RESEARCHUVA: GROUPS - ACTIONS - STATUS |
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Group Name-Category in Actions Box |
Action type |
Action Sub-Type |
Definitions for Action Type |
Final Status List |
Proposal |
Proposal |
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Official document issued by UVA and submitted to sponsor in response to solicitation for a specific funded research project. |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing |
Post-Proposal |
At-Risk Preliminary |
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At-Risk preliminary actions are used for the initial creation of a PTAO when funding has been assured by a sponsor and work and expenses have been approved by the Dean's Offfice, but official award documents have not yet been received and no account currently exists in the Integrated System.
(may apply to DOD or other sponsors) |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing
________________________ |
Post-Proposal |
Just in Time / Pre-Award Docs |
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Sponsor is moving forward with award notification or proposal acceptance and requires additional information. Just in time could be any one or more of the following: Revised Proposal Budget, Other Support, IRB approval, IACUC approval, Human Subjects education, Human embryonic Stem Cells, Genomic Data Sharing, SBIR/STTR certification, etc. |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing
________________________
Action Needed Sponsor
Submitted to Sponsor |
Post-Proposal |
Offer Acknowledgement |
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Sponsor, other than NIH, is moving forward with award notification or proposal acceptance and requires additional information, like any one or more of the following: Revised Proposal Budget, Other Support, IRB approval, IACUC approval, Human Subjects education, Human embryonic Stem Cells, Genomic Data Sharing, SBIR/STTR certification, ACH Form, W-9, other acceptance documents, etc. |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing
________________________
Action Needed Sponsor
Submitted to Sponsor |
Post-Proposal |
Activation/Payback |
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Activation/Payback documentation that NIH requires the Fellow to complete, AOR to approve and return prior to issuing the award. |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing
________________________
Action Needed Sponsor
Submitted to Sponsor |
Award |
At-Risk Account/Extension |
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At-Risk extension actions are used for the continuation of a PTAO when funding has been assured by a sponsor and work and expenses have been approved by the Dean's Offfice, until official award documents are received. This may or may not require a new PTAO. |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing
________________________
Action Needed Sponsor
Submitted to Sponsor |
Award |
Internal Systems Mod (ISM) |
Pre-award costs
No-Cost Extension
Budget Transfer
Internal Budget Transfer / Internal Projects
Other
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Updates needed to UVA systems (ResearchUVA, Oracle) that do not require sponsor approval, such as, Pre-award costs, NCE, budget transfer, internal project additions, etc. |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing
________________________
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Award |
NOA Bilateral - New |
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Sponsor issues award, subject to an agreement signed by both parties (or multiple parties). Typically, terms need to be negotiated.
Question: How do we distinguish Clinical Trials? Pull research type clinical trial and display it |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing
________________________
Initial Draft/Review in Process
Initial Draft/Review: Action Needed Sponsor
Initial Draft/Review: Action Needed UVA
Initial Draft/Review: Action Needed School
1st Redlines/Initial Draft to Sponsor
Negotiation in Process
Negotiation in Process: Action Needed Sponsor
Negotiation in Process: Action Needed UVA
Negotiation in Process: Action Needed School
Signature in Process: School
Signature in Process: Sponsor
Signature in Process: UVA
Fully Executed |
Award |
NOA Bilateral - MOD |
Change PI / Key Personnel
Change Scope
Pre-Award Costs
PI/Award Transfer
Change Sponsor
Early Termination
Revised End Date
Rebudgeting/Carryforward
Other |
Modification or Amendment to the award that requires agreement/signature by both (or multiple) parties.
Question: How do we distinguish Clinical Trials? Pull research type clinical trial and display it |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing
________________________
Initial Draft/Review in Process
Initial Draft/Review: Action Needed Sponsor
Initial Draft/Review: Action Needed UVA
Initial Draft/Review: Action Needed School
1st Redlines/Initial Draft to Sponsor
Negotiation in Process
Negotiation in Process: Action Needed Sponsor
Negotiation in Process: Action Needed UVA
Negotiation in Process: Action Needed School
Submitted to Sponsor
Signature in Process: School
Signature in Process: Sponsor
Signature in Process: UVA
Fully Executed |
Award |
NOA Unilateral - New |
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Sponsor accepted proposal (including JIT or other revisions prior to award) and provided terms that are accepted upon receipt of NOA or funds. Typically, no negotiation of terms is required. |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing
________________________
Action Needed Sponsor |
Award |
NOA Unilateral - MOD |
Change PI / Key Personnel
Change Scope
Pre-Award Costs
PI/Award Transfer
Change Sponsor
Early Termination
No Cost Extension/ End date extension
Supplement
Rebudgeting/Carryforward
Other |
Modification or Amendment to the award that has sponsor pre-approval. UVA may or may not need to submit a request for a change to the original agreement.
