the fact).
    • Inclusion of costs that require prior approval as given in Part E
    • Transfer of funds for Participant support costs to other categories
  • Per Uniform Guidance 2 CFR §200.405, costs chargeable to one federal project may not be charged to another to overcome funding deficiencies – in short, this means you can’t move a cost simply because there aren’t enough funds left on the original budget.  Consequently, we stress that planning and abiding by those plans made via projections should be adhered to, or the plan should be revised prior to charging additional expenditures to a budget.
  • Annual reporting – federal awards (and others depending on requirements) have annual reporting requirements – these should be completed in a timely fashion to avoid delays in new funding.
  • Closeout – copies of final reports other than NSF (which are easily accessible/retrievable) should be submitted to the Physics Grants Team along with evidence of the submission date for grant records.  Frequently there are requirements for this/these reports to be submitted to other parties beyond the Program Manager.
General Admin
  • Who Does What – see Administrative Contacts page
  • CENPA has different contacts and processes for transactions on budgets in the CENPA Org code.
  • Projects conducted in the North Physics Lab building but charged to budgets outside of the CENPA Org code should follow the above.
  • UW fiscal periods to note:
    • UW pay periods: 1-15th of the month (paid on 25th), 16th – end of month (paid on 10th)
    • UW payroll quarters – 6 pay periods each:
      o    Autumn (9/16 – 12/15)
      o    Winter (12/16 – 3/15)
      o    Spring (3/16 – 6/15)
      o    Summer (6/16 – 9/15)
    • Calendar quarters – Jan-Mar, Apr-Jun, Jul-Sep, Oct-Dec
    • UW fiscal year: Jul 1 – Jun 30 (for example, 7/1/2019 – 6/30/2020)
    • Washington State biennium: start in odd year and named for beginning year
      o    Biennium 19 runs 7/1/2019 – 6/30/2021

Specific Sponsor Info & Systems

Multi-agency Info
  • SYS Grants.gov – solicitations and proposal submission to many agencies

    • PI does not need an account, input typically by Physics Grants Team
    • Access: account setup by individual (REGISTER in upper right), role with UW requested of OSP via Profile
  • INFO Research Terms & Conditions – federal agencies that have agreed to reduced administrative burdens via Expanded Authorities
  • INFO Federal Demonstration Partnership – recipient organization – members agree to reduced administrative burdens for subawards made between members.
DOE
NIH
  • Proposals via SAGE GrantRunner (SAGE does it all)
  • Supplements via eRA Commons (non-Competing) or Grants.gov (Competing)
  • SYS eRA Commons – Award and reporting system, request non-competing supplements
    • Access set up by OSP (request via Physics Grants Team as we can vouch for you)
  • SYS ASSIST – a newer NIH system for submitting proposals via Grants.gov
    • Access via an eRA Commons login
  • INFO NIH Grants page – info about grants from NIH
NSF
  • SYS Research.gov – Emerging NSF system for reporting, proposals & other requests

    • Access set up by OSP (request via Physics Grants Team as we can vouch for you)
  • SYS FastLane – Legacy system with some remaining functions
    • Accessed only from Research.gov login
  • INFO PAPPG 20-1 for proposal guide and post-award requirements
  • INFO new Biosketch format
  • INFO new Current & Pending Support format
DOD – ARO, AFOSR, Army Corps of Engineers, ONR, etc.
  • SYS Grants.gov – proposals/solicitations – as above
NOTE:  Some agencies or private foundations have their own web applications
  • Proposals still need to be approved by OSP before they are submitted by the PI

Frequently Requested Information

  • Graduate student costs – spreadsheet of grad rates, benefits, overhead, tuition and total annual cost for the past few years and estimated for the coming year or two.
  • M&E – Machinery and Equipment Sales Tax Exemption on EIO
    M&E Statement examples on EIO’s page – statements must detail the type of research and the desired outcome.  These two together qualify the work.
  • Airfare on federal funds
    • Per the Fly America legislation, airfare on federal funds generally needs to be on a U.S. carrier or via a code-shared flight (flight number starts with indicator for a U.S. airline regardless of operator or who sold the ticket).
    • Open Skies agreements with Japan, Switzerland, Australia, and the E.U. open these destinations to carriers from those respective countries.  E.U. agreement includes Iceland and Norway and allows E.U. carriers to serve any destination if the trip stops in the E.U./Iceland/Norway.  E.U. agreement also allows E.U. carrier if traveler has no access to City Pair contract fares (non-U.S. government traveler).  If a City Pair exists for destination (final, not connection point) in Japan, Switzerland or Australia, a U.S. carrier is still needed even if the traveler cannot use the City Pair contract fare.
    • Sources:
      o   NSF’s presentation of Fly America Act / Open Skies agreements
      o   GSA site on Fly America
      o   U.S. Dept of State page on Open Skies Agreements (but not all qualify for Fly America according to Wikipedia, thus the difference between GSA and Dept of State listings).
      o    Useful but not authoritative Wikipedia page on Fly America
    • If you have concerns about a particular situation, please consult with Andrew on the specifics of the case.
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