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In an attempt to improve customer service and increase transparency of internal processes, the Office of Research Services Pre-Award team has put together a table describing what information is required for a complete review and our internal turnaround times for review associated with several processes. Please note that you can help us help you by ensuring that all the required information is included in your submission to ORS!

ORS turnaround expectations matrix

Review Type

Departmental Responsibilities

ORS Responsibilities and Response Times

Proposal

Submit Proposal to ORS in Final form 3 business days before the sponsor’s deadline.  Proposal in final form includes:
1. Research plan in Final format;
2. Sponsor/Institution requirements have been verified; 
3. PI and BA Certifications have been completed as well as any other institutional forms (i.e. Cost-share forms).
4. Any sponsor forms/face pages that require institutional sign-off are uploaded;

BA/PI must notify ORS in advance if proposal submission will not meet the 3 business day review deadline. Please indicate when the proposal will be final and available to ORS for review.

Pre-award Associate Director reviews proposal for compliance with Sponsor guidelines and University policy.

If complete proposal (research plan in Final format) is received by 12 noon, circumstances permitting, the proposal will be reviewed and submitted to sponsor before the end of the day. If not submission will be complete first thing the following morning.

Just in Time

BA/PI prepares JIT documents in response to sponsor’s requirements. For NIH JIT, BA/PI must upload JIT documents to grant in Era Commons; BA/PI notifies Associate Director that JIT is ready for review and submission.

For all other sponsors that use the JIT feature, the BA/PI must prepare and forward JIT materials to Associate Director for review and submission to the sponsor.

For PHS funded grants BA/PI should complete PHS-FTS.

Associate Director reviews JIT for compliance with sponsor’s requirements. JIT will be submitted within 1 business day of receipt from BA/PI.
Verifies IACUC congruency with the Office of Regulatory Affairs;

Non-competing Proposal

1. Submit Non-competing proposal (Child Record);
2. Ensure that Sponsor/Institution requirements met including PHS/FTS within 2 weeks of submission;
3. Ensure that PI and BA Certification have been completed;
4. For NIH grants, EraCommons RPPR routed to Associate Director for review. For all other Era systems where Signing Official review and sign-off is required, the progress report should be routed to the appropriate Pre-Award Associate Director.

Pre-award Associate Director reviews proposal for compliance with Sponsor reporting guidelines and submits to sponsor, as applicable.
Non-competing proposals received by 12 noon will be reviewed and submitted to sponsor before the end of the day.       

Incoming Federal Grant Award

If the grant award is received by department please forward to pennaors@lists.upenn.edu with a cc to your Pre-award Associate Director;
For PHS Funding, ensure that PHS-FTS is up to date and that the PI list has been certified within 2 weeks of notification . 

 AIS will be generated within 4 business days of receipt in ORS following ORS verification of:
1. PHS-FTS completion;
2. IRB/IACUC approvals are in place; if IRB is pending a 75% restriction is place on award.

Incoming Contract/Foundation Award/Non-Monetary Agreements and Subawards

If a contract, foundation award or incoming subaward agreement is received by department, forward to ORS at pennaors@lists.upenn.edu with a cc to Pre-award Associate Director. Inform ORS of any concerns with terms and conditions, dates, dollars amounts or any other issues.

 

 

All non-monetary agreements must be entered into the Research Inventory System (RIS) under NMA/MTA. 

Within 10 business days of receipt of contract the ORS Pre-award Associate Director will review agreement for compliance with University policy, address contract concerns with PI, communicate request for contract changes with sponsor.

Upon execution/finalization of the contract/foundation award/subaward ORS will complete AIS set-up.
If a contract is not included in the request, ORS will contact the outside party within 10 business days to obtain an agreement and start negotiations.

Outgoing Subawards

Submit a complete subaward request to ORS within 60 days of receipt of AIS.  A complete request includes budget, statement of work, IRB/IACUC approvals .
Requests should be entered into the  Research Inventory System.

If request is sent to subawardee for completion please note that the link provided is valid for 21 days. BA must follow-up with subrecipient to ensure timely completion of the subaward request so that it moves to ORS for issuance of the subaward agreement

Complete subrecipient monitoring (entity and project risk assessment);
Verify IRB/IACUC approvals are current at both sites as applicable;
Verify whether subrecipient has a complaint PHS FCOI policy in place.  If not, coordinates with Research Integrity Office.

ORS will complete this initial review  initial review and make contact with the Subrecipient Instituion within 10 business days of receipt of the complete request. 

 

 

 


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