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Post Submission Actions
Responsibility: ORSPA-PNT
Prepared by: PNT
Work Instruction Number: WI-SN-40

RA WORK INSTRUCTIONS

Note on Review Status

RAs can verify if a proposal has been completely reviewed by PNT or OIRC GCO in one of two ways:

1. Access the report Proposals Submitted with No Review and search by FP Number in the Find field. If nothing is found, the proposal is fully reviewed.
 

2. Click  in the History section of the ERA Workspace. Check for complete review:
3. If the proposal is NOT fully reviewed, Contact assigned GCO by running the ERA Activity -  asking that they complete their full institutional review of the proposal and continue.

Post Submission Requests in ERA (in response to proposal, prior to sponsor review)

1. If an RA receives post submission request from PI or Sponsor, proceed to step 1.1. If ORSPA receives the request proceed to step 1.2.

1.1. The RA will run the activity  alerting the GCO who submitted the proposal.

1.2. The GCO will run the activity  which changes the state to .

The system will send a notification to the RA alerting them to the request. This will allow the RA and GCO to upload revised documents to the Funding Proposal and update the budget.

1.3. The RA and GCO will determine which items are the responsibility of the GCO and which are the responsibility of the RA.

1.4. Once in the state of  the RA will communicate with the GCO using .

1.5. The RA will send the completed sponsor documents to the PNT GCO using the activity .

1.6. RAs should not run the activity . Doing so will cause the proposal to leave the PNT GCO’s My Inbox and may cause the Sponsor Request to be delayed. Once all sponsor requested changes have been made and the sponsor has received the updated information. The PNT GCO will run the activity .

Post-Submission Requests in ERA (in response to revised budget requested by sponsor/AMT at time of award)

Follow the instructions in 1. above.

ASU Post submission requests in ERA (investigator/allocation changes, prior to awarded)

1. If an RA receives post submission requests from the PI, Unit or other Investigator to change allocations or investigator(s):

1.1. The RA will run the activity which changes the state to .

This will allow the RA to edit the Funding Proposal and change investigators and/or allocations.

1.2 Once changes are made, if Department Reviews are incomplete, the RA should review the Dept Reviewers tab to determine what steps are needed:

1.2.1 If no affected reviewers have completed their review AND no new Investigator/Approver/Unit/Center is affected, proceed to step 1.5.

1.2.2. If any Investigator/Approver/Unit/Center is added to the proposal AND no affected Investigator/Approver has completed their review, use the activity to include all new Investigators and/or appropriate Department/College/Center approvers.

1.2.3. If any reviewers who are affected by these changes have completed their review, proceed to step 1.3.

1.3 If Department Reviews are complete or there are investigators/approvers who have already completed their review and are impacted by these changes, the RA should run the activity The previous review will be archived.

1.4. The RA can run the activities and to capture approval for the new changes. Any reviewer who is unaffected by the changes should be removed prior to the RA submitting for Department Review.

1.5 After Department Reviews are complete, the RA must run the activity . Doing so will cause the proposal to leave the RA's My Inbox and will revert back to the state .

1.6 If it is necessary that the Sponsor be notified of the change(s), the RA must run the activity to request assistance or action from the assigned GCO.

*NOTE: An ASU Post Submission Request cannot be made to a proposal in an awarded state in which case the RA will need to prepare an Investigators and/or Allocation Change (IAC) form and obtain approvals by e-mail from all impacted investigators, departments, and colleges.

PNT WORK INSTRUCTIONS

This Work Instruction contains the following sections:

Post Submission Task Definition & Types

Representations and Certifications

At-Risk Pre-Award Requests

Post Submission Request Processing

Post Submission Task Definition & Types

Requested actions of Pre-Award Grant & Contract Officer (GCO) and Research Administrator (RA)/ Principal Investigator (PI) following proposal submission and prior to receipt of formal notice of award for review and/or negotiation. The period of time after submission of a proposal and before receipt of an award or receipt of notification to fund or deny funding will vary.

In situations where the sponsor indicates an intent to fund - also referred to as notice, NOGA (Notice of Grant Award), NOA (Notice of Award) – the proposal GCO should upload the document to the affiliated ERA Grants site and update the site to Award Anticipated using the  action.

Post Submission actions may involve any of the following:

REPRESENTATIONS AND CERTIFICATIONS

1. Representations and Certifications – At times, a GCO may receive a request from a sponsor to complete a representation or certification form. When a GCO receives this type of request, refer to WI-SN-10.

At-Risk Pre-award Requests

1. At-Risk Pre-Award Requests - Refer to Processing Pre-Award and Post-Award At-Risk Requests Job Aid.

Post Submission Request Processing

1. If a GCO receives post submission request from Department or Sponsor

1.1. The GCO or RA can run the activity  which changes the state to .

The system will send a notification to the RA alerting them to the request. This will allow the RA and GCO to upload revised documents to the Funding Proposal and update the budget.

1.2. The RA will manage, sharing with the GCO as appropriate including status updates, form completion, etc.

1.3. The RA will send instructions regarding the completed sponsor package to the PNT GCO using the  action. PNT GCO will review and manage.

1.4. Once all sponsor requested changes have been made and the sponsor has received the updated information. The PNT GCO will run the  action. ERA automatically changes application state from  to .

NOTE:

• Post Submission requests are managed by the GCO who submitted application unless GCO requests reassignment to ensure timely processing.

• After running  activity ERA automatically changes application state from  to .

• The first time ERA activity  is run for a proposal, the RA and GCO are automatically notified by email. When the ERA activity is run subsequently, the RA and GCO are notified by updates to their ERA “My Inbox”.

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