Status Explanations

Explanation of Status, Timeline, and Award Warnings Columns

FIRST - A word about OGCA numbers: In an effort to give you more information about the actions on your proposals and awards, we have decided to list records in the result set that may look different to you. These records have the usual OGCA# but they also have suffixes. An OGCA# with no suffix is called the "root” or simply, "the OGCA number”. It is under the root that a proposal is submitted and an award will be made thus the status of the full award will be found under the 'root’ record. If an award is preliminarily funded (pre-established), we give it a 'p1’ suffix so under these numbers you will find preliminary funding status information. Similarly, a No-Cost Extension of Time (NCE) will be processed under the root OGCA with an 'e’ extension. 'e1’ is the first extension, 'e2’ the second, and so forth. The status of the latest NCE will be found in the row with the highest number 'e’ suffix.

Please see the sections below for explanations of the values in the columns that may not be self-explanatory. Status is an indicator of where in the process a particular action may be at any given time. This field is dynamic and updated from the live database. Timeline is a higher order status to indicate receipt and submission of proposals and the initiation and final processing of awards. Timeline carries a date with it to tell you when this benchmark action has occurred and is updated live from the database. Award Warnings serves to inform the PI or Co-Investigators when OGCA is awaiting additional documentation that may hold up processing of the award. The Warnings column and all other self-explanatory columns are updated once a day at approximately 4:00 AM. This decision was made to make data retrieval by the Custom Report generator faster while still updating the most vital information in a real-time environment.

Status Column

Proposals

  • START – the proposal has JUST been received and is being given an identifying number (OGCA#)
  • Proposal in Process at OGCA – the proposal is being set up for review and/or is under review
  • Proposal to Director – the proposal has been reviewed and is with a Director for signature. It will be submitted shortly
  • Proposal Sent to Sponsor – the proposal has been submitted to the sponsor and is in holding until a reply is received
  • Proposal Not Awarded – the proposal was either withdrawn by the PI or was not funded by the sponsor. No more statuses will follow this one.

Awards

First Ex awards
  • Award in Process (1st Ex) – a First Ex award (UMass signs the agreement before the sponsor does) has been received and is being prepared for review and signature by a director. These must be sent back to the sponsor for signature after UMass reviews and accepts the terms and conditions
  • Award to Director (1st Ex) – the first Ex award is being reviewed and signed by a director and then prepared for return to the sponsor for signature
  • Out to Sponsor  - In the case of a First Ex Award, the document has been signed by UMass and has been sent back to the Sponsor, at this point we are awaiting the fully signed award

Preliminary Funding

  • Advance on Award in Process – an action to establish preliminary funding is in process
  • Advance on Award to Director – a preliminary funding action is with a director for signature
  • Advance on Award Sent to Accounting – an action to establish preliminary funding has been sent to accounting and should soon be available to the PI

Full Awards

  • Award in Process at OGCA – an award has been received and is being negotiated by OGCA. This may include First Ex award actions in which the award has returned from the sponsor full executed and may now be prepared for obligation and processing by Accounting
  • Award to Director – the full award has been received back from the sponsor and/or has been successfully negotiated. The directors will accept it on behalf of UMass and the PI.
  • Prep for Accounting – director has accepted award and OGCA is preparing the file to go to the Controller’s Office
  • Sent to Accounting – the award has been fully processed by OGCA and has been sent to the Controller’s office for account creation
  • Account Active – the Controller’s office has established an account and the award can be spent

No-Cost Extensions of Time

  • Extension in Process – an extension of time has been initiated and is being reviewed and processed at OGCA (this may include an extension of time that must be signed by UMass first (First Ex) and then sent back to the sponsor for full execution)
  • Extension Out to Sponsor – Extension was received as a 1st Ex and has been sent back to the sponsor for their signature. OGCA is awaiting the fully signed agreement.
  • Extension Awarded – the request for an extension of time has been approved and has been sent to accounting. It should be in place soon.

Timeline Column

Proposals

  • Proposal Received xx/xx/xxxx e.g. 07/29/2011 – The proposal has been received by OGCA on this date and is in process (the Status column will give more information about where in the process it is currently)
  • Submitted to Sponsor on xx/xx/xxxx e.g. 08/29/2011 – The proposal was sent/submitted to the sponsor on this date and will be held until a response is received

Awards

Full Awards

  • Award Initiated xx/xx/xxxx e.g. 06/27/2012 – The award has been received by OGCA on this date and is in process (the Status column will give more information about where in the process it is currently)
  • Award Sent to Accounting xx/xx/xxxx e.g. 08/03/2012- The award has been processed and has gone to the Controller’s Office on this date for account creation and budgeting

Preliminary Funding

  • Advance on Award in Process xx/xx/xxxx e.g. 12/12/2012 – The Advance on Award process has been initiated on this date and is in process
  • Advance on Award at Accounting xx/xx/xxxx e.g. 09/18/2012 – The Advance on Award has been sent to the Controller’s Office on this date for account creation and budgeting

No-Cost Extensions of Time

  • Extension in Process xx/xx/xxxx e.g. 12/14/2012 – A No-Cost Extension of Time has been initiated on this date and is in process
  • Extension at Accounting xx/xx/xxxx e.g. 08/10/2012 - A No-Cost Extension of Time has been sent to the Controller’s Office on this date and will be processed by them

Award Warnings Column

Award needs Approval (VA, HS) – There are outstanding required Compliance approvals or Regulatory forms, if the award is being held, it will be released when these items are received

  • VA – Vertebrate Animals
  • HS – Human Subjects
  • RDNA – Recombinant DNA
  • TCP – Technology Control Plan (for projects involving export controlled items)
  • COI – Conflict of Interest

Award awaiting MOU – the award may be held for the Memorandum of Understanding that is required whenever there are Co-Investigators and is emailed to the PI by OGCA when the award is being processed. The MOU indicates how responsibilities are to be shared among the Investigators and Faculty Participants.

Award awaiting PIAA - the award may be held for the PI Award Agreement. The PIAA is emailed to the PI by OGCA when the award is being processed. The PIAA indicates that the PI accepts the terms and conditions of the Notice of Award and will abide by all other applicable regulations and guidelines

DFW needed for (PI LastName, FirstName ) – A Drug-Free Workplace Policy Agreement is required once from every PI prior to acceptance of a federal grant, contract or cooperative agreement, or receiving federal fellowship, etc. It is now customary to request a signed DFW from the PI at the proposal stage for ANY potential award so that it is not an obstacle when funding from a federal source is received.

PAG needed for (PI LastName, FirstName) – A Participation Agreement is required once from every PI prior to receiving any University-administered funds. The PAG acknowledges familiarity with certain University policies on Intellectual Property, Disclosures, Assignment of Rights, etc. It is now customary to request a signed PAG from the PI at the proposal stage for any potential award so that it is not an obstacle when funding is received.

DFW needed for (CO-PI LastName, FirstName) – A Drug-Free Workplace Policy Agreement is required once from every Co-PI prior to acceptance of a federal grant, contract or cooperative agreement, or receiving federal fellowship, etc. It is now customary to request a signed DFW from the Co-PI at the proposal stage for ANY potential award so that it is not an obstacle when funding from a federal source is received.

PAG needed for (CO-PI LastName, FirstName) – A Participation Agreement is required once from every Co-PI prior to receiving any University-administered funds. The PAG acknowledges familiarity with certain University policies on Intellectual Property, Disclosures, Assignment of Rights, etc. It is now customary to request a signed PAG from the Co-PI at the proposal stage for any potential award so that it is not an obstacle when funding is received.