Question: How do we distinguish Clinical Trials? Pull research type clinical trial and display it |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing
________________________
Action Needed Sponsor
Submitted to Sponsor |
Award |
Reporting |
Financial Reporting
Invention/Patent Reporting
Progress/Technical Reporting
Property/Equipment Reporting |
Reports that may or may not require investigation and approval by AOR, and may or may not need to be uploaded into sponsor portal. |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing
________________________
Submitted to Sponsor
Submitted to Sponsor System |
Financial Info |
Cash Funding Adjustment |
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(“Budget Bump”) initiated by the Post-A cash team |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing |
Financial Info |
Cost Share Companion Account |
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Request to set up a companion PTAO for cost sharing; initiated by Pre-A and assigned to Post-A compliance team. |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing |
Financial Info |
Expenditure Credit |
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Vendor refunds are issued as payments that need to be posted to the PTAO as credit to the original expenditure. This action is initiated by the Post-A cash team and assigned to Post-A accountant (Award Manager). |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing |
Financial Info |
Federal Costing Exception Request |
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Project has restrictions on expenditures via transaction controls. Departments request to lift the restriction on the expenditure type, received at ospnoa or osppost award email and assigned to Post Award accountant (Award Manager). |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing |
Financial Info |
Payment |
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When a payment received by the Post-A Cash team requires an action by the Post-A accountant (need invoice to apply cash), this action will be used. This action is also used when Post-A Cash team determines that the Pre-A/Contract team need to create a PTAO in Oracle for Post A accountant to generate invoice and apply cash. |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing |
Financial Info |
Refund |
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When a sponsor needs to get a refund from UVA, this action will be used; it will be initiated by the Post-A accountant….assigned to Post-A cash team. |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing |
Financial Info |
Residual (RG) |
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Fixed price contracts, including clinical trials, or other awards where UVA gets to retain unspent balance on a sponsored project, this action will be used. This will be initiated by the department and assigned to Post-A. |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing |
Non-Funded Agreements |
Academic Program Agreement - Mod |
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Modification or Amendment of the Agreement type described above. |
Refer to "NOA Bilateral - Mod" Statuses |
Non-Funded Agreements |
Academic Program Agreement - New |
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Any contract or expression of intent between the University and another institution or organization to establish a joint educational program, a collaborative academic relationship, or a research activity unrelated to approved sponsored research. OSP may or may not be the appropriate signatory. If a request is submitted to OSP, we will coordinate and/or communicate with other offices as appropriate. Refer to: http://uvapolicy.virginia.edu/policy/fin-035 and http://provost.virginia.edu/guidelines-developing-some-common-types-acad... |
Refer to "NOA Bilateral - New" Statuses |
Non-Funded Agreements |
CDA/NDA - Mod |
Incoming
Outgoing
Mutual |
Modification or Amendment of the Agreement type described above. |
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Non-Funded Agreements |
CDA/NDA - New |
Incoming
Outgoing
Mutual |
An agreement to keep certain information confidential. These can apply confidentiality obligations only to one party (unilateral) or can apply the obligations to both parties to the contract (bilateral). |
Refer to "NOA Bilateral - New" Statuses |
Non-Funded Agreements |
Collaboration Agreement - Mod |
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Modification or Amendment of the Agreement type described above. |
Refer to "NOA Bilateral - Mod" Statuses |
Non-Funded Agreements |
Collaboration Agreement - New |
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An agreement to conduct research, where both parties bear their own costs. |
Refer to "NOA Bilateral - New" Statuses |
Non-Funded Agreements |
Consortium or Membership - Mod |
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Modification or Amendment of the Agreement type described above. |
Refer to "NOA Bilateral - Mod" Statuses |
Non-Funded Agreements |
Consortium or Membership - New |
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An agreement that supports cooperative research efforts conducted by various universities, research institutes, government, and/or industry partners. These agreements do not have specific funding included, but rather outline the general framework of how the collective group will interact with respect to research. |
Refer to "NOA Bilateral - New" Statuses |
Non-Funded Agreements |
DUA - Mod |
Incoming
Outgoing
Mutual |
Modification or Amendment of the Agreement type described above. |
Refer to "NOA Bilateral - Mod" Statuses |
Non-Funded Agreements |
DUA - New |
Incoming
Outgoing
Mutual |
An agreement to receive data from another party. An agreement to send data to another party. An agreement to receive data from another party and to send data to another party. |
Refer to "NOA Bilateral - New" Statuses |
Non-Funded Agreements |
Intellectual Property Agreement - Mod |
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Modification or Amendment of the Agreement type described below. |
Refer to "NOA Bilateral - Mod" Statuses |
Non-Funded Agreements |
Intellectual Property Agreement - New |
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An agreement to define the management of IP for a specific program per sponsor requirements. |
Refer to "NOA Bilateral - New" Statuses |
Non-Funded Agreements |
License Agreement - Mod |
Incoming
Outgoing
Mutual |
Modification or Amendment of the Agreement type described above. |
Refer to "NOA Bilateral - Mod" Statuses |
Non-Funded Agreements |
License Agreement - New |
Incoming
Outgoing
Mutual |
An agreement to provide or obtain the right to use certain software or other proprietary assets for research purposes without any charge ($0). (Note: License Agreements where payment is exchanged will be handled by the UVA Licensing and Ventures Group or Procurement Services, as appropriate.) |
Refer to "NOA Bilateral - New" Statuses |
Non-Funded Agreements |
Loan Agreement - Mod |
Incoming
Outgoing
Mutual |
Modification or Amendment of the Agreement type described above. |
Refer to "NOA Bilateral - Mod" Statuses |
Non-Funded Agreements |
Loan Agreement - New |
Incoming
Outgoing
Mutual |
An agreement to provide or obtain physical assets for research purposes without any charge ($0). (Note: Loan Agreements where payment is required will be handled by Procurement Services.) |
Refer to "NOA Bilateral - New" Statuses |
Non-Funded Agreements |
MTA - Mod |
Incoming
Outgoing
Mutual |
Modification or Amendment of the Agreement type described above. |
Refer to "NOA Bilateral - Mod" Statuses |
Non-Funded Agreements |
MTA - New |
Incoming
Outgoing
Mutual |
An agreement to receive materials from another party. An agreement to receive materials from another party and to send materials to another party. An agreement to send materials to another party. |
Refer to "NOA Bilateral - New" Statuses |
Non-Funded Agreements |
Teaming Agreement - Mod |
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Modification or Amendment of the Agreement type described above. |
Refer to "NOA Bilateral - Mod" Statuses |
Non-Funded Agreements |
Teaming Agreement - New |
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An agreement to work together for a specific purpose; typically, the parties agree to work together to respond to a Request For Proposal (RFP) issued by a government agency. |
Refer to "NOA Bilateral - New" Statuses |
Outgoing Subcontracts |
Outgoing Subcontracts Request
New |
Cost Reimbursement
Fixed Price
Clinical Trial
Other |
Extra-mural research collaboration is documented with a binding agreement (Subcontract or Subaward Agreement) signed between UVA and the external collaborator.
Based on the Prime Agreement terms, the Subcontract/Subaward Agreement is issued as any of the following options:
Cost Reimbursement: Reimbursement to the Subrecipient is based on actual encurred costs, after Subrecipient submits an invoice. Invoicing frequency is normally either monthly or quarterly.
Fixed Price: Reimbursement to the Subrecipient is based on actual deliverables and performance. This type of agreement is used when a) the Prime Agreement allows UVa to issue this type of agreements, and b) if the Subrecipient is deemed high risk of non-compliance with Sponsor's regulations, and the preferred method to monitor Subrcipient's performance is through the execution of the scope of work.
Clinical Trial: Study approved to include Human Subject Research ad defined by 45 CFR 46. Reimbursement to Subrecipient is based on a) full execution of agreement entitles Subrecipient their start-up costs, b) report of enrolled patients.
Other: Can be a Clinical Trial with a cost-reimbursement component (hybrid agreement). |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing
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Action Needed Subrecipient
Action Needed Sponsor
Initial Draft to Subrecipient
Negotiation in Process
Negotiation in Process: Action Needed Subrecipient
Negotiation in Process: Action Needed UVA
Negotiation in Process: Action Needed School
Signature in Process: Subrecipient
Signature in Process: UVA
Fully Executed |
Outgoing Subcontracts |
Outgoing Subcontracts - Mod |
Incremental funding-- Unilateral, Bilateral
No-Cost Extension--Unilateral, Bilateral
Change of PI--Unilateral, Bilateral
Rebudgeting/Carryforward--Unilateral, Bilateral
Early Termination--Unilateral, Bilateral
Other--Unilateral, Bilateral
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Modification or Amendment to the Subcontract/Subaward that required mutual acknolwedgement (bilateral) of only UVa's signature (unitaleral). |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing
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Action Needed Subrecipient
Action Needed Sponsor
Initial Draft to Subrecipient
Negotiation in Process
Negotiation in Process: Action Needed Subrecipient
Negotiation in Process: Action Needed UVA
Negotiation in Process: Action Needed School
Signature in Process: Subrecipient
Signature in Process: UVA
Fully Executed |
Outgoing Subcontracts |
Outgoing Subcontracts - Internal System Mod |
No-Cost Extension
Budget Transfer
Other |
Industry Sponsored Outgoing Subcontracts agreements for Clinical Trial studies are normally issued with open ended period of performance, and budget/funding is the system based on a per-patient enrollment/payment to the Subrecipient. |
Assigned
Action Needed UVA
Action Needed School
Abandoned
On Hold
Approved for Processing |