Article Intended For
All university faculty, staff, researchers with permission to use and/or access Penn State Research Information Systems.
Introduction
This article goes over the types of Compliance Emails sent to different staff members.
Article Body
Compliance Notifications
Email Subject |
Email Purpose |
Recipients |
| Export Review Needed for Proposal [Award] | Sent after Primary PI approval notifying the Export Control Office that a proposal is being submitted that contains export issues. Questions that trigger this email are "Will the project require access to classified facilities or classified information?" and "Does the project include payment to any foreign subrecipients or foreign consultants?" |
Export Control Office, OSP CC: Submitting Unit AORs |
|
Sent after Primary PI or CO-PI approval to Notify COI Support Staff at UP or COM of an investigator disclosure of a research-related interest. |
College of Medicine: coinsadmin@psu.edu University Park: coinsadmin@psu.edu | |
|
Sent after Primary PI approval to notify Duplicate Proposal Compliance Administrators of a duplicate proposal submission. |
College of Medicine: Sheila Vrana | |
|
Sent after Primary PI approval to University Park and College of Medicine development offices for initiated proposal IAF or initiated Award IAF to non-profit foundation.
Sent after Primary PI approval to University Park and College of Medicine corporate engagement offices for initiated proposal IAF or initiated Award IAF to corporate sponsors. |
| |
| Proposal Background IP Indicator |
Sent after an investigator approval where it indicates that the investigator is willing or NOT willing to transfer background IP. For IAF's created on or after 9/15/2021, the email will also include one of the following notations: Investigator is willing to grant up front commercial license rights to the sponsor of new intellectual property resulting from this project. OR Investigator is not willing to grant up front commercial license rights to the sponsor of new intellectual property resulting from this project.
|
Office of Technology Management College of Medicine: technologydevelopment@hmc.psu.edu |
| Sponsor Conflict Notification | Sent after Primary PI approval to appropriate office(s) based upon identified sponsor issue(s) |
Possible recipients: COI Support staff (coinsadmin@psu.edu), Export staff, OSP ARL records: Depending upon issue recipient is arlcontractsoffice@arl.psu.edu or osp@psu.edu |
| Compliance Checklist | Provides the PI with a list of compliance/regulatory issues that need to be resolved prior to award acceptance. Triggered when AOR Submits to CPO. |
Primary PI, Investigators with Compliance Issues |
| ACTION REQUIRED: Study Entry Needed | Notifies AORs that the required study numbers have not yet been provided, and will need to be entered to facilitate processing of award. Triggered upon log match in negotiation manager. |
AORs + Delegates (submitting and administering units) |
| Intellectual Property Reminder |
Sent when central processing office performs award match in Negotiation Manager and the IP Questions were asked and answered on the IAF. The email notification will contain the following information. The following industrial award has been assigned to you. Please refer to the IAF to review project personnel selections for the handling of intellectual property. Whenever applicable, based on the IP selections, it is your responsibility as contract negotiator to secure the Project Intellectual Property Agreement (PIPA) for any additional project personnel, including graduate students, not named on the IAF. In the event that other project personnel or graduate students are anticipated but not yet named at time of award, please remind the College Research Office that it is their responsibility to obtain signatures of said project personnel or graduate students on the PIPA form once identified AND prior to participation in the project. A copy of the completed PIPA form must be provided to OSP for the contract file. | Assigned CPO staff |
| Human Subjects Reminder |
Sent when central processing office performs award match in Negotiation Manager and the industry sponsored project involves the use of Human Subjects. | Assigned CPO Staff (Negotiator) |
|
Sent to indicated compliance office for approval of stated compliance issues for IAF. This email is turned off for Human Subjects (IRB). |
Assigned CPO staff | |
|
Compliance Approval Completion Notification
|
Sent to central processing staff on successful compliance approval |
Assigned CPO staff, if assigned College of Medicine: Includes e-grants@hmc.psu.edu,e-contracts@hmc.psu.edu |
|
IRB Reliance Fee Review Needed |
Sent after the Primary PI approval to notify the IRB Reliance team if details in the IAF suggest there could be IRB reliance fees that need to be included in the final budget before submission. Email is triggered when the following criteria are met:
|
Email goes to irb-orp@psu.edu, creating a ServiceNow ticket for the Research- IRB Support group. |
|
ACTION REQUIRED: Advanced Fund Request |
Notifies appropriate export control office of issues with an Advanced Funds Request. |
Export Control Office |
Links
Compliance Checks - Other Notifications
Compliance Checks - Protocol Approvals