Late Waiver Submission Guidance

Grant proposal submissions must be received in final form by the central pre-award offices (ORA for SOM/SON or ORS for Campus Schools) at least five (5) business days in advance of the sponsor deadline (see guidance on calculating the five business day deadline). In rare, extenuating circumstances, when the five business day deadline cannot be met, a late waiver may be requested subject to institutional review and approval.

Process for submitting a Late Waiver Request 

  1. Obtain an email or approval letter for the Late Waiver Request from the Owning Org/Department Head of the application being submitted
  2. Grant Administrator generates an SPS record (this is a necessary step to submitting a Late Waiver Request)
  3. Grant Administrator completes and submits the Late Waiver Request as soon as possible
    • This can be before the five business day deadline if it is known that the five business day deadline cannot be met). 
    • See guidance below for step-by-step directions on submitting a Late Waiver Request. Note: the Late Waiver Request must include justification for the Late Waiver and the email or approval letter from the Owning Org/Department Head of the application being submitted.
  4.  Late Waiver Request will be reviewed institutionally, and appropriate parties will be notified of the outcome. If approved, Grant Administrator and PI may proceed with routing the submission to ORA/ORS.
  • Applications not received by ORA/ORS allowing at least two (2) business days prior to the sponsor deadline for institutional review will not be released for submission to the sponsor.
  • Applications found to contain errors (including but not limited to the reasons below) will not be released for submission to the sponsor: 
    • Placeholders 
    • Non-compliance with institutional policy – e.g., publication restriction without exception letter, unapproved cost sharing, improper use of name/logo/trademark 
    • PIs no longer affiliated with or physically located at Duke 
    • PI/institution does not meet eligibility requirements 
    • PI not selected to submit the proposal (limited submission) 
    • Falsified information, data, signatures 

 

Step-by-step guidance for Grant Administrators on successfully completing and submitting the Late Waiver Request.

Submit a request menu
  • Log in to myRESEARCHhome and select "Late Application Waiver" from the "Submit a Request" dropdown
  • Note: you must have "Research administrator" selected as your research role in myRESEARCHhome to have this option in the "Submit a Request" menu
Enter the SPS record
  • Enter the SPS record number under SPS ID, and confirm that the appropriate record has been selected based on the information returned
  • Click the "Start Request" button
REDCap late waiver form
  • Select the radio button for your Management Center, to control the routing and what Owning Orgs appear in the drop box below
  • Select the Owning Org
  • PI First Name, Last Name, and Email Address will pull from the SPS record
  • Grant Manager First Name, Last Name, and Email Address will pull from the based on submitter of the request
  • Enter Business Manager First Name, Last Name, and Email Address. This is the person who has approved the waiver request and whose email is attached later in this form

REDCap late waiver form
  • Enter PAL (Preaward Liaison) First Name, Last Name, and Email Address   

  • Enter the Planned Submission Date

REDCap late waiver form
  • Note: Applications must be received within 2 business days for institutional review or will not be released for submission
  • Select Reason for late application submission. If selecting PI/Family Medical /Parental Leave, Illness or Death, supporting documentation in section immediately below is not required

  • Upload supporting documentation

REDCap late waiver form
  • Click “Choose File” to select the supporting documentation from the file directory
  • Click “Upload File” to add file to the request form
  • IMPORTANT: Cumulative attachment size for the entire form should not exceed 7MB

REDCap late waiver form
  • Upload documentation of the Department/Owning Org Approval (by Business Manager listed above)

REDCap late waiver form
  • Click “Choose File” to select the supporting documentation from the file directory
  • Click “Upload File” to add file to the request form
  • IMPORTANT: Cumulative attachment size for the entire form should not exceed 7MB

REDCap late waiver form
  • Once all required fields have been entered and all required documentation uploaded, click “Submit”

 

Approval or Denial of Request

Upon Central Review of the Late Waiver Application Request, a system-generated "approval" email or a "denial" email (with explanation) will be sent to the requestor.

The following is a sample of a system-generated approval email:

Subject:  Late Waiver Application Request Approved - Record ID: 123456

 

The MNMC Central Office has approved this request. Please submit your fully completed application to ORA/ORS for institutional review. 

 

Request Details:

SPS Record Number: 123456

Duke Forge

PI: Timothy Curry

GM Name: Darrell Queen

PAL Name: Jonathan Saxon

Business Manager: Bob Englund

Reason for Late Application Waiver Request:  PI/Family Medical /Parental Leave, Illness or Death

Planned Submission Date: 09-29-21

 

This message has been automatically generated.  If you have any questions about this notification, please contact your ORA/ORS representative