Internal Approval Process for
Externally Sponsored Projects
Best Practices by CHPSW
as Temple moves from paper to electronic routing
Presented at eRA@TU Users Group
2/17/2012
PRESENTER
Sheri Ozard
Director of Research Administration
CHPSW Dean’s Office
(215) 707-9827
sheri.ozard@temple.edu
AGENDA
• Reason for approvals
• Our role as administrators
• Who approves
• What approvers are looking for
• eSPAF memo
• Other ideas
REASON FOR APPROVALS
Ensure that requests for externally sponsored
projects (proposals and contracts for research,
community service or other project types) meet all
sponsor and university policies including
matching resources, release time, additional
space, renovations, or other requirements
needing department, college/school or University
approval.
ADMIN ROLE
• Collect relevant information from the sponsor
guidelines and PIs.
• Clearly articulate and disseminate that information via eRA, the eSPAF and other relevant documents to each reviewer, so they have the information they
need to make an informed decision.
• Translate information from one set of lingo (such as
the sponsors or PIs) to another (such as Dean’s
Office).
PI
The PI confirms that all aspects of the SPAF are accurate, as they relate to
the sponsor, Co-Is, department, college, Grad School and regulatory issues.
Topic
IDC Split
eRA Tabs
eSPAF
Temple Docs
Memo
Key Personnel
(state if Dean’s
Office or PI share)
Course buy-out
Include request
Space
Include request, or note if
research will take place in
another space
Budget correct
Regulatory
questions
Upload detailed
budget
All items
PI: Comments from the Audience
The issue of space is sensitive, and
sometimes contradictory, from the PI
perspective. Although this is not included in
the eSPAF, the paper SPAF directed the PI
to contact Space Management, an effort
which is often futile. Each college is
responsible for their own resolution of
space issues.
OTHER FACULTY
Co-Is (and their related approval line) approve the financial impact on the
Co-I and their department and school/college.
Topic
IDC Split
eRA Tabs
eSPAF
Temple Docs
Memo
Key Personnel
Course
buy-out
Include in memo note if
accurate for Co-I’s school
policy
Space
Include request, or note if
research will take place in
another space
Base Salary
Upload detailed
budget; reflects
correct base salary
and appt type
OTHER FACULTY: Comments from
the Audience
The Medical School typically does not use
IDC split between PIs on a proposal. A
template for IDC split issues was
suggested. Information would be helpful on
how each college handles IDC split.
CHAIR
The Chair confirms that the project is appropriate, and approves impact on
the department’s budget and space.
Topic
eRA Tabs
Project is appropriate for
dept’s academic focus
Abstract
Appropriate project and
mechanism for the faculty
member, esp. tenure track
Abstract & face
page
Cost Share
eSPAF
Item R & cost
share form
Temple
Docs
Memo
Include details
regarding faculty AY
effort, tuition remission
to be covered by dept,
and other cost share
CHAIR
Topic
eRA Tabs
Course buy-out
Effort is
deceptive –
blended AY &
SUM effort
eSPAF
Temple
Docs
Memo
Upload detailed
budget; shows
AY effort but not
buy-out
Include request
detailing effort & course
buy-out
Space
Student opportunities
Include request if
additional space would
be needed in the
department
Upload detailed
budget; shows
any positions
for undergrad
and graduate
students
DEAN’S OFFICE
The Dean’s Office approves that the project is appropriate, impact on the dept
and college/school budgets is appropriate, and all Temple policies are followed.
Topic
eRA Tabs
Project is appropriate for
dept’s academic focus
Abstract
Appropriate project and
mechanism for the faculty
member, esp. tenure track
Abstract & face
page
Course buy-out
Effort is
deceptive –
blended AY &
SUM effort
eSPAF
Temple Docs
Memo
Upload detailed
budget; shows
AY effort but not
buy-out
Include request
detailing effort and
relation to
college/school
policy
DEAN’S OFFICE
Topic
eRA
Tabs
eSPAF
Temple Docs
Space
Include request, or
note if research will
take place in
another space
IDC Split
Under Key Personnel,
noting if split will be of PI
share or Dean’s share
F&A Rate
Item I
Cost Share
Item R & cost share form
Appropriate to other
internal policies, such as
tuition remission, HR,
student worker
Memo
Include details
Upload
detailed
budget
Include details
DEAN’S OFFICE: Comments from the
Audience
The Dean’s office review helps flag issues that are important for
audit purposes, to SPA.
An additional item not included on this list that was mentioned is
equipment.
GRAD SCHOOL
The Grad School approves requests for tuition remission, confirming that the
request meets the criteria for coverage.
Topic
eSPAF
Temple Docs
How many RA
FTEs are
requested?
Item F
Upload detailed
budget
Does the project
meet the
standard
guidelines?
MTDC under
Requested
Budget Details
Upload detailed
budget
Is additional
tuition remission
requested?
eRA Tabs
Memo
Include details
INSTITUTIONAL ADVANCEMENT
Institutional Advancement is reviewing the proposal to verify that the corporate
or foundation request does not conflict with an existing proposal, and to update
their records regarding activity with the sponsoring agency.
Topic
RPF/program name or
grant-making area
Is this a limitedsubmission grant?
eRA Tabs
eSPAF
Temple
Docs
Top section
Upload RFP
Memo
Upload RFP
Is this an LOI or preproposal? Or a full
submission in response
to a previous LOI?
Include
details
Have PI and sponsor
discussed proposal?
Include
details
INSTITUTIONAL ADVANCEMENT:
Comments from the Audience
The role of Institutional Advancement is to
make sure the proposed project fits in to
already existing relationships with
foundation sponsors.
IA would like to see the RFP, the project
name (general topic area or category) in
order to make sure the mechanism is
appropriate.
SPA
SPA conducts the final review to ensure that all Temple and sponsor
requirements are met. They also need instructions on how a proposal will be
submitted.
Topic
eRA Tabs
Deadline
Set up questions
eSPAF
RFP
Memo
Upload RFP
How will it be
submitted
Will there be
subawards
Temple Docs
Mechanism
noted
Budget tab;
subaward docs
uploaded as
required by
sponsor
Upload RFP
Upload detailed
budget; upload
subaward docs if
not part of
submission
Include
additional
instructions
SPA
Topic
eRA Tabs
eSPAF
Temple Docs
Correct F&A rate
Upload sponsor
guidelines, if not
standard rate
Were fringe and F&A
calculated correctly?
Upload detailed
budget
Memo
IRB
IP Issues (publications,
patents &
commercialization)
Extenuating circumstances
(PI eligible for NIH continual
submission, foundation
rolling deadline, etc)
Item S
Include details
SPA: Comments from the Audience
Noting of IRB status represents a point of conflict between the PI and SPA.
There is a discrepancy between the understanding of “pending” status. The PI
will use this terminology for any protocol not yet approved, even if it has not
been submitted yet. SPA reserves the use of “pending” status only to those
protocols already submitted for IRB approval. There are important reasons why
PIs do not submit IRB protocols until funding is likely. One suggestion to
overcome this issue is to add a place on the eSPAF where the PI can note that
the protocol will be submitted for review if the project is funded.
Human Subjects exemption status is a point of confusion among some
administrators. It was suggested that a webinar may be helpful to clear up the
questions surrounding this issue.
SPA: Comments from the Audience
CST battles with the issue of PIs either not being aware of or not speaking up regarding
environmental hazards. Administrators should be aware of the details of each proposal
(whether by reading through the budget justification, abstract, or other relevant
document, or searching for key words in the proposal itself) to be able to judge whether
regulatory approval is needed.
In general, a higher level of PI involvement with regulatory questions should be a goal for
the future. Sometimes there is a lack of awareness of what exactly they are signing off
on. A possible solution under certain circumstances is to print a copy of the eSPAF and
ask the PI to physically sign.
Per Bob O’Malley, additional regulatory questions will be added to the eSPAF. In addition,
EHRS is planned to be connected to eRA@TU in the manner of IRB and IACUC.
CITI certification is currently not available through the IRB information in eRA@TU. A
suggestion was raised for IRB to upload the CITI certification as PDF into each approval
record.
FOR THE FUTURE
Clear notes should be made on those items that will be important to act upon
when the project is funded.
Topic
eRA Tabs
Subawards to be
created
Upload relevant
docs
eSPAF
Memo
Upload detailed
budget
Course buy-out
IRB or IACUC
Temple Docs
Include request;
may need to be
reneogiated if
effort changes
from proposal
Set-up questions
Clinical Trial
Item D
Data security
Item O
FOR THE FUTURE: Comments from
the Audience
Electronic connection for risk management
and insurance was suggested as a
potential future item.
MEMO
EXAMPLE: IDENTIFYING INFO
This memorandum relates to the following sponsored project eSPAF:
PI:
eRA:
Sponsor:
Project Title:
Jane Doe
261000
City of Philadelphia (Prime: CDC)
Reducing Salt in Take Out Food
Submission Date: 1/26/2012
Submission Via: PI will hand-deliver to the sponsor
EXAMPLE: SPAF-RELATED NOTES
The following notes are being made for the file:
Effort (course buy-out requested, explanation of academic vs. summer effort, etc.):
•Dr. Doe’s current teaching load is 1-1. There will not be any reductions to this
teaching load due to the 10% effort devoted to this project.
Space (request for additional space if funded, use of another faculty member’s space,
comments about off-campus rate):
•If the project is funded, office space for one RA will be required.
Cost Share (complete details are noted on the eSPAF and related Cost Share form)
•Dr. Doe is cost-sharing 5% of her AY salary in all years of the project.
•Tuition remission one calendar appointment RA for each year of the grant, at 18
credit hours per year, will be split by the PI, Dean’s office and Grad School.
Other
•The sponsor only allows 10% F&A; guidelines are uploaded into eRA.
EXAMPLE: SUBMISSION INSTRUCTIONS
The following action steps by SPA are requested:
• Please obtain university signature on the attached contract. Contact
me when it is ready for pick-up. The PI will deliver it to the sponsor
for counter-signature, and we will return a fully-executed copy for
your files.
• Please request an Advance FOAP from RAS. Advance FOAP
Request Form is uploaded into eRA.
MEMO: Comments from the Audience
The memo reduces emails and phone calls, thereby
increasing productivity.
Some SPA leadership finds it helpful as it collects
information in one place, especially for non-system to
system proposals.
A potential limitation is that when pre- and post-award
functions are not separated within the college it may
not be as helpful.
OTHER IDEAS?
The cost-sharing form asks for academic salary, but doesn’t
fit the School of Medicine model.
A question was raised regarding the need for detailed
subcontract budgets for modular grants. SPA clarified that a
simpler budget may be entered as long as the detailed
subaward budgets are uploaded under Temple Documents.
Thank you