“ Internal Approval Process forExternally Sponsored Projects

Best Practices by CHPSW as Temple moves from paper to electronic routing

Presented at eRA@TU Users Group2/17/2012

PRESENTERSheri OzardDirector of Research AdministrationCHPSW 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

Topic eRA Tabs

eSPAF Temple Docs Memo

IDC Split Key Personnel (state if Dean’s Office or PI share)

Course buy-out Include requestSpace Include request, or note if

research will take place in another space

Budget correct Upload detailed budget

Regulatory questions

All items

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.

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

Topic eRA Tabs eSPAF Temple Docs MemoIDC Split Key

PersonnelCourse 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

Co-Is (and their related approval line) approve the financial impact on the Co-I and their department and school/college.

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

Topic eRA Tabs eSPAF Temple Docs

Memo

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 Item R & cost share form

Include details regarding faculty AY effort, tuition remission to be covered by dept, and other cost share

The Chair confirms that the project is appropriate, and approves impact on the department’s budget and space.

CHAIRTopic eRA Tabs eSPAF Temple

DocsMemo

Course buy-out Effort is deceptive – blended AY & SUM effort

Upload detailed budget; shows AY effort but not buy-out

Include request detailing effort & course buy-out

Space Include request if additional space would be needed in the department

Student opportunities Upload detailed budget; shows any positions for undergrad and graduate students

DEAN’S OFFICE

Topic eRA Tabs eSPAF Temple Docs Memo

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

Upload detailed budget; shows AY effort but not buy-out

Include request detailing effort and relation to college/school policy

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.

DEAN’S OFFICETopic eRA

TabseSPAF Temple

DocsMemo

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 ICost Share Item R & cost share

formInclude details

Appropriate to other internal policies, such as tuition remission, HR, student worker

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

Topic eRA Tabs eSPAF Temple Docs MemoHow 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?

Include details

The Grad School approves requests for tuition remission, confirming that the request meets the criteria for coverage.

INSTITUTIONAL ADVANCEMENT

Topic eRA Tabs eSPAF Temple Docs

Memo

RPF/program name or grant-making area

Top section Upload RFP

Is this a limited-submission grant?

Upload RFP

Is this an LOI or pre-proposal? Or a full submission in response to a previous LOI?

Include details

Have PI and sponsor discussed proposal?

Include details

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.

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

Topic eRA Tabs eSPAF Temple Docs Memo

Deadline Set up questions

RFP Upload RFP

How will it be submitted

Mechanism noted

Upload RFP Include additional instructions

Will there be subawards

Budget tab; subaward docs uploaded as required by sponsor

Upload detailed budget; upload subaward docs if not part of submission

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.

SPATopic eRA

TabseSPAF Temple Docs Memo

Correct F&A rate Upload sponsor guidelines, if not standard rate

Were fringe and F&A calculated correctly?

Upload detailed budget

IRBIP Issues (publications, patents & commercialization)

Item S

Extenuating circumstances (PI eligible for NIH continual submission, foundation rolling deadline, etc)

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 AudienceCST 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

Topic eRA Tabs eSPAF Temple Docs MemoSubawards to be created

Upload relevant docs

Upload detailed budget

Course buy-out

Include request; may need to be reneogiated if effort changes from proposal

IRB or IACUC Set-up questions

Clinical Trial Item DData security Item O

Clear notes should be made on those items that will be important to act upon when the project is funded.

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: Jane DoeeRA: 261000Sponsor: City of Philadelphia (Prime: CDC)Project Title: Reducing Salt in Take Out Food

Submission Date: 1/26/2012Submission Via: PI will hand-deliver to the sponsor

EXAMPLE: SPAF-RELATED NOTESThe 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 INSTRUCTIONSThe 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