Research: Internal Approval Form (IAF) - Proposal IAF Standard Workflow Process

Understanding the proposal IAF standard workflow process.

The following standard processing guidelines are for a “New” Proposal IAF.

1. Any AOR, DRA, or DP user can start a Proposal IAF.
2. AORs, DRAs, and their delegates can send a Proposal IAF into workflow for approvals. The following tabs are required: Basic Info, Budget, Waivers, and all investigators in the Personnel tab. The submitter can also add other approvers who don’t automatically appear in the workflow. An approval path is also generated for the administering unit if it differs from the submitting unit.
3. The Primary PI is automatically sent an email (see “IAF Email Schedule”) notifying them that a Proposal IAF is awaiting approval. Prior to Primary PI approval all tabs must be reviewed and completed by the Primary PI.
4. After Primary PI approval, any other approvers added to the workflow in step two are automatically sent an email for review and approval of the Proposal IAF.
5. Other investigators listed on the Personnel tab are automatically sent an email after Primary PI approval notifying them that the Proposal IAF is ready for their approval. Each investigator completes their own individualized version of the Investigator tab (see “IAF Investigator Tab”) and approves.
6. After all the investigators in their department have approved, DHs are automatically sent an email notifying them that a Proposal IAF is awaiting their review and approval (see “Building a Path” escalation rules)
7. If the option for RD approval has been selected on the Approvals tab, they are automatically emailed for review and approval upon completion of all DH approvals in their college.
8. After all required approvals within their unit have been completed, the investigator AORs are sent an email for review and approval.
9. If the administering unit differs from the submitting unit, the administering unit DH automatically receives an email after all required approvals for their review and approval.
10. After the administering unit DH approves, the administering unit AOR receives an email for their review and approval.
11. After all approvals have been completed, the submitting unit AOR receives an email to review, make any final changes, upload any required documentation, including the final version of the proposal, and approve.
12. The PI and any investigators with individual compliance issues are emailed a Compliance Checklist of items to be resolved before an award could be accepted by Penn State.

PSU Policy Note: Steps 1-3,5 are expected to be completed prior to proposal submission in all units at Penn State, and steps 5-7 can be completed within 10 business days at the discretion of the submitting AOR. The submitting AOR also has the discretion to require some or all of the approvals listed below prior to proposal submission on a per-proposal basis. Submitting units also have authority to impose a more conservative policy, such as requiring pre-approval of all submissions (e.g. Hershey COM).

Proposal Approvals:

The following will always be required to approve the Proposal IAF, although not necessarily before proposal submission, depending on the submitting unit policy and availability:

• Primary PI
• Other personnel listed on the Proposal IAF (Investigators)
• Primary PI and other Investigators’ DH(s)
• AOR of Primary PI AOR (if different than submitting AOR) and other Investigators’ AOR(s)
• Submitting AOR

The submitting AOR is responsible for ensuring all compliance requirements. If changes are made to the Proposal IAF after approval, the requirement for obtaining a re-approval from the same individuals is at the discretion of the submitting AOR.

Additional approvals may also be required at the discretion of the submitting AOR. These approvals may include:

• Research Dean of Primary PI and Investigators (for example, in cases involving cost-sharing, course buyout, facility requirements, overhead waiver, or major equipment purchase)
• Financial Officer as an Other approver

Change Rules

If certain changes are made after the Proposal IAF was approved, the IAF will be automatically routed or re-routed to additional approvers (see Change Rules). 

Other Proposal Types

There are some situations that may alter the standard approvals required as listed below:

General Approval Rules and Escalation

• DHs and RDs may delegate their approval. Investigators may not.
• No one can approve in more than one role.
• Unique situations for Investigators that hold another role (e.g. DH) involve approval escalation. See the table below for escalation rules:

For more information, please contact simsadmin@psu.edu

